0001104659-23-099405.txt : 20230908 0001104659-23-099405.hdr.sgml : 20230908 20230908213009 ACCESSION NUMBER: 0001104659-23-099405 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230906 FILED AS OF DATE: 20230908 DATE AS OF CHANGE: 20230908 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SASAKI GAIL M CENTRAL INDEX KEY: 0001422990 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33170 FILM NUMBER: 231246508 MAIL ADDRESS: STREET 1: C/O NETLIST, INC. STREET 2: 51 DISCOVERY, STE 150 CITY: IRVINE STATE: CA ZIP: 92618 FORMER NAME: FORMER CONFORMED NAME: ITOW GAIL MISAKO DATE OF NAME CHANGE: 20080107 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: 1230 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 tm2325624-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-09-06 0 0001282631 NETLIST INC NLST 0001422990 SASAKI GAIL M 111 ACADEMY, SUITE 100 IRVINE CA 92617 0 1 0 0 Vice President and CFO 0 Common Stock 2023-09-06 4 S 0 3292 1.9143 D 312882 D Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. The "sell to cover" transactions were effected pursuant to a Rule 10b5-1 trading plan. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.91 to $1.92 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 M. Sasaki 2023-09-08