Netlist, Inc. — Director's Dealing 2021

Aug 23, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NETLIST INC (NLST)
CIK: 0001282631
Period of Report: 2021-08-19

Reporting Person: Hong Chun K (Director, President, CEO and Chairman)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-19	Common Stock	M	267000	$3.59	Acquired	1217684	Direct
2021-08-19	Common Stock	S	267000	$7.3328	Disposed	950.684	Direct
2021-08-20	Common Stock	M	33000	$3.59	Acquired	983684	Direct
2021-08-20	Common Stock	S	33000	$6.8433	Disposed	950684	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-19	Employee Stock Option (right to buy)	$3.59	M	267000	Acquired	2022-02-27	Common Stock (267000)	Direct
2021-08-20	Employee Stock Option (right to buy)	$3.59	M	33000	Acquired	2022-02-27	Common Stock (33000)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4811177	Indirect

Footnotes

F1: This option vested in 16 equal quarterly installments from May 27, 2012 to February 27, 2016