SEC Form 4 · accession 0001209191-16-134443
GigPeak, Inc. · GIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raluca Dinu
Officer — Chief Operating Officer
Period of report
Jul 27, 2016
Accepted (ET)
Jul 29, 2016 · 4:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001432150
Table I — non-derivative securities
No Table I lines on this filing.
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,F2,F3 | — | Jul 27, 2016 | A | 95,000 | A | — | — | Common Stock | 95,000 | 95,000 | D |
Explanation of responses
- F1The Restricted Stock Units ("RSUs") were issued pursuant to the terms of the GigPeak, Inc. 2008 Equity Incentive Plan and a Restricted Stock Unit Notice of Grant and Agreement. The Company will withhold shares of stock subject to the restricted stock units at the time of vesting for the purposes of satisfying any tax withholding obligations which arise in connection with such vesting.
- F2Each RSU represents a contingent right to receive one share of GigPeak common stock.
- F3The RSUs vest as follows: 25% vest on August 1, 2017. The remaining 75% vest in twelve quarterly installments thereafter, beginning on November 1, 2017 and ending on August 1, 2020.