0001104659-21-108612.txt : 20210823
0001104659-21-108612.hdr.sgml : 20210823
20210823170043
ACCESSION NUMBER: 0001104659-21-108612
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210819
FILED AS OF DATE: 20210823
DATE AS OF CHANGE: 20210823
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hong Chun K
CENTRAL INDEX KEY: 0001381057
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33170
FILM NUMBER: 211197589
MAIL ADDRESS:
STREET 1: C/O NETLIST, INC.
STREET 2: 51 DISCOVERY, STE 150
CITY: IRVINE
STATE: CA
ZIP: 92618
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NETLIST INC
CENTRAL INDEX KEY: 0001282631
STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674]
IRS NUMBER: 954812784
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0101
BUSINESS ADDRESS:
STREET 1: 175 TECHNOLOGY DRIVE, SUITE 150
CITY: IRVINE
STATE: CA
ZIP: 92618
BUSINESS PHONE: 949-435-0025
MAIL ADDRESS:
STREET 1: 175 TECHNOLOGY DRIVE, SUITE 150
CITY: IRVINE
STATE: CA
ZIP: 92618
4
1
tm2125662-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-08-19
0
0001282631
NETLIST INC
NLST
0001381057
Hong Chun K
175 TECHNOLOGY, SUITE 150
IRVINE
CA
92618
1
1
0
0
President, CEO and Chairman
Common Stock
2021-08-19
4
M
0
267000
3.59
A
1217684
D
Common Stock
2021-08-19
4
S
0
267000
7.3328
D
950.684
D
Common Stock
2021-08-20
4
M
0
33000
3.59
A
983684
D
Common Stock
2021-08-20
4
S
0
33000
6.8433
D
950684
D
Common Stock
4811177
I
Hong-Cha Property Trust
Employee Stock Option (right to buy)
3.59
2021-08-19
4
M
0
267000
0
A
2022-02-27
Common Stock
267000
2533000
D
Employee Stock Option (right to buy)
3.59
2021-08-20
4
M
0
33000
0
A
2022-02-27
Common Stock
33000
2500000
D
This option vested in 16 equal quarterly installments from May 27, 2012 to February 27, 2016
/s/ Gail Sasaki, Attorney-in-Fact
2021-08-23