0001104659-21-091227.txt : 20210712 0001104659-21-091227.hdr.sgml : 20210712 20210712170029 ACCESSION NUMBER: 0001104659-21-091227 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210708 FILED AS OF DATE: 20210712 DATE AS OF CHANGE: 20210712 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: 211086068 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 tm2121203-4_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-07-08 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 2021-07-08 4 M 0 6718 1.02 A 481363 D Common Stock 2021-07-08 4 S 0 6718 5.90 D 474545 D Common Stock 2021-07-09 4 M 0 68282 1.02 A 542827 D Common Stock 2021-07-09 4 S 0 68282 5.9001 D 474545 D Employee Stock Option (right to buy) 1.02 2021-07-08 4 M 0 6718 0 A 2027-02-14 Common Stock 6718 218282 D Employee Stock Option (right to buy) 1.02 2021-07-09 4 M 0 68282 0 A 2027-02-14 Common Stock 68282 150000 D This transaction was effected pursuant to a Rule 10b5-1 Plan. This option vested in 16 equal quarterly installments from May 14, 2017 to February 14, 2021. /s/ Gail M. Sasaki 2021-07-12