SEC Form 4 · accession 0001437749-15-010484
GIGA TRONICS INC · GIGA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
ALARA CAPITAL AVI II, LLC
Director · 10% Owner
Period of report
May 14, 2015
Accepted (ET)
May 18, 2015 · 12:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000719274
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 14, 2015 | X | 7,216 | $1.43 | A | 1,010,034 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common Stock (right to buy) | $1.43 | May 14, 2015 | X | 14,587 | D | Jul 8, 2013 | Jan 8, 2016 | Common Stock (GIGA) | 14,587 | 0 | D |
Explanation of responses
- F1Represents cashless net exercise of in-the-money warrants exempt from Section 16(b) pursuant to Rule 16b-6(b).