SEC Form 4 · accession 0001437749-15-016841
SIGMA DESIGNS INC · SIGM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thinh Q Tran
Officer — President & CEO · Director
Period of report
Sep 1, 2015
Accepted (ET)
Sep 3, 2015 · 5:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000790715
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 1, 2015 | S | 40,004 | $9.64 | D | 940,721 | I | Family Trust |
| Common StockF1,F3 | Sep 2, 2015 | S | 9,996 | $9.64 | D | 930,725 | I | Family Trust |
| Common Stock | holding | — | — | — | 80,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold by Thinh Q. Tran & Hanh Nguyen TTEE Thinh Q. Tran Family Trust (the "Trust"). The reported sales were made pursuant to a Rule 10b5-1 trding plan.
- F2The price represents the weighted average sales price for multiple transactions reported on this line. The price of the transactions reported on this line range between $9.55 to $9.77 per share. Upon request by Commission staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares sold at each separate price within the range.
- F3The price represents the weighted average sales price for multiple transactions reported on this line. The price of the transactions reported on this line range between $9.58 to $9.76 per share. Upon request by Commission staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares sold at each separate price within the range.