SEC Form 4 · accession 0001104659-16-139836
NETLIST INC · NLST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chun K Hong
Officer — President, CEO and Chairman · Director · 10% Owner
Period of report
Aug 11, 2016
Accepted (ET)
Aug 15, 2016 · 8:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001282631
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 11, 2016 | S | 66,954 | $1.67 | D | 5,085,849 | I | Hong-Cha Property Trust |
| Common Stock | Aug 15, 2016 | S | 133,046 | $1.67 | D | 4,952,803 | I | Hong-Cha Property Trust |
| Common Stock | holding | — | — | — | 85,568 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale of stock in a private transaction to an accredited investor and is subject to the registration requirements of the Securities Act of 1933.