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