0001104659-21-089874.txt : 20210707
0001104659-21-089874.hdr.sgml : 20210707
20210707175659
ACCESSION NUMBER: 0001104659-21-089874
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210702
FILED AS OF DATE: 20210707
DATE AS OF CHANGE: 20210707
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: 211078412
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: 0101
BUSINESS ADDRESS:
STREET 1: 175 TECHNOLOGY DRIVE, SUITE 150
CITY: IRVINE
STATE: CA
ZIP: 92618
BUSINESS PHONE: 949-435-0025
MAIL ADDRESS:
STREET 1: 175 TECHNOLOGY DRIVE, SUITE 150
CITY: IRVINE
STATE: CA
ZIP: 92618
4
1
tm2121203-3_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-07-02
0
0001282631
NETLIST INC
NLST
0001422990
SASAKI GAIL M
175 TECHNOLOGY, SUITE 150
IRVINE
CA
92618
0
1
0
0
Vice President and CFO
Common Stock
2021-07-02
4
S
0
50000
4.20
D
474545
D
Common Stock
2021-07-06
4
M
0
75000
0.70
A
549545
D
Common Stock
2021-07-06
4
S
0
75000
5.25
D
474545
D
Common Stock
2021-07-06
4
M
0
15000
0.711
A
489545
D
Common Stock
2021-07-06
4
S
0
15000
5.25
D
474545
D
Common Stock
2021-07-06
4
M
0
60000
0.710
A
534545
D
Common Stock
2021-07-06
4
S
0
60000
5.25
D
474545
D
Common Stock
2021-07-06
4
M
0
75000
0.842
A
549545
D
Common Stock
2021-07-06
4
S
0
75000
5.40
D
474545
D
Employee Stock Option (right to buy)
0.70
2021-07-06
4
M
0
75000
0
A
2026-01-18
Common Stock
75000
375000
D
Employee Stock Option (right to buy)
0.711
2021-07-06
4
M
0
15000
0
A
2023-02-11
Common Stock
15000
360000
D
Employee Stock Option (right to buy)
0.710
2021-07-06
4
M
0
60000
0
A
2023-02-11
Common Stock
60000
300000
D
Employee Stock Option (right to buy)
0.842
2021-07-06
4
M
0
75000
0
A
2025-01-06
Common Stock
75000
225000
D
This transaction was effected pursuant to a Rule 10b5-1 Plan.
This option vested in 16 equal quarterly installments from April 18, 2016 to January 18, 2020.
This option vested in 16 equal installments from May 11, 2013 to February 11, 2017.
This option vested in 16 equal installments from May 11, 2013 to February 11, 2017.
This option vested in 16 equal installments from April 6, 2015 to January 6, 2019
/s/ Gail M. Sasaki
2021-07-07