SEC Form 4 · accession 0001181431-15-006439
GigPeak, Inc. · GIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raluca Dinu
Officer — SVP - Global Sales & Marketing
Period of report
May 1, 2015
Accepted (ET)
May 4, 2015 · 9:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001432150
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 1, 2015 | M | 5,459 | $0.00 | A | 28,579 | D | |
| Common StockF2,F3 | May 1, 2015 | F | 2,242 | $1.51 | D | 26,337 | D | |
| Common StockF4 | May 1, 2015 | M | 10,000 | $0.00 | A | 36,337 | D | |
| Common StockF5,F3 | May 1, 2015 | F | 3,875 | $1.51 | D | 32,462 | D | |
| Common StockF6 | May 1, 2015 | M | 11,500 | $0.00 | A | 43,692 | D | |
| Common StockF7,F3 | May 1, 2015 | F | 4,457 | $1.51 | D | 39,505 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (RSUs)F1,F8 | $0.00 | May 1, 2015 | M | 5,459 | D | — | — | Common Stock | 5,459 | 0 | D |
| Restricted Stock Units (RSUs)F4,F9 | $0.00 | May 1, 2015 | M | 10,000 | D | — | — | Common Stock | 10,000 | 30,000 | D |
| Restricted Stock Units (RSUs)F10 | $0.00 | May 1, 2015 | M | 11,500 | D | — | — | Common Stock | 11,500 | 23,000 | D |
Explanation of responses
- F15,459 Restricted Stock Units ("RSUs") issued in the grant to Dr. Dinu on 5/1/2013 vested on 5/1/2015 according to the vesting schedule previously reported.
- F10The RSUs vest in three quarterly installments beginning on May 1, 2015 and ending on November 1, 2015.
- F22,242 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company.
- F3The closing price of the Company's common stock on 5/1/2015.
- F410,000 Restricted Stock Units ("RSUs") issued in the grant to Dr. Dinu on 2/10/2014 vested on 5/1/2015 according to the vesting schedule previously reported.
- F53,875 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company.
- F611,500 RSUs issued in the grant to Dr. Dinu on 3/26/2015 vested on 5/1/2015 according to the vesting schedule previously reported.
- F74,457 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company.
- F8The RSUs vest in four quarterly installments beginning on May 1, 2014 and ending on May 1, 2015
- F9The RSUs vest as follows: 25% vested on May 1, 2015. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2015 and ending on May 1, 2018.