Filing Details
- Accession Number:
- 0001104659-11-018294
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-01 18:35:11
- Reporting Period:
- 2011-03-17
- Filing Date:
- 2011-04-01
- Accepted Time:
- 2011-04-01 18:35:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1422990 | M Gail Sasaki | 51 Discovery, Suite 150 Irvine CA 92618 | Vice President And Cfo | No | Yes | No | 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 | 2011-03-30 | 1,875 | $3.00 | 13,125 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-30 | 8,125 | $0.29 | 21,250 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-03-30 | 8,125 | $3.00 | 13,125 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
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 | 75,000 | $0.00 | 75,000 | $2.21 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-03-30 | 8,125 | $0.00 | 8,125 | $0.29 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 75,000 | 2021-03-17 | No | 4 | A | Direct | |
| 16,875 | 2018-11-20 | No | 4 | M | Direct |
Footnotes
- Sales reported were effected pursuant to a Rule 10b-5-1 trading plan previously adopted by the reporting person.
- Exercise of stock option and same day sale of underlying common shares pursuant to the Amended and Restated Netlist, Inc. Equity Incentive Plan.
- The option vests in sixteen (16) equal quarterly installments through March 17, 2015.
- The option vests in sixteen (16) equal quarterly installments through December 4, 2012.
Billionaire Hedge Funds
