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.
Netlist, Inc. reports material-event disclosures through SEC filings covering financial results, headquarters lease obligations, shareholder voting matters, governance actions, and amendments to its Restated Certificate of Incorporation. Recent Forms 8-K and 8-K/A include furnished earnings releases, material definitive agreement disclosures, annual-meeting results, and related corporate-governance updates.
The filings identify Netlist’s common stock, par value $0.001 per share, under the symbol NLST, with no Section 12(b) exchange listing. They also document the company’s status as a reporting issuer, exhibit filings for press releases and agreements, and formal disclosures tied to capital structure, stockholder approvals, and board or compensation matters.
Hong Chun K reported acquisition or exercise transactions in this Form 4 filing.
Netlist Inc reports that President, CEO and Chairman Hong Chun K received a grant of 4,000,000 restricted stock units on July 16, 2026 at $0.0000 per share. The RSUs vest in five annual installments beginning August 15, 2027, with one share delivered per vested unit. Following this award, he holds 12,676,887 Netlist shares directly, including unvested RSUs, and 3,511,177 shares indirectly through the Hong-Cha Property Trust.
Netlist, Inc. adopted a new 2026 Performance Equity Plan that authorizes the company to grant stock options, restricted and unrestricted stock, and other stock-based awards to employees, consultants, and directors. The plan reserves 33,600,000 shares of common stock, par value $0.001 per share, for future equity awards.
The board of directors approved the plan without stockholder approval and intends to grant performance-based awards to executive officers, including one or more named executive officers, as incentive compensation. Detailed terms of the plan and the related restricted stock unit agreement are provided in the attached exhibits.
SASAKI GAIL M reported acquisition or exercise transactions in this Form 4 filing.
NETLIST INC executive vice president and CFO Gail M. Sasaki received an award of 200,000 shares of common stock in the form of restricted stock units. These RSUs vest over four years, with one quarter of the shares vesting on each anniversary of June 9, 2026, and are delivered upon vesting. Following this grant, Sasaki directly holds 684,594 shares of common stock, a figure that includes shares subject to unvested RSUs.
Cho Jun reported acquisition or exercise transactions in this Form 4 filing.
NETLIST INC director Jun Cho received a grant of 100,000 restricted stock units tied to the company’s common stock. The RSUs vest over four years, with one-quarter vesting on each anniversary of June 9, 2026, and shares delivered upon vesting. Following this award, Cho holds 300,000 shares including unvested RSUs, reflecting routine equity-based compensation rather than an open-market purchase or sale.
NETLIST INC director Blake Welcher received an equity grant of 100,000 shares of common stock in the form of restricted stock units. The award carries a grant/award acquisition price of $0.00 per share and is compensation, not an open-market purchase.
The RSUs vest over four years, with one quarter of the shares vesting on each anniversary of June 9, 2026, and shares delivered upon vesting. Each RSU represents a contingent right to receive one share of common stock. After this grant, Welcher holds 200,000 shares directly, including shares subject to unvested RSUs.
NETLIST INC President, CEO and Chairman Chun K. Hong reported both a large equity award and a modest stock sale. He received a grant of 856,500 restricted stock units (RSUs), with one quarter of the RSUs vesting on each anniversary of June 9, 2026 over four years. Each RSU represents a contingent right to receive one share of common stock upon vesting, and his reported direct holdings include shares subject to unvested RSUs.
On June 8, 2026, he conducted an open-market sale of 40,000 shares of common stock at a weighted average price of $2.7188 per share, with individual trades between $2.51 and $2.81. After these transactions, he directly held 8,676,887 shares of common stock and indirectly held 3,511,177 shares through the Hong-Cha Property Trust.
Netlist, Inc. (NLST) submitted a Form 144 notice listing proposed resale of restricted-equity shares and reporting three recent share sales by an identified holder. The filing lists vested Restricted Stock Units dated 08/11/2022, 09/06/2022, and 09/07/2022 with quantities 12,318, 24,532, and 3,150 respectively. The filing also records three transactions by CHUN K HONG on 03/12/2026 (55,500 shares, $83,250.00), 03/13/2026 (194,500 shares, $291,750.00), and 03/16/2026 (93,995 shares, $141,077.10), and identifies Needham and Company, LLC with a figure of 40,000 under the securities-to-be-sold line.
NETLIST INC EVP and CFO Gail M. Sasaki reported an open-market sale of 8,876 shares of Common Stock at a weighted average price of $2.6264 per share. According to the footnotes, these shares were sold solely to cover tax withholding obligations tied to the vesting of restricted stock units through a "sell to cover" transaction, and the sale is described as non-discretionary.
The shares were sold in multiple trades at prices ranging from $2.5624 to $2.70 per share. After these transactions, Sasaki directly holds 484,594 shares, and this amount includes shares subject to unvested restricted stock units, indicating she retains a substantial equity position in the company.
Netlist Inc. reported proposed insider sales via a Form 144 notice, including 25,000 vested Restricted Stock Units listed for sale with an intended sale date of 05/15/2026. The filing also records recent dispositions by Gail Sasaki of 20,898 shares on 03/16/2026 and 25,000 shares on 05/11/2026.
NETLIST INC executive vice president and CFO Gail M. Sasaki reported an open-market sale of 25,000 shares of common stock at $3.49 per share. The transaction occurred on May 11, 2026 and was executed under a pre-arranged Rule 10b5-1 trading plan adopted on September 12, 2025.
Following this sale, Sasaki directly holds 493,470 shares of Netlist common stock, a figure that includes shares subject to unvested restricted stock units. The filing shows no option exercises or derivative transactions associated with this trade.