0001104659-23-034108.txt : 20230317
0001104659-23-034108.hdr.sgml : 20230317
20230317213023
ACCESSION NUMBER: 0001104659-23-034108
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230316
FILED AS OF DATE: 20230317
DATE AS OF CHANGE: 20230317
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: 23744755
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: 1231
BUSINESS ADDRESS:
STREET 1: 111 ACADEMY, SUITE 100
CITY: IRVINE
STATE: CA
ZIP: 92617
BUSINESS PHONE: 949-435-0025
MAIL ADDRESS:
STREET 1: 111 ACADEMY, SUITE 100
CITY: IRVINE
STATE: CA
ZIP: 92617
4
1
tm239856-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2023-03-16
0
0001282631
NETLIST INC
NLST
0001381057
Hong Chun K
111 ACADEMY, SUITE 100
IRVINE
CA
92617
1
1
0
0
President, CEO and Chairman
Common Stock
2023-03-16
4
A
0
499000
0.00
A
2241447
D
Common Stock
2023-03-16
4
S
0
250000
3.0375
D
4361177
I
Hong-Cha Property Trust
These restricted stock units (RSUs) granted on March 16, 2023 vest in installments of 124,750 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.
This transaction was effected pursuant to a Rule 10b5-1 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 $3.15 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.
/s/ Gail Sasaki, Attorney-in-Fact
2023-03-17