Hong Chun K's Form 4 filing
Netlist Inc (NLST) · filed Aug 23, 2021
- Accession no.
- 0001104659-21-108612
- Filed
- Aug 23, 2021
- Trade date
- Aug 19-20, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.18M. It was filed 4 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 |
|---|---|
| Hong Chun KCIK 0001381057 | Director, Officer (President, CEO and Chairman) |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 19, 2021 | Common Stock | MOption exerciseAcquired | +267,000 | $3.59 | +$958,530 | 1,217,684 | Direct | |
| Aug 19, 2021 | Common Stock | SSaleDisposed | −267,000 | $7.33 | −$1,957,110 | 950.68 | Direct | |
| Aug 20, 2021 | Common Stock | MOption exerciseAcquired | +33,000 | $3.59 | +$118,470 | 983,684 | Direct | |
| Aug 20, 2021 | Common Stock | SSaleDisposed | −33,000 | $6.84 | −$225,720 | 950,684 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 19, 2021 | Common Stock | MOption exerciseAcquired | +267,000 | $0.00 | $0 | 2,533,000 | Direct | |
| Aug 20, 2021 | Common Stock | MOption exerciseAcquired | +33,000 | $0.00 | $0 | 2,500,000 | 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.