SEC Form 4 · accession 0001437749-15-019647
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
Nov 2, 2015
Accepted (ET)
Nov 4, 2015 · 5:00 pm EST
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 | Nov 2, 2015 | S | 38,494 | $8.8581 | D | 842,231 | I | Family Trust |
| Common StockF1,F3 | Nov 3, 2015 | S | 11,506 | $8.8728 | D | 830,725 | 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 pursaunt to a Rule 10b5-1 trading 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 $8.73 and $9.065 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 $8.77 and $8.99 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.