SEC Form 4 · accession 0001209191-16-148312
GigPeak, Inc. · GIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Mikulsky
Director
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 9:03 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 | Nov 1, 2016 | M | 1,307 | $0.00 | A | 159,793 | D | |
| Common StockF2 | Nov 1, 2016 | M | 625 | $0.00 | A | 160,418 | D | |
| Common StockF3 | Nov 1, 2016 | M | 720 | $0.00 | A | 161,138 | D | |
| Common StockF4 | Nov 1, 2016 | M | 1,250 | $0.00 | A | 162,388 | D | |
| Common StockF5 | Nov 1, 2016 | M | 6,666 | $0.00 | A | 169,054 | 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,F6 | $0.00 | Nov 1, 2016 | M | 1,307 | D | — | — | Common Stock | 1,307 | 2,614 | D |
| Restricted Stock Units (RSUs)F2,F7 | $0.00 | Nov 1, 2016 | M | 625 | D | — | — | Common Stock | 625 | 3,750 | D |
| Restricted Stock Units (RSUs)F3,F8 | $0.00 | Nov 1, 2016 | M | 720 | D | — | — | Common Stock | 720 | 7,200 | D |
| Restricted Stock Units (RSUs)F4,F9 | $0.00 | Nov 1, 2016 | M | 1,250 | D | — | — | Common Stock | 1,250 | 5,000 | D |
| Restricted Stock Units (RSUs)F5,F10 | $0.00 | Nov 1, 2016 | M | 6,666 | D | — | — | Common Stock | 6,666 | 0 | D |
Explanation of responses
- F11,307 Restricted Stock Units ("RSUs") issued in the grant to Mr. Mikulsky on 8/1/2013 vested on 11/1/2016 according to the vesting schedule previously reported.
- F10The RSUs vest in four quarterly installments beginning on February 1, 2016 and ending on November 1, 2016, as previously reported.
- F2625 RSUs issued in the grant to Mr. Mikulsky on 2/10/2014 vested on 11/1/2016 according to the vesting schedule previously reported.
- F3720 RSUs issued in the grant to Mr. Mikulsky on 3/26/2015 vested on 11/1/2016 according to the vesting schedule previously reported.
- F41,250 RSUs issued in the grant to Mr. Mikulsky on 11/19/2015 vested on 11/1/2016 according to the vesting schedule previously reported.
- F56,666 RSUs issued in the grant to Mr. Mikulsky on 1/5/2016 vested on 11/1/2016 according to the vesting schedule previously reported.
- F6The RSUs vest as follows: 25% vested on May 1, 2014. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2014 and ending on May 1, 2017, as previously reported.
- F7The 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, as previously reported.
- F8The RSUs vest as follows: 25% vested on May 1, 2016. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2016 and ending on May 1, 2019, as previously reported.
- F9The RSUs vest in eight quarterly installments beginning on February 1, 2016 and ending on November 1, 2017, as previously reported.
Remarks
As the Company's non-employee directors are not Company employees, the Company does not have a tax withholding obligation at the time of vesting, and the individual non-employee director will be responsible for any tax obligations which arises in connection with such vesting.