NLST

Netlist, Inc. NLST

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
AWM Investment Company, Inc. Delaware, United States 4751218 0 4751218 0 4751218 4.7 % 06/07/2018
AWM Investment Company, Inc. Delaware, United States 4751218 0 4751218 0 4751218 4.7 % 06/07/2018
Chun K. Hong 6538371 7.5 % 30/03/2018
Won K. Cha 4752803 5.6 % 30/03/2018
Chun K. Hong and Won K. Cha, as Trustees of the Community Property Trust dtd 08/16/2004 (the Trust”) 4752803 5.6 % 30/03/2018
AWM Investment Company, Inc. Delaware United States 6909089 0 6909089 0 6909089 9.8 % 13/02/2018
Chun K. Hong 6658371 10.8 % 13/02/2017
AWM Investment Company, Inc. Delaware United States 5680928 0 5680928 0 5680928 9.3 % 10/02/2017
AWM Investment Company, Inc. Delaware United States 5680928 0 5680928 0 5680928 9.3 % 10/02/2017
Chun K. Hong 7058371 14.02 % 12/02/2016
Fortress Principal Investment Holdings IV LLC Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Drawbridge Special Opportunities Fund LP Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Drawbridge Special Opportunities GP LLC Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Fortress Principal Investment Holdings IV LLC Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Drawbridge Special Opportunities Advisors LLC Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
FIG LLC Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Fortress Operating Entity I LP Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
FIG Corp. Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Fortress Investment Group LLC Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Drawbridge Special Opportunities Fund LP Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Drawbridge Special Opportunities GP LLC Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Drawbridge Special Opportunities Advisors LLC Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
FIG LLC Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Fortress Operating Entity I LP Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
FIG Corp. Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
Fortress Investment Group LLC Delaware 0 2648351 0 2648351 2648351 5 % 12/02/2016
AWM Investment Company, Inc. Delaware, United States 4954543 0 4954543 0 4954543 9.8 % 11/02/2016
AWM Investment Company, Inc. Delaware United States 4954543 0 4954543 0 4954543 9.8 % 11/02/2016
Chun K. Hong United States 7974318 0 7974318 0 7974318 19.22 % 17/02/2015
Chun K. Hong 7255568 22.83 % 11/02/2014
NorthPointe Capital, LLC I.R.S. IDENTIFICATION NO. OF ABOVE 0 0 % 10/02/2014
Midsummer Small Cap Master, Ltd. Bermuda 1575541 0 1575541 0 1575541 4.99 % 07/02/2014
S Drawbridge Special Opportunities Advisors LLC See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S FIG LLC See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Fortress Operating Entity I LP See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S FIG Corp. See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Fortress Investment Group LLC See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Drawbridge Special Opportunities Fund LP See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Drawbridge Special Opportunities GP LLC See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Fortress Principal Investment Holdings IV LLC See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Drawbridge Special Opportunities Advisors LLC See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S FIG LLC See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Fortress Operating Entity I LP See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S FIG Corp. See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Fortress Investment Group LLC See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Drawbridge Special Opportunities Fund LP See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Drawbridge Special Opportunities GP LLC See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
S Fortress Principal Investment Holdings IV LLC See Instructions Delaware 0 1648351 0 1648351 1648351 5.1 % 29/07/2013
NorthPointe Capital, LLC I.R.S. IDENTIFICATION NO. OF ABOVE 1662214 5.9 % 11/02/2013
Chun K. Hong 6324318 20.84 % 05/02/2013
Midsummer Small Cap Master, Ltd. Bermuda 1740501 0 1740501 0 1740501 5.73 % 04/01/2013
Capital Ventures International Cayman Islands 0 0 0 0 0 0 % 11/02/2011
Heights Capital Management, Inc. Delaware 0 0 0 0 0 0 % 11/02/2011
Renaissance Technologies LLC Delaware 96700 0 96700 0 96700 0.38 % 11/02/2011
RENAISSANCE TECHNOLOGIES HOLDINGS CORPORATION Delaware 96700 0 96700 0 96700 0.38 % 11/02/2011
James H. Simons United States 0 0 0 0 0 0 % 11/02/2011
Chun K. Hong 5364164 23.24 % 01/02/2011
Jun S. Cho 895500 3.54 % 01/02/2011
Heights Capital Management, Inc. Delaware 0 1600000 0 1600000 1600000 6.9 % 29/03/2010
Capital Ventures International Cayman Islands 0 1600000 0 1600000 1600000 6.9 % 29/03/2010
Heights Capital Management, Inc. Delaware 0 1600000 0 1600000 1600000 6.9 % 29/03/2010
Capital Ventures International Cayman Islands 0 1600000 0 1600000 1600000 6.9 % 29/03/2010
Chun K. Hong United States 6035417 0 6035417 0 6035417 29.19 % 23/02/2010
Jun S. Cho United States 1175500 0 1175500 0 1175500 5.9 % 16/02/2010
Jae Dong Lee South Korean 1165251 0 1165251 0 1165251 5.9 % 16/02/2010
Harvest Capital Strategies LLC Delaware 0 0 0 0 10 0 % 16/02/2010
Renaissance Technologies LLC Delaware 1431900 0 1431900 0 1431900 7.21 % 11/02/2010
James H. Simons United States 1431900 0 1431900 0 1431900 0 % 11/02/2010

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District