Filing Details
- Accession Number:
- 0001104659-21-108612
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-23 17:00:43
- Reporting Period:
- 2021-08-19
- Accepted Time:
- 2021-08-23 17:00:43
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1282631 | Netlist Inc | NLST | Semiconductors & Related Devices (3674) | 954812784 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1381057 | K Chun Hong | 175 Technology, Suite 150 Irvine CA 92618 | President, Ceo And Chairman | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-08-19 | 267,000 | $3.59 | 1,217,684 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-08-19 | 267,000 | $7.33 | 951 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-08-20 | 33,000 | $3.59 | 983,684 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-08-20 | 33,000 | $6.84 | 950,684 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-08-19 | 267,000 | $0.00 | 267,000 | $3.59 |
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2021-08-20 | 33,000 | $0.00 | 33,000 | $3.59 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,533,000 | 2022-02-27 | No | 4 | M | Direct | |
| 2,500,000 | 2022-02-27 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,811,177 | Indirect | Hong-Cha Property Trust |
Footnotes
- This option vested in 16 equal quarterly installments from May 27, 2012 to February 27, 2016
Billionaire Hedge Funds
