0001209191-16-117960.txt : 20160505 0001209191-16-117960.hdr.sgml : 20160505 20160505210138 ACCESSION NUMBER: 0001209191-16-117960 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160503 FILED AS OF DATE: 20160505 DATE AS OF CHANGE: 20160505 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GigPeak, Inc. CENTRAL INDEX KEY: 0001432150 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 262439072 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 130 BAYTECH DRIVE CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: (408) 522-3100 MAIL ADDRESS: STREET 1: 130 BAYTECH DRIVE CITY: SAN JOSE STATE: CA ZIP: 95134 FORMER COMPANY: FORMER CONFORMED NAME: GigOptix, Inc. DATE OF NAME CHANGE: 20080411 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schneider Frank CENTRAL INDEX KEY: 0001349657 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35520 FILM NUMBER: 161625701 MAIL ADDRESS: STREET 1: C/O MKS INSTRUMENTS, INC. STREET 2: 90 INDUSTRIAL WAY CITY: WILMINGTON STATE: MA ZIP: 01887 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-05-03 0 0001432150 GigPeak, Inc. GIG 0001349657 Schneider Frank C/O GIGPEAK, INC. 130 BAYTECH DRIVE, SAN JOSE, CA SAN JOSE CA 95134 1 0 0 0 Common Stock 2016-05-03 4 M 0 1579 0.00 A 1579 D Common Stock 2016-05-03 4 M 0 625 0.00 A 2204 D Common Stock 2016-05-03 4 M 0 2880 0.00 A 5084 D Common Stock 2016-05-03 4 M 0 1250 0.00 A 6334 D Common Stock 2016-05-03 4 M 0 6166 0.00 A 12500 D Common Stock 168265 I By the Schneider Family Trust Restricted Stock Units (RSUs) 0.00 2016-05-03 4 M 0 1579 0.00 D Common Stock 1579 6316 D Restricted Stock Units (RSUs) 0.00 2016-05-03 4 M 0 625 0.00 D Common Stock 625 5000 D Restricted Stock Units (RSUs) 0.00 2016-05-03 4 M 0 2880 0.00 D Common Stock 2880 8640 D Restricted Stock Units (RSUs) 0.00 2016-05-03 4 M 0 1250 0.00 D Common Stock 1250 7500 D Restricted Stock Units (RSUs) 0.00 2016-05-03 4 M 0 6166 0.00 D Common Stock 6166 12332 D 1,579 Restricted Stock Units ("RSUs") issued in the grant to Mr. Schneider on 8/1/2013 vested on 5/1/2016 according to the vesting schedule previously reported. 625 RSUs issued in the grant to Mr. Schneider on 2/10/2014 vested on 5/1/2016 according to the vesting schedule previously reported. 2,880 RSUs issued in the grant to Mr. Schneider on 3/26/2015 vested on 5/1/2016 according to the vesting schedule previously reported. 1,250 RSUs issued in the grant to Mr. Schneider on 11/19/2015 vested on 5/1/2016 according to the vesting schedule previously reported. 6,166 RSUs issued in the grant to Mr. Schneider on 1/5/2016 vested on 5/1/2016 according to the vesting schedule previously reported. The RSUs vest as follows: 25% vested on May 1, 2014. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2014 and ending on May 1, 2017, as previously reported. The RSUs vest as follows: 25% vested on May 1, 2015. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2015 and ending on May 1, 2018, as previously reported. The RSUs vest as follows: 25% vested on May 1, 2016. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2016 and ending on May 1, 2019, as previously reported. The RSUs vest in eight quarterly installments beginning on February 1, 2016 and ending on November 1, 2017, as previously reported. The RSUs vest in four quarterly installments beginning on February 1, 2016 and ending on November 1, 2016, as previously reported. As the Company's non-employee directors are not Company employees, the Company does not have a tax withholding obligation at the time of vesting, and the individual non-employee director will be responsible for any tax obligations which arises in connection with such vesting. The vesting date of the RSUs was May 1, 2016, as previously reported by the Issuer, which fell on a Sunday this year. Normally the shares will issue on the same date as the vesting date, as reported in the previously filed Form 4s for vesting of RSUs. However, when the vesting date falls on a weekend or federal holiday, due to the normal processing required by the Issuer's transfer agent, it can take up to two business days after the first business day following the vesting date for the resulting shares to be issued. Therefore the shares resulting from the vesting on May 1, 2016 were not issued until May 3, 2016, as reported in this Form 4. /s/ Frank W. Schneider 2016-05-05