Gail M. Sasaki - 02 Jul 2021 Form 4 Insider Report for NETLIST INC (NLST)

Role
Vice President and CFO
Signature
/s/ Gail M. Sasaki
Issuer symbol
NLST
Transactions as of
02 Jul 2021
Net transactions value
-$1,233,585
Form type
4
Filing time
07 Jul 2021, 17:56:59 UTC
Previous filing
02 Jul 2021
Next filing
12 Jul 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NLST Common Stock Sale $210,000 -50,000 -9.5% $4.20 474,545 02 Jul 2021 Direct F1
transaction NLST Common Stock Options Exercise $52,500 +75,000 +16% $0.7000 549,545 06 Jul 2021 Direct
transaction NLST Common Stock Sale $393,750 -75,000 -14% $5.25 474,545 06 Jul 2021 Direct F1
transaction NLST Common Stock Options Exercise $10,665 +15,000 +3.2% $0.7110 489,545 06 Jul 2021 Direct
transaction NLST Common Stock Sale $78,750 -15,000 -3.1% $5.25 474,545 06 Jul 2021 Direct F1
transaction NLST Common Stock Options Exercise $42,600 +60,000 +13% $0.7100 534,545 06 Jul 2021 Direct
transaction NLST Common Stock Sale $315,000 -60,000 -11% $5.25 474,545 06 Jul 2021 Direct F1
transaction NLST Common Stock Options Exercise $63,150 +75,000 +16% $0.8420 549,545 06 Jul 2021 Direct
transaction NLST Common Stock Sale $405,000 -75,000 -14% $5.40 474,545 06 Jul 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NLST Employee Stock Option (right to buy) Options Exercise $0 +75,000 +25% $0.000000 375,000 06 Jul 2021 Common Stock 75,000 $0.7000 Direct F2
transaction NLST Employee Stock Option (right to buy) Options Exercise $0 +15,000 +4.3% $0.000000 360,000 06 Jul 2021 Common Stock 15,000 $0.7110 Direct F3
transaction NLST Employee Stock Option (right to buy) Options Exercise $0 +60,000 +25% $0.000000 300,000 06 Jul 2021 Common Stock 60,000 $0.7100 Direct F4
transaction NLST Employee Stock Option (right to buy) Options Exercise $0 +75,000 +50% $0.000000 225,000 06 Jul 2021 Common Stock 75,000 $0.8420 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was effected pursuant to a Rule 10b5-1 Plan.
F2 This option vested in 16 equal quarterly installments from April 18, 2016 to January 18, 2020.
F3 This option vested in 16 equal installments from May 11, 2013 to February 11, 2017.
F4 This option vested in 16 equal installments from May 11, 2013 to February 11, 2017.
F5 This option vested in 16 equal installments from April 6, 2015 to January 6, 2019