SEC Form 3 · accession 0001437749-19-004302
GIGA TRONICS INC · GIGA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Traci Keiko Mitchell
Officer — Controller, Prin. Acct Officer
Period of report
Mar 1, 2019
Accepted (ET)
Mar 7, 2019 · 1:21 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 | holding | — | — | — | 50,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series E Senior Convertible Voting Perpetual Preferred StockF2,F3 | $30,000.00 | holding | — | — | — | Aug 15, 2018 | — | Preferred Stock | 300 | — | D |
Explanation of responses
- F1Restricted stock vests on the following schedule: On September 30, 2018, subject to Grantee's Continuous service with the Company, 100% of the Shares vested and became free of any restriction.
- F2Each Series E is initially convertible 1 into 100 shares of the Company's common stock.
- F3Not applicable.