SEC Form 4 · accession 0001209191-17-007907
GigPeak, Inc. · GIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrea Betti-Berutto
Officer — CTO
Period of report
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 7:51 pm EST
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 | Feb 1, 2017 | M | 3,019 | $0.00 | A | 62,654 | D | |
| Common StockF2,F3 | Feb 1, 2017 | F | 1,322 | $2.58 | D | 61,332 | D | |
| Common StockF4 | Feb 1, 2017 | M | 4,750 | $0.00 | A | 66,082 | D | |
| Common StockF5,F3 | Feb 1, 2017 | F | 2,080 | $2.58 | D | 64,002 | D | |
| Common StockF6 | Feb 1, 2017 | M | 3,125 | $0.00 | A | 67,127 | D | |
| Common StockF7,F3 | Feb 1, 2017 | F | 1,369 | $2.58 | D | 65,758 | D | |
| Common StockF8 | Feb 1, 2017 | M | 2,500 | $0.00 | A | 68,258 | D | |
| Common StockF9,F3 | Feb 1, 2017 | F | 1,095 | $2.58 | D | 67,163 | D | |
| Common StockF10 | Feb 1, 2017 | M | 6,250 | $0.00 | A | 73,413 | D | |
| Common StockF11,F3 | Feb 1, 2017 | F | 2,737 | $2.58 | D | 70,676 | 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 | Feb 1, 2017 | M | 3,019 | D | — | — | Common Stock | 3,019 | 3,019 | D |
| Restricted Stock Units (RSUs)F4,F13 | $0.00 | Feb 1, 2017 | M | 4,750 | D | — | — | Common Stock | 4,750 | 24,250 | D |
| Restricted Stock Units (RSUs)F6,F14 | $0.00 | Feb 1, 2017 | M | 3,125 | D | — | — | Common Stock | 3,125 | 28,125 | D |
| Restricted Stock Units (RSUs)F8,F15 | $0.00 | Feb 1, 2017 | M | 2,500 | D | — | — | Common Stock | 2,500 | 7,500 | D |
| Restricted Stock Units (RSUs)F10,F16 | $0.00 | Feb 1, 2017 | M | 6,250 | D | — | — | Common Stock | 6,250 | 18,750 | D |
Explanation of responses
- F13,019 Restricted Stock Units ("RSUs") issued in the grant to Mr. Betti-Berutto on 8/1/2013 vested on 2/1/2017 according to the vesting schedule previously reported.
- F106,250 RSUs issued in the grant to Mr. Betti-Berutto on 1/5/2016 vested on 2/1/2017 according to the vesting schedule previously reported.
- F112,737 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, 2014. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2014 and ending on May 1, 2017, as previously reported.
- F13The 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.
- F14The 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.
- F15The RSUs vest in eight quarterly installments beginning on February 1, 2016 and ending on November 1, 2017, as previously reported.
- F16The RSUs vest as follows: 25% vested on February 1, 2017. The remaining 75% vest in twelve quarterly installments thereafter, beginning on May 1, 2017 and ending on February 1, 2020.
- F21,322 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 2/1/2017.
- F44,750 RSUs issued in the grant to Mr. Betti-Berutto on 2/10/2014 vested on 2/1/2017 according to the vesting schedule previously reported.
- F52,080 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.
- F63,125 RSUs issued in the grant to Mr. Betti-Berutto on 3/26/2015 vested on 2/1/2017 according to the vesting schedule previously reported.
- F71,369 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.
- F82,500 RSUs issued in the grant to Mr. Betti-Berutto on 11/19/2015 vested on 2/1/2017 according to the vesting schedule previously reported.
- F91,095 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.