0001104659-23-036187.txt : 20230323 0001104659-23-036187.hdr.sgml : 20230323 20230323213304 ACCESSION NUMBER: 0001104659-23-036187 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230321 FILED AS OF DATE: 20230323 DATE AS OF CHANGE: 20230323 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: 23757531 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 tm2310330-1_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-03-21 0 0001282631 NETLIST INC NLST 0001381057 Hong Chun K 111 ACADEMY, SUITE 100 IRVINE CA 92617 1 1 0 0 President, CEO and Chairman 0 Common Stock 2023-03-21 4 S 0 41366 4.00 D 4319811 I Hong-Cha Property Trust Common Stock 2023-03-22 4 S 0 208634 4.0037 D 4111177 I Hong-Cha Property Trust Common Stock 2241447 D 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 $4.00 to $4.07 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 2023-03-23