09/28/2021 | Press release | Distributed by Public on 09/28/2021 04:05
|
Delaware
(State or other jurisdiction of incorporation or organization) |
| |
95-4812784
(I.R.S. Employer Identification No.) |
|
| Large accelerated filer ☒ | | | Accelerated filer ☐ | | | Non-accelerated filer ☐ | | |
Smaller reporting company ☐
|
|
| | | | | | | | | |
Emerging growth company ☐
|
|
| | ||||||||||||||||
Title of each class of securities
to be registered(1) |
| | |
Amount to be
registered(2) |
| | |
Proposed maximum
offering price per unit(3) |
| | |
Proposed maximum
aggregate offering price(2)(3) |
| | |
Amount of registration fee(5)
|
|
Common Stock, par value $0.001 per share | | | | | | | | | | | | | | | | | |
Preferred Stock, par value $0.001 per share | | | | | | | | | | | | | | | | | |
Warrants | | | | | | | | | | | | | | | | | |
Units(4) | | | | | | | | | | | | | | | | | |
Total | | | | | | | | | | | | | | | | | |
|
ABOUT THIS PROSPECTUS
|
| | | | 1 | | |
|
ABOUT NETLIST, INC.
|
| | | | 2 | | |
|
RISK FACTORS
|
| | | | 3 | | |
|
SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS
|
| | | | 4 | | |
|
USE OF PROCEEDS
|
| | | | 4 | | |
|
SECURITIES WE MAY OFFER
|
| | | | 4 | | |
|
DESCRIPTION OF CAPITAL STOCK
|
| | | | 5 | | |
|
DESCRIPTION OF WARRANTS
|
| | | | 8 | | |
|
DESCRIPTION OF UNITS
|
| | | | 8 | | |
|
PLAN OF DISTRIBUTION
|
| | | | 9 | | |
|
LEGAL MATTERS
|
| | | | 10 | | |
|
EXPERTS
|
| | | | 10 | | |
|
INCORPORATION OF CERTAIN DOCUMENTS BY REFERENCE
|
| | | | 11 | | |
|
WHERE YOU CAN FIND MORE INFORMATION
|
| | | | 11 | | |
|
PART II INFORMATION NOT REQUIRED IN PROSPECTUS
|
| | | | II-1 | | |
|
EXHIBIT INDEX
|
| | | | II-5 | | |
|
SIGNATURES
|
| | | | II-6 | | |
|
SIGNATURES AND POWER OF ATTORNEY
|
| | | | II-6 | | |
|
SEC Registration Fee
|
| | | | * | | |
|
Legal Fees and Expenses
|
| | | | ** | | |
|
Accounting Fees and Expenses
|
| | | | ** | | |
|
Transfer Agent and Registrar Fees and Expenses
|
| | | | ** | | |
|
Printing and Engraving Fees
|
| | | | ** | | |
|
Miscellaneous
|
| | | | ** | | |
|
Total
|
| | | $ | * | | |
|
Signature
|
| |
Title
|
| |
Date
|
|
|
/s/ CHUN K. HONG
Chun K. Hong
|
| | President, Chief Executive Officer and Sole Director (Principal Executive Officer) | | |
September 28, 2021
|
|
|
/s/ GAIL M. SASAKI
Gail M. Sasaki
|
| | Vice President and Chief Financial Officer (Principal Financial and Accounting Officer) | | |
September 28, 2021
|
|