Gail M. Sasaki - Jul 8, 2021 Form 4 Insider Report for NETLIST INC (NLST)

Role
Vice President and CFO
Signature
/s/ Gail M. Sasaki
Stock symbol
NLST
Transactions as of
Jul 8, 2021
Transactions value $
-$366,007
Form type
4
Date filed
7/12/2021, 05:00 PM
Previous filing
Jul 7, 2021
Next filing
Jul 14, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NLST Common Stock Options Exercise $6.85K +6.72K +1.42% $1.02 481K Jul 8, 2021 Direct
transaction NLST Common Stock Sale -$39.6K -6.72K -1.4% $5.90 475K Jul 8, 2021 Direct F1
transaction NLST Common Stock Options Exercise $69.6K +68.3K +14.39% $1.02 543K Jul 9, 2021 Direct
transaction NLST Common Stock Sale -$403K -68.3K -12.58% $5.90 475K Jul 9, 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 +6.72K +3.18% $0.00 218K Jul 8, 2021 Common Stock 6.72K $1.02 Direct F2
transaction NLST Employee Stock Option (right to buy) Options Exercise $0 +68.3K +83.56% $0.00 150K Jul 9, 2021 Common Stock 68.3K $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.