SEC Form 4 · accession 0001209191-16-135978
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
Aug 5, 2016
Accepted (ET)
Aug 8, 2016 · 9:02 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 | Aug 5, 2016 | M | 9,375 | $0.00 | A | 59,054 | D | |
| Common StockF2,F3 | Aug 5, 2016 | F | 3,524 | $2.10 | D | 55,530 | 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,F4 | $0.00 | Aug 5, 2016 | M | 9,375 | D | — | — | Common Stock | 9,375 | 65,625 | D |
Explanation of responses
- F19,375 Restricted Stock Units ("RSUs") issued in the grant to Dr. Dinu on 4/29/2016 vested according to the vesting schedule previously reported.
- F23,524 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 8/5/2016.
- F4The RSUs vest in eight quarterly installments ending on May 1, 2018. The first vesting occurred on August 5, 2016.