Chun K. Hong - 19 Aug 2021 Form 4 Insider Report for NETLIST INC (NLST)

Role
President, CEO and Chairman, Director
Signature
/s/ Gail Sasaki, Attorney-in-Fact
Issuer symbol
NLST
Transactions as of
19 Aug 2021
Net transactions value
-$1,106,686
Form type
4
Filing time
23 Aug 2021, 17:00:43 UTC
Previous filing
02 Jul 2021
Next filing
09 Sep 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 $958,530 +267,000 +28% $3.59 1,217,684 19 Aug 2021 Direct
transaction NLST Common Stock Sale $1,957,858 -267,000 -100% $7.33 951 19 Aug 2021 Direct
transaction NLST Common Stock Options Exercise $118,470 +33,000 +3.5% $3.59 983,684 20 Aug 2021 Direct
transaction NLST Common Stock Sale $225,829 -33,000 -3.4% $6.84 950,684 20 Aug 2021 Direct
holding NLST Common Stock 4,811,177 19 Aug 2021 Hong-Cha Property Trust

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 +267,000 +12% $0.000000 2,533,000 19 Aug 2021 Common Stock 267,000 $3.59 Direct F1
transaction NLST Employee Stock Option (right to buy) Options Exercise $0 +33,000 +1.3% $0.000000 2,500,000 20 Aug 2021 Common Stock 33,000 $3.59 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This option vested in 16 equal quarterly installments from May 27, 2012 to February 27, 2016