FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
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2. Issuer Name
and
Ticker or Trading Symbol
NETLIST INC [ NLST ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Vice President of Sales |
C/O NETLIST, INC., 51 DISCOVERY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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IRVINE, CA 92618 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 4/15/2008 | S (1) | 100 | D | $1.38 | 906150 | I | by 2006 Lopes Family Trust | ||
Common Stock | 4/15/2008 | S (1) | 100 | D | $1.41 | 906050 | I | by 2006 Lopes Family Trust | ||
Common Stock | 4/15/2008 | S (1) | 200 | D | $1.37 | 905850 | I | by 2006 Lopes Family Trust | ||
Common Stock | 4/15/2008 | S (1) | 450 | D | $1.36 | 905400 | I | by 2006 Lopes Family Trust | ||
Common Stock | 4/15/2008 | S (1) | 1119 | D | $1.40 | 904281 | I | by 2006 Lopes Family Trust | ||
Common Stock | 4/15/2008 | S (1) | 750 | D | $1.44 | 903531 | I | by 2006 Lopes Family Trust | ||
Common Stock | 4/15/2008 | S (1) | 50 | D | $1.43 | 903481 | I | by 2006 Lopes Family Trust | ||
Common Stock | 4/15/2008 | S (1) | 169 | D | $1.33 | 903312 | I | by 2006 Lopes Family Trust | ||
Common Stock | 4/15/2008 | S (1) | 62 | D | $1.32 | 903250 | I | by 2006 Lopes Family Trust | ||
Common Stock | 4/16/2008 | S (1) | 150 | D | $1.30 | 903100 | I | by 2006 Lopes Family Trust | ||
Common Stock | 4/16/2008 | S (1) | 2000 | D | $1.28 | 901100 | I | by Lopes Family Trust | ||
Common Stock | 4/16/2008 | S (1) | 1850 | D | $1.35 | 899250 | I | by 2006 Lopes Family Trust |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: | |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2008. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Lopes Christopher
C/O NETLIST, INC. 51 DISCOVERY IRVINE, CA 92618 |
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Vice President of Sales |
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Signatures
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/s/ Christopher Lopes | 4/17/2008 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |