Welcome to our dedicated page for Netlist SEC filings (Ticker: NLST), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Netlist, Inc. (NLST) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures, including current reports on Form 8-K and related amendments. These filings offer structured details on Netlist’s financial results, capital-raising transactions, governance decisions, and material legal or corporate events tied to its advanced memory and storage business.
For NLST, recent Form 8-K filings describe quarterly financial results, including net sales, gross profit, operating expenses such as research and development and intellectual property legal fees, and net loss figures. Other 8-Ks explain material definitive agreements, such as a Securities Purchase Agreement for a registered direct offering of common stock and common stock purchase warrants, along with placement agency agreements, lock-up arrangements, and warrant amendments.
Netlist’s amended Form 8-K (8-K/A) also documents shareholder-approved changes to its capital structure and compensation plans. These include an increase in authorized common shares and the adoption of the Netlist, Inc. 2025 Equity Incentive Plan, as well as voting results from its annual meeting of stockholders. Such filings help investors understand how Netlist manages its equity, governance, and long-term incentive programs.
On Stock Titan, NLST filings are updated as they appear on EDGAR, and AI-powered summaries highlight the key points in each document. Users can quickly see what a particular filing covers, from capital markets activity to changes in authorized shares or new equity plans, without reading every page. This makes it easier to follow how Netlist’s regulatory disclosures relate to its operations in advanced memory technologies and its ongoing intellectual property and financing activities.
Netlist Inc. insider activity centers on option exercise and planned sales. The company’s President, CEO and Chairman exercised an employee stock option for 300,000 shares of common stock at $0.70 per share, paying a total of $283,248.00 in cash including exercise price and withholding taxes. The option was previously scheduled to expire on 01/18/2026, and no shares were sold or withheld to cover the exercise.
Following this, the insider reported selling 200,000 shares of common stock at $1.00 per share and an additional 50,000 shares at $1.00 per share. These sales were executed under Rule 10b5-1 trading plans adopted on September 12, 2025, one by the reporting person and one by the Hong-Cha Property Trust. After the transactions, the insider reported 8,354,382 shares held directly, including shares underlying unvested restricted stock units, and 3,561,177 shares held indirectly through the Hong-Cha Property Trust.
Netlist (NLST) stockholder filed a notice of proposed sale under Rule 144 for 250,000 common shares, to be sold through Needham & Company LLC on the OTCQB market. The filing lists an aggregate market value of $250,000.00 for these shares and states that 307,249,351 shares of the issuer’s stock are outstanding.
The seller’s shares were acquired over time from the issuer, including vested restricted stock units dated 09/07/2020, 03/06/2021, 03/08/2021, and 09/07/2021, as well as founder shares acquired on 08/09/2007. The consideration for the RSU awards is described as equity compensation. By signing, the seller represents they are not aware of undisclosed material adverse information about Netlist.
Netlist, Inc. reported an equity award to its President, CEO and Chairman in a Form 4 filing. On 11/26/2025, the executive acquired 1,000,000 shares of common stock through restricted stock units at a stated price of $0.00 per share. After this grant, the executive beneficially owns 8,054,382 common shares directly and 3,611,177 common shares indirectly through the Hong-Cha Property Trust.
The filing explains that the restricted stock units, or RSUs, vest over four years, with one quarter of the shares vesting on each anniversary of November 15, 2025. Each RSU represents a contingent right to receive one share of Netlist common stock upon vesting, and the shares are delivered as the RSUs vest over time.
Netlist, Inc. reported that one of its directors received an award of 150,000 shares of common stock in the form of restricted stock units on 11/26/2025 at a grant price of
Netlist, Inc. reported that its Executive Vice President and Chief Financial Officer, Gail M. Sasaki, received a grant of 200,000 restricted stock units (RSUs) of Netlist common stock on 11/26/2025. These RSUs vest over four years, with one quarter of the shares vesting on each anniversary of November 15, 2025, and one RSU converts into one share of common stock when it vests. Following this award, Sasaki beneficially owns 539,368 shares of Netlist common stock, which includes shares underlying unvested RSUs.
Netlist Inc. reported an equity award to one of its directors. On 11/26/2025, the director acquired 100,000 shares of Netlist common stock in the form of restricted stock units (RSUs) at a price of $0.00 per share, reflecting a stock-based compensation grant rather than a cash purchase.
The RSUs vest over four years, with one quarter of the shares vesting on each anniversary of November 15, 2025, and shares are delivered upon vesting. After this grant, the director beneficially owns 175,000 shares, which includes shares subject to unvested RSUs.
Netlist, Inc. reported Q3 2025 results. Net sales were $42.2 million, up slightly year over year, with gross profit $1.8 million. Operating loss was $7.2 million and net loss was $7.0 million, or $(0.02) per share.
Cash and cash equivalents were $10.5 million and restricted cash $10.3 million. Inventories rose to $17.6 million. The company reported $27.0 million of deferred revenue as of September 27, 2025. Total liabilities were $69.6 million against total assets of $56.3 million, resulting in a stockholders’ deficit of $13.3 million. Operating cash flow used was $(28.0) million for the nine months.
Sales were concentrated in the PRC ($36.1 million in Q3) and resales of third‑party products comprised 94% of Q3 net sales. One supplier represented 94% of Q3 purchases. Borrowings under the revolving line of credit were $3.4 million, with letters of credit of $10.3 million.
To bolster liquidity, Netlist completed two registered offerings: June 2025 (17,142,860 shares and 34,285,720 warrants; net proceeds $11.3 million) and October 2025 (14,285,716 shares and 28,571,432 warrants; net proceeds $9.1 million). An equity line with Lincoln Park provides up to $75 million, with $73.9 million remaining as of September 27, 2025. Authorized common shares were increased to 675,000,000. Shares outstanding were 307,249,351 as of November 6, 2025.
Netlist, Inc. (NLST) furnished an 8-K to announce its third-quarter financial results. The company issued a press release covering the quarter ended September 27, 2025, which is attached as Exhibit 99.1.
The information under Item 2.02 and Exhibit 99.1 is furnished, not filed, meaning it isn’t subject to Section 18 liability and isn’t automatically incorporated into other Securities Act or Exchange Act filings unless specifically referenced. The filing also includes the Cover Page Inline XBRL as Exhibit 104.
Netlist, Inc. is offering 14,285,716 shares of common stock together with detachable Warrants to purchase up to 28,571,432 additional shares, at a combined price of
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