SEC Form 4 · accession 0001437749-18-021516
GIGA TRONICS INC · GIGA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lutz P Henckels
Officer — Interim Chief Fin. Officer · Director
Period of report
Oct 29, 2018
Accepted (ET)
Dec 3, 2018 · 8:51 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 Stock | Oct 29, 2018 | J | 5,471 | $0.00 | A | 42,275 | 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 StockF2 | $1.78 | Nov 28, 2018 | J | 5,963 | A | — | Feb 16, 2020 | Common Stock | 5,963 | 5,963 | D |
| Series B Convertible Voting Perpetual Preferred StockF3,F2,F4 | — | Nov 28, 2018 | J | 64 | A | — | — | Common Stock | 6,445 | 6,445 | D |
Explanation of responses
- F1Represents an in kind distribution without consideration by Alara Capital AVI II, LLC to investors.
- F2Exercisable upon request.
- F3Each Series B Share is initially convertible into 100 shares of the Company's common stock.
- F4Not applicate.