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. entered into a securities purchase agreement for a registered offering of 14,285,716 shares of common stock and warrants to purchase up to 28,571,432 additional shares, at a combined price of $0.70 per share and accompanying warrant, for aggregate gross proceeds of approximately $10.0 million and expected net proceeds of approximately $9.1 million. The company expects the transaction to close on or about October 7, 2025 and plans to use the net proceeds for general corporate purposes, including working capital.
The five-year warrants are immediately exercisable at $0.70 per share and include 4.99%/9.99% ownership blockers and anti-dilution adjustments tied to future common stock or equivalent issuances. Netlist engaged Roth Capital Partners as placement agent for a 4.0% cash fee on gross proceeds and agreed to 90-day lock-up arrangements for the company and its directors and executive officers, plus a six-month restriction on entering variable rate transactions. Existing June 2025 warrants, including those held by CEO Chun K. Hong for up to 8,571,430 shares, will be amended with revised anti-dilution terms and a reset exercise price to the lesser of $0.60 and a VWAP-based measure, pursuant to waivers and approvals by independent board committees.
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 $0.70 per share and accompanying Warrant. The company expects to receive approximately $9.1M in net proceeds before any warrant exercises and after placement agent fees and estimated offering expenses of about $542,000. Each Warrant is exercisable for five years at an initial exercise price of $0.70, with customary anti-dilution adjustments and an ownership cap of 4.99% (or 9.99% if elected). The offering includes adjustments to outstanding June 2025 Warrants, potentially reducing their exercise price to the lesser of $0.60 or the lowest VWAP during a defined period. Proceeds are for general corporate purposes and working capital.
Netlist, Inc. filed a Form S-8 to register securities for its employee benefit plan and incorporates by reference its Annual Report on Form 10-K for the fiscal year ended December 28, 2024, Quarterly Reports on Form 10-Q for the quarters ended March 29, 2025 and June 28, 2025, and multiple Form 8-Ks filed between March and September 2025. The filing includes exhibits such as the Netlist, Inc. 2025 Equity Incentive Plan (Exhibit 10.1), amended charter and bylaws, legal opinions and auditor consents, and a filing fee table. The document is signed by the CEO and CFO on September 26, 2025.
Netlist, Inc. filed an amendment to a prior Form 8-K to incorporate by reference the description of Proposal No. 6 — the 2025 Equity Plan as summarized in the company’s definitive proxy statement. The filing notes that the full text of the 2025 Equity Plan is attached as Exhibit 10.1 and that the summary in the proxy statement is qualified in its entirety by the full plan document. The exhibit is incorporated by reference into the current report.