0001104659-20-095190 8-A12G 2 20200814 20200814 NETLIST INC 0001282631 3674 954812784 DE 0102 8-A12G 34 000-56197 201102625 175 TECHNOLOGY DRIVE, SUITE 150 IRVINE CA 92618 949-435-0025 175 TECHNOLOGY DRIVE, SUITE 150 IRVINE CA 92618 8-A12G 1 tm2027461-1_8a12g.htm 8-A12G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM 8-A

 

 

 

FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR 12(g) OF THE

SECURITIES EXCHANGE ACT OF 1934

 

 

 

 

NETLIST, INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   95-4812784
(State of incorporation or organization)   (I.R.S. Employer Identification No.)

 

175 Technology, Suite 150
Irvine, California 92618

(Address of principal executive offices) (Zip Code)

 

 

Securities to be registered pursuant to Section 12(b) of the Act:

 

Title of each class
to be so registered
  Name of each exchange on which
each class is to be registered
None   None

 

If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c) or (e), check the following box. ¨

 

If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box. x

 

If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box.  ¨

 

Securities Act registration statement or Regulation A offering statement file number to which this form relates:
Not applicable

 

Securities to be registered pursuant to Section 12(g) of the Act:
Series A Preferred Stock Purchase Rights

(Title of Class)

 

 

 

 

Item 1.   Description of Registrant’s Securities to be Registered.

 

On August 14, 2020, Netlist, Inc. (the “Company”) entered into a third amendment (the “Third Amendment”) to its Rights Agreement with Computershare Trust Company, N.A., as rights agent. The description of the Third Amendment set forth under Item 1.01 of the Current Report on Form 8-K filed by the Company on August 14, 2020 under the Securities Exchange Act of 1934, as amended, is incorporated herein by reference.

 

The description of each right to acquire the Company’s common stock, par value $0.001 per share, is incorporated herein by reference to the information contained in Items 1 and 2 of the Registration Statement on Form 8-A filed with the Securities and Exchange Commission (the “Commission”) by the Company on April 17, 2017, and as amended by that certain Amendment No. 1 on Form 8-A/A filed with the Commission by the Company on April 17, 2018 and that certain Amendment No. 2 on Form 8-A/A filed with the Commission by the Company on April 17, 2019.

 

Item 2.   Exhibits.

 

Exhibit       Filed   Incorporated by Reference
No.   Description   Herewith   Form   File No.   Exhibit   Filing Date
3.1   Restated Certificate of Incorporation of Netlist, Inc.       10-Q   001-33170   3.1   August 15, 2017
3.1.1   Certificate of Amendment to the Restated Certificate of Incorporation of Netlist, Inc.       10-Q   001-33170   3.1.1   August 15, 2017
3.1.2   Certificate of Amendment to the Restated Certificate of Incorporation of Netlist, Inc.       8-K   001-33170   3.1   August 17, 2018
3.1.3   Certificate of Amendment to the Restated Certificate of Incorporation of Netlist, Inc.       8-K   001-33170   3.1   August 10, 2020
3.1.4   Certificate of Designation of the Series A Preferred Stock of Netlist, Inc.       10-Q   001-33170   3.1.2   August 15, 2017
4.1   Rights Agreement, dated as of April 17, 2017, by and between Netlist, Inc. and Computershare Trust Company, N.A., as rights agent       8-K   001-33170   4.1   April 17, 2017
4.2   Amendment No. 1 to Rights Agreement, dated as of April 16, 2018, by and between the Company and Computershare Trust Company, N.A., as rights agent       8-K   001-33170   4.1   April 17, 2018
4.3   Amendment No. 2 to Rights Agreement, dated as of April 16, 2019, by and between the Company and Computershare Trust Company, N.A., as rights agent       8-K   001-33170   4.1   April 17, 2019
4.4   Amendment No. 3 to Rights Agreement, dated as of August 14, 2020, by and between the Company and Computershare Trust Company, N.A., as rights agent         8-K   001-33170   4.1   August 14, 2020

 

2

 

 

SIGNATURE

 

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized.

 

  NETLIST, INC.
     
Date: August 14, 2020 By: /s/ Gail M. Sasaki
    Gail M. Sasaki
    Vice President, Chief Financial Officer and Secretary

 

3

 

 

GRAPHIC 2 tm2027461-1_8a12gimg001.jpg GRAPHIC begin 644 tm2027461-1_8a12gimg001.jpg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end