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