SEC Form 4 · accession 0001437749-18-011747
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
Jun 12, 2018
Accepted (ET)
Jun 13, 2018 · 9:51 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 | Jun 12, 2018 | X | 60,300 | $0.25 | A | 221,200 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to purchase Common Stock (right to buy)F1 | $0.25 | Jun 12, 2018 | X | 60,300 | D | Jan 29, 2016 | Jan 29, 2021 | Common Stock (GIGA) | 60,300 | 0 | D |
Explanation of responses
- F1Original date of issuance is 1/29/2016. Warrant is exercisable, in whole or in part by the Holder at any time but no later than the Expiration Date.