Gail M. Sasaki - 08 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
08 Jul 2021
Net transactions value
-$366,007
Form type
4
Filing time
12 Jul 2021, 17:00:29 UTC
Previous filing
07 Jul 2021
Next filing
14 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 Options Exercise $6,852 +6,718 +1.4% $1.02 481,363 08 Jul 2021 Direct
transaction NLST Common Stock Sale $39,636 -6,718 -1.4% $5.90 474,545 08 Jul 2021 Direct F1
transaction NLST Common Stock Options Exercise $69,648 +68,282 +14% $1.02 542,827 09 Jul 2021 Direct
transaction NLST Common Stock Sale $402,871 -68,282 -13% $5.90 474,545 09 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 +6,718 +3.2% $0.000000 218,282 08 Jul 2021 Common Stock 6,718 $1.02 Direct F2
transaction NLST Employee Stock Option (right to buy) Options Exercise $0 +68,282 +84% $0.000000 150,000 09 Jul 2021 Common Stock 68,282 $1.02 Direct F2
* 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 May 14, 2017 to February 14, 2021.