SEC Form 4 · accession 0001437749-16-024558
GIGA TRONICS INC · GIGA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Regazzi
Officer — Chief Executive Officer · Director
Period of report
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 8:13 pm EST
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 StockF1 | Jan 29, 2016 | P | 80,400 | $1.15 | A | 147,400 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1 | $1.15 | Jan 29, 2016 | P | 60,300 | A | Jan 29, 2016 | Jan 29, 2021 | Common Stock | 60,300 | 60,300 | D |
Explanation of responses
- F1The securities were purchased in a private placement. The shares are held by the reporting person through his individual retirement account.