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