Filing Details
- Accession Number:
- 0001104659-23-034111
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-17 21:30:44
- Reporting Period:
- 2023-03-15
- Accepted Time:
- 2023-03-17 21:30:44
- 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 |
|---|---|---|---|---|---|---|---|
| 1422990 | M Gail Sasaki | 111 Academy, Suite 100 Irvine CA 92617 | Vice President And Cfo | No | 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 | Disposition | 2023-03-15 | 10,318 | $3.07 | 393,048 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-03-16 | 100,000 | $0.00 | 493,048 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2023-03-17 | 18,417 | $3.24 | 474,631 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-03-17 | 50,000 | $3.33 | 424,631 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Footnotes
- Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. The "sell to cover" transactions were effected pursuant to a Rule 10b5-1 trading plan.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.12 per share. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- These restricted stock units (RSUs) granted on March 16, 2023 vest in installments of 25,000 beginning on March 16, 2024 one time per year through March 16, 2027. The shares will be delivered to the reporting person upon vesting of the RSUs. Each RSU represents a contingent right to receive one share of common stock.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.11 to $3.35 per share. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple tranactions at prices ranging from $3.30 to $3.38 per share. The reporting person undertakes to provide the issuer, any security holder of the issuer, or staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Billionaire Hedge Funds
