Filing Details
- Accession Number:
- 0001104659-11-018271
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-01 16:47:06
- Reporting Period:
- 2011-03-08
- Filing Date:
- 2011-04-01
- Accepted Time:
- 2011-04-01 16:47:06
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1282631 | Netlist Inc | NLST | Semiconductors & Related Devices (3674) | 954812784 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1381057 | K Chun Hong | 51 Discovery, Suite 150 Irvine CA 92618 | President, Ceo And Chairman | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2011-03-08 | 5,260 | $2.37 | 2,558,904 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2011-03-30 | 100,000 | $3.00 | 2,700,000 | No | 4 | S | Indirect | Hong-Cha Community Property Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| No | 4 | S | Indirect | Hong-Cha Community Property Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Acquisiton | 2011-03-17 | 300,000 | $0.00 | 300,000 | $2.21 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 300,000 | 2021-03-17 | No | 4 | A | Direct |
Footnotes
- Represents shares being withheld by issuer to satisfy tax withholding obligations associated with the vesting of restricted stock.
- Sales reported were effected pursuant to a Rule 10b-5-1 trading plan previously adopted by the reporting person.
- The option vests in sixteen (16) equal quarterly installments through March 17, 2015.
Billionaire Hedge Funds
