SEC Form 4 · accession 0001209191-16-148316
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
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 9:06 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 | 2,500 | $0.00 | A | 58,030 | D | |
| Common StockF2,F3 | Nov 1, 2016 | F | 940 | $2.39 | D | 57,090 | D | |
| Common StockF4 | Nov 1, 2016 | M | 13,522 | $0.00 | A | 70,612 | D | |
| Common StockF5,F3 | Nov 1, 2016 | F | 5,082 | $2.39 | D | 65,530 | D | |
| Common StockF6 | Nov 1, 2016 | M | 12,500 | $0.00 | A | 78,030 | D | |
| Common StockF7,F3 | Nov 1, 2016 | F | 4,698 | $2.39 | D | 73,332 | D | |
| Common StockF8 | Nov 1, 2016 | M | 710 | $0.00 | A | 74,042 | D | |
| Common StockF9,F3 | Nov 1, 2016 | F | 267 | $2.39 | D | 73,775 | D | |
| Common StockF10 | Nov 1, 2016 | M | 9,375 | $2.39 | A | 83,150 | D | |
| Common StockF11 | Nov 1, 2016 | F | 3,524 | $0.00 | D | 79,626 | 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,F12 | $0.00 | Nov 1, 2016 | M | 2,500 | D | — | — | Common Stock | 2,500 | 15,000 | D |
| Restricted Stock Units (RSUs)F4,F13 | $0.00 | Nov 1, 2016 | M | 13,522 | D | — | — | Common Stock | 13,522 | 135,215 | D |
| Restricted Stock Units (RSUs)F6,F14 | $0.00 | Nov 1, 2016 | M | 12,500 | D | — | — | Common Stock | 12,500 | 50,000 | D |
| Restricted Stock Units (RSUs)F8,F15 | $0.00 | Nov 1, 2016 | M | 710 | D | — | — | Common Stock | 710 | 0 | D |
| Restricted Stock Units (RSUs)F16 | $0.00 | Nov 1, 2016 | M | 9,375 | D | — | — | Common Stock | 9,375 | 46,875 | D |
Explanation of responses
- F12,500 Restricted Stock Units ("RSUs") issued in the grant to Dr. Dinu on 2/10/2014 vested on 11/1/2016 according to the vesting schedule previously reported.
- F109,375 RSUs issued in the grant to Dr. Dinu on 4/29/2016 vested on 11/1/2016 according to the vesting schedule previously reported.
- F113,542 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.
- F12The 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.
- F13The 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.
- F14The RSUs vest in eight quarterly installments beginning on February 1, 2016 and ending on November 1, 2017, as previously reported.
- F15The RSUs vest in four quarterly installments beginning on February 1, 2016 and ending on November 1, 2016, as previously reported.
- F16The RSUs vest in eight quarterly installments ending on May 1, 2018.
- F2940 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 11/1/2016.
- F413,522 RSUs issued in the grant to Dr. Dinu on 3/26/2015 vested on 11/1/2016 according to the vesting schedule previously reported.
- F55,082 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.
- F612,500 RSUs issued in the grant to Dr. Dinu on 11/19/2015 vested on 11/1/2016 according to the vesting schedule previously reported.
- F74,698 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.
- F8710 RSUs issued in the grant to Dr. Dinu on 1/5/2016 vested on 11/1/2016 according to the vesting schedule previously reported.
- F9267 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.