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NETLIST INC

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4386
SEC CIK
0001282631
Parsed reports
119

Last 12 months

Inside the activity.

0 purchase rows · 18 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202602
Feb 202600
Mar 202607
Apr 202603
May 202602
Jun 202601
Jul 202600
Aug 202603
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 13, 2021 Filed Jul 14, 2021 21:01 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 75,000 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001104659-21-092158 · tm2121203-6_4seq1.xml · derivative · entry 4

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2024-02-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option vested in 16 equal quarterly installments from May 21, 2014 to February 21, 2018.

Read SEC document
July 13, 2021 Filed Jul 14, 2021 21:01 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 75,000 $7.20 $540,000.00
Disclosure

SEC source: 0001104659-21-092158 · tm2121203-6_4seq1.xml · nonDerivative · entry 3

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,888

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
July 13, 2021 Filed Jul 14, 2021 21:01 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionCommon Stock 75,000 $2.05 $153,750.00
Disclosure

SEC source: 0001104659-21-092158 · tm2121203-6_4seq1.xml · nonDerivative · entry 2

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 488,888

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 12, 2021 Filed Jul 14, 2021 21:01 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 60,657 $6.40 $388,465.63
Disclosure

SEC source: 0001104659-21-092158 · tm2121203-6_4seq1.xml · nonDerivative · entry 1

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,888

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
July 09, 2021 Filed Jul 12, 2021 21:00 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 68,282 $0.00 Strike: $1.02 $0.00
Disclosure

SEC source: 0001104659-21-091227 · tm2121203-4_4seq1.xml · derivative · entry 6

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 68,282 shares

Expires 2027-02-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option vested in 16 equal quarterly installments from May 14, 2017 to February 14, 2021.

Read SEC document
July 09, 2021 Filed Jul 12, 2021 21:00 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 68,282 $5.90 $402,870.63
Disclosure

SEC source: 0001104659-21-091227 · tm2121203-4_4seq1.xml · nonDerivative · entry 4

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 474,545

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
July 09, 2021 Filed Jul 12, 2021 21:00 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionCommon Stock 68,282 $1.02 $69,647.64
Disclosure

SEC source: 0001104659-21-091227 · tm2121203-4_4seq1.xml · nonDerivative · entry 3

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 542,827

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 08, 2021 Filed Jul 12, 2021 21:00 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 6,718 $0.00 Strike: $1.02 $0.00
Disclosure

SEC source: 0001104659-21-091227 · tm2121203-4_4seq1.xml · derivative · entry 5

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,282

Underlying: Common Stock · 6,718 shares

Expires 2027-02-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option vested in 16 equal quarterly installments from May 14, 2017 to February 14, 2021.

Read SEC document
July 08, 2021 Filed Jul 12, 2021 21:00 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 6,718 $5.90 $39,636.20
Disclosure

SEC source: 0001104659-21-091227 · tm2121203-4_4seq1.xml · nonDerivative · entry 2

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 474,545

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
July 08, 2021 Filed Jul 12, 2021 21:00 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionCommon Stock 6,718 $1.02 $6,852.36
Disclosure

SEC source: 0001104659-21-091227 · tm2121203-4_4seq1.xml · nonDerivative · entry 1

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,363

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 75,000 $0.00 Strike: $0.84 $0.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · derivative · entry 13

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 75,000 shares

Expires 2025-01-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: This option vested in 16 equal installments from April 6, 2015 to January 6, 2019

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 60,000 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · derivative · entry 12

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 60,000 shares

Expires 2023-02-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: This option vested in 16 equal installments from May 11, 2013 to February 11, 2017.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 15,000 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · derivative · entry 11

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 360,000

Underlying: Common Stock · 15,000 shares

Expires 2023-02-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This option vested in 16 equal installments from May 11, 2013 to February 11, 2017.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 75,000 $0.00 Strike: $0.70 $0.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · derivative · entry 10

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

Underlying: Common Stock · 75,000 shares

Expires 2026-01-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option vested in 16 equal quarterly installments from April 18, 2016 to January 18, 2020.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 75,000 $5.40 $405,000.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · nonDerivative · entry 9

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 474,545

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionCommon Stock 75,000 $0.84 $63,150.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · nonDerivative · entry 8

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549,545

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 60,000 $5.25 $315,000.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · nonDerivative · entry 7

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 474,545

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionCommon Stock 60,000 $0.71 $42,600.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · nonDerivative · entry 6

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 534,545

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 15,000 $5.25 $78,750.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · nonDerivative · entry 5

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 474,545

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionCommon Stock 15,000 $0.71 $10,665.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · nonDerivative · entry 4

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 489,545

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 75,000 $5.25 $393,750.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · nonDerivative · entry 3

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 474,545

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
July 06, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
Exercise / conversionCommon Stock 75,000 $0.70 $52,500.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · nonDerivative · entry 2

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549,545

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 21:56 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 50,000 $4.20 $210,000.00
Disclosure

SEC source: 0001104659-21-089874 · tm2121203-3_4seq1.xml · nonDerivative · entry 1

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 474,545

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 21:00 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 378,056 $4.00 $1,512,224.00
Disclosure

SEC source: 0001104659-21-088956 · tm2120860-2_4seq1.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 4,811,177

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 plan.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 21:00 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 50,000 $3.40 $170,170.00
Disclosure

SEC source: 0001104659-21-088959 · tm2121203-1_4seq1.xml · nonDerivative · entry 1

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 524,545

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
June 28, 2021 Filed Jun 30, 2021 21:00 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 69,000 $3.09 $213,265.20
Disclosure

SEC source: 0001104659-21-087658 · tm2120860-1_4seq1.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 5,189,233

F1 · kind: This transaction was affected pursuant to a Rule 10b5-1 plan.

Read SEC document
May 26, 2021 Filed May 28, 2021 21:00 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 250,000 $2.09 $523,375.00
Disclosure

SEC source: 0001104659-21-074276 · tm2117736-1_4seq1.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 5,258,233

Read SEC document
April 06, 2021 Filed Apr 9, 2021 01:01 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 50,000 $2.90 $145,000.00
Disclosure

SEC source: 0001104659-21-048240 · tm2112339-2_4seq1.xml · nonDerivative · entry 1

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 574,545

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
April 06, 2021 Filed Apr 9, 2021 01:02 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 931,000 $2.85 $2,651,674.20
Disclosure

SEC source: 0001104659-21-048241 · tm2112339-1_4seq1.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 5,508,233

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
March 16, 2021 Filed Mar 18, 2021 20:00 UTC
SASAKI GAIL MVice President and CFO
SaleCommon Stock 50,000 $1.93 $96,500.00
Disclosure

SEC source: 0001104659-21-038334 · tm219978-1_4seq1.xml · nonDerivative · entry 1

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 624,545

Read SEC document
March 08, 2021 Filed Mar 9, 2021 02:31 UTC
Hong Chun KDirector · President, CEO and Chairman
Tax withholdingCommon Stock 53,273 $1.82 $96,956.86
Disclosure

SEC source: 0001104659-21-033450 · tm219065-1_4seq1.xml · nonDerivative · entry 2

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 950,684

F1 · shares: Represents shares being withheld by issuer to satisfy tax withholding obligations associated with the vesting of restricted stock.

Read SEC document
March 04, 2021 Filed Mar 9, 2021 02:31 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 218,975 $2.25 $492,584.26
Disclosure

SEC source: 0001104659-21-033450 · tm219065-1_4seq1.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 6,439,233

Read SEC document
February 16, 2021 Filed Feb 18, 2021 22:00 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 449,785 $1.00 $450,144.83
Disclosure

SEC source: 0001104659-21-025282 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 6,658,208

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
February 09, 2021 Filed Feb 10, 2021 22:59 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 46,841 $1.00 $46,841.00
Disclosure

SEC source: 0001104659-21-019966 · a4.xml · nonDerivative · entry 2

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 7,107,993

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 22:59 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 503,374 $1.01 $509,112.46
Disclosure

SEC source: 0001104659-21-019966 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 7,154,834

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan.

Read SEC document
January 13, 2021 Filed Jan 15, 2021 22:01 UTC
SASAKI GAIL MVice President and CFO
GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-004797 · a4.xml · nonDerivative · entry 1

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 674,545

F1 · shares: These restricted stock units (RSUs) granted on January 13, 2021 vest in installments of 12,500 beginning on July 13, 2021 semi-annually through January 13,2025. The shares will be delivered to the reporting person upon vesting of the RSUs. Each RSU represents a contingent right to receive one share of common stock.

Read SEC document
January 13, 2021 Filed Jan 15, 2021 22:00 UTC
Hong Chun KDirector · President, CEO and Chairman · 10% owner
GrantEmployee Stock Option (Right to Buy) · Derivative 1,000,000 $0.00 Strike: $0.72 $0.00
Disclosure

SEC source: 0001104659-21-004791 · a4.xml · derivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,100,000

Underlying: Common Stock · 1,000,000 shares

Expires 2031-01-13

F1 · derivative.exercise_date: The options vests in sixteen (16) equal quarterly installments through January 13, 2025

Read SEC document
September 08, 2020 Filed Sep 10, 2020 00:38 UTC
Hong Chun KDirector · President, CEO and Chairman
Tax withholdingCommon Stock 43,891 $0.46 $20,189.86
Disclosure

SEC source: 0001104659-20-103559 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,003,957

F1 · shares: Represents shares being withheld by issuer to satisfy tax withholding obligations associated with the vesting of restricted stock.

Read SEC document
September 08, 2020 Filed Sep 9, 2021 21:30 UTC
Hong Chun KDirector · President, CEO and Chairman
Tax withholdingCommon Stock 43,891 $6.02 $264,223.82
Disclosure

SEC source: 0001104659-21-114271 · tm2127226-1_4seq1.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 906,793

F1 · shares: Represents shares being withheld by issuer to satisfy tax withholding obligations associated with the vesting of restricted stock.

Read SEC document
June 16, 2020 Filed Jun 18, 2020 21:15 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 1,000,000 $0.67 $674,100.00
Disclosure

SEC source: 0001104659-20-074725 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 7,658,208

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan. Accordingly, the reporting person had no discretion with regard to the timing of the transaction.

Read SEC document
May 14, 2020 Filed May 15, 2020 21:00 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 200,000 $0.20 $40,440.00
Disclosure

SEC source: 0001104659-20-062738 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,047,848

Read SEC document
April 13, 2020 Filed Apr 15, 2020 20:45 UTC
Hong Chun KDirector · President, CEO and Chairman
Tax withholdingCommon Stock 50,521 $0.16 $8,133.88
Disclosure

SEC source: 0001104659-20-046953 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,247,848

F1 · shares: Represents shares being withheld by issuer to satisfy tax withholding obligations associated with the vesting of restricted stock.

Read SEC document
March 12, 2020 Filed Mar 13, 2020 20:30 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 26,873 $0.23 $6,234.54
Disclosure

SEC source: 0001104659-20-033151 · a4.xml · nonDerivative · entry 2

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 8,658,208

Read SEC document
March 11, 2020 Filed Mar 13, 2020 20:30 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 273,127 $0.27 $73,334.60
Disclosure

SEC source: 0001104659-20-033151 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 8,685,081

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March 06, 2020 Filed Mar 10, 2020 15:00 UTC
SASAKI GAIL MVice President and CFO
GrantCommon Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-031128 · a4.xml · nonDerivative · entry 1

SASAKI GAIL M · CIK 0001422990 · Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 574,545

F1 · shares: These restricted stock units (RSUs) granted on March 6, 2020 vest in installments of 9,375 beginning on September 8, 2020 semi-annually through March 6, 2024. The shares will be delivered to the reporting person upon vesting of the RSUs. Each RSU represents a contingent right to receive one share of common stock.

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March 06, 2020 Filed Mar 10, 2020 15:00 UTC
Hong Chun KDirector · President, CEO and Chairman
GrantCommon Stock 300,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-031129 · a4.xml · nonDerivative · entry 2

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,298,369

F2 · shares: These restricted stock units (RSUs) granted on March 6, 2020 vest in installments of 37,500 beginning on September 8, 2020 semi-annually through March 6, 2024. The shares will be delivered to the reporting person upon vesting of the RSUs. Each RSU represents a contingent right to receive one share of common stock.

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March 06, 2020 Filed Mar 10, 2020 15:00 UTC
Hong Chun KDirector · President, CEO and Chairman
Tax withholdingCommon Stock 37,119 $0.31 $11,666.50
Disclosure

SEC source: 0001104659-20-031129 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 998,369

F1 · shares: Represents shares being withheld by issuer to satisfy tax withholding obligations associated with the vesting of restricted stock.

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December 02, 2019 Filed Dec 5, 2019 00:01 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 250,000 $0.33 $81,925.00
Disclosure

SEC source: 0001104659-19-069985 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 8,958,208

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September 06, 2019 Filed Sep 9, 2019 21:00 UTC
Hong Chun KDirector · President, CEO and Chairman
Tax withholdingCommon Stock 31,260 $0.31 $9,690.60
Disclosure

SEC source: 0001104659-19-049342 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,035,488

F1 · shares: Represents shares being withheld by issuer to satisfy tax withholding obligations associated with the vesting of restricted stock.

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August 19, 2019 Filed Aug 21, 2019 21:00 UTC
Hong Chun KDirector · President, CEO and Chairman
SaleCommon Stock 350,000 $0.30 $104,930.00
Disclosure

SEC source: 0001104659-19-046827 · a4.xml · nonDerivative · entry 1

Hong Chun K · CIK 0001381057 · Director · President, CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · Hong-Cha Property Trust

Disclosed balance after: 9,208,208

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.