Sasaki Gail M's Form 4 filing
Netlist Inc (NLST) · filed Jul 7, 2021
- Accession no.
- 0001104659-21-089874
- Filed
- Jul 7, 2021
- Trade date
- Jul 2-6, 2021
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 4 derivative transactions. Open-market sales total $1.40M. It was filed 5 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Sasaki Gail MCIK 0001422990 | Officer (Vice President and CFO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 2, 2021 | Common Stock | SSaleDisposed | −50,000 | $4.20 | −$210,000 | 474,545 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +75,000 | $0.70 | +$52,500 | 549,545 | Direct | |
| Jul 6, 2021 | Common Stock | SSaleDisposed | −75,000 | $5.25 | −$393,750 | 474,545 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +15,000 | $0.71 | +$10,650 | 489,545 | Direct | |
| Jul 6, 2021 | Common Stock | SSaleDisposed | −15,000 | $5.25 | −$78,750 | 474,545 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +60,000 | $0.71 | +$42,600 | 534,545 | Direct | |
| Jul 6, 2021 | Common Stock | SSaleDisposed | −60,000 | $5.25 | −$315,000 | 474,545 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +75,000 | $0.84 | +$63,000 | 549,545 | Direct | |
| Jul 6, 2021 | Common Stock | SSaleDisposed | −75,000 | $5.40 | −$405,000 | 474,545 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +75,000 | $0.00 | $0 | 375,000 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +15,000 | $0.00 | $0 | 360,000 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +60,000 | $0.00 | $0 | 300,000 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +75,000 | $0.00 | $0 | 225,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.