0001104659-20-100926.txt : 20200831
0001104659-20-100926.hdr.sgml : 20200831
20200831184057
ACCESSION NUMBER: 0001104659-20-100926
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200827
FILED AS OF DATE: 20200831
DATE AS OF CHANGE: 20200831
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Spring Mountain Capital, LLC
CENTRAL INDEX KEY: 0001549455
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14605
FILM NUMBER: 201152904
BUSINESS ADDRESS:
STREET 1: C/O SPRING MOUNTAIN CAPITAL, LP
STREET 2: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 292-8300
MAIL ADDRESS:
STREET 1: C/O SPRING MOUNTAIN CAPITAL, LP
STREET 2: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Spring Mountain Capital G.P., LLC
CENTRAL INDEX KEY: 0001549593
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14605
FILM NUMBER: 201152905
BUSINESS ADDRESS:
STREET 1: C/O SPRING MOUNTAIN CAPITAL, LP
STREET 2: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 292-8300
MAIL ADDRESS:
STREET 1: C/O SPRING MOUNTAIN CAPITAL, LP
STREET 2: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SMC Private Equity Holdings GP, LLC
CENTRAL INDEX KEY: 0001763297
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14605
FILM NUMBER: 201152906
BUSINESS ADDRESS:
STREET 1: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2122928300
MAIL ADDRESS:
STREET 1: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SMC Private Equity Holdings, LP
CENTRAL INDEX KEY: 0001581493
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14605
FILM NUMBER: 201152907
BUSINESS ADDRESS:
STREET 1: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 292-8300
MAIL ADDRESS:
STREET 1: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SMC Select Co-Investment I GP, LLC
CENTRAL INDEX KEY: 0001549445
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14605
FILM NUMBER: 201152908
BUSINESS ADDRESS:
STREET 1: C/O SPRING MOUNTAIN CAPITAL, LP
STREET 2: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 292-8300
MAIL ADDRESS:
STREET 1: C/O SPRING MOUNTAIN CAPITAL, LP
STREET 2: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SMC Select Co-Investment Fund I LP
CENTRAL INDEX KEY: 0001414754
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14605
FILM NUMBER: 201152909
BUSINESS ADDRESS:
STREET 1: C/O SPRING MOUNTAIN CAPITAL, LP
STREET 2: 650 MADISON AVENUE, 20TH FLOOR
CITY: New York
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-292-8300
MAIL ADDRESS:
STREET 1: C/O SPRING MOUNTAIN CAPITAL, LP
STREET 2: 650 MADISON AVENUE, 20TH FLOOR
CITY: New York
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Steffens John
CENTRAL INDEX KEY: 0001373619
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14605
FILM NUMBER: 201152910
MAIL ADDRESS:
STREET 1: C/O COLONY NORTHSTAR, INC.
STREET 2: 515 S. FLOWER ST., 44TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90071
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ho Gregory P.
CENTRAL INDEX KEY: 0001549584
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14605
FILM NUMBER: 201152911
MAIL ADDRESS:
STREET 1: C/O SPRING MOUNTAIN CAPITAL, LP
STREET 2: 650 MADISON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: GIGA TRONICS INC
CENTRAL INDEX KEY: 0000719274
STANDARD INDUSTRIAL CLASSIFICATION: INSTRUMENTS FOR MEAS & TESTING OF ELECTRICITY & ELEC SIGNALS [3825]
IRS NUMBER: 942656341
STATE OF INCORPORATION: CA
FISCAL YEAR END: 0328
BUSINESS ADDRESS:
STREET 1: 5990 GLEASON DR
CITY: DUBLIN
STATE: CA
ZIP: 94568
BUSINESS PHONE: 9253294650
MAIL ADDRESS:
STREET 1: 5990 GLEASON DR
CITY: DUBLIN
STATE: CA
ZIP: 94568
4
1
tm2029949-2_4.xml
FORM 4
X0306
4
2020-08-27
1
0000719274
GIGA TRONICS INC
GIGA
0001549455
Spring Mountain Capital, LLC
650 MADISON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001549593
Spring Mountain Capital G.P., LLC
C/O SPRING MOUNTAIN CAPITAL
650 MADISON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001763297
SMC Private Equity Holdings GP, LLC
C/O SPRING MOUNTAIN CAPITAL
650 MADISON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001581493
SMC Private Equity Holdings, LP
C/O SPRING MOUNTAIN CAPITAL
650 MADISON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001549445
SMC Select Co-Investment I GP, LLC
C/O SPRING MOUNTAIN CAPITAL
650 MADISON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001414754
SMC Select Co-Investment Fund I LP
C/O SPRING MOUNTAIN CAPITAL
650 MADISON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001373619
Steffens John
C/O SPRING MOUNTAIN CAPITAL
650 MADISON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001549584
Ho Gregory P.
C/O SPRING MOUNTAIN CAPITAL
650 MADISON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
0
0
1
0
Common Stock
2020-08-27
4
S
0
62715
3.86
D
0
D
Series B Convertible Voting Perpetual Preferred Stock
2020-08-27
4
S
0
8704.44
81.77
D
Common Stock
58030
0
D
Series C Convertible Voting Perpetual Preferred Stock
2020-08-27
4
S
0
3020.35
54.26
D
Common Stock
20136
0
D
Series D Convertible Voting Perpetual Preferred Stock
2020-08-27
4
S
0
5111.86
53.15
D
Common Stock
34079
0
D
Represents shares of common stock of Issuer disposed of directly by the Reporting Persons as follows: 33,305 shares by SMC Select Co-Investment Fund I, LP ("SMC Co-Investment LP") and 29,410 shares by SMC Private Equity Holdings, LP ("SMC PE LP").
Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.
Represents shares of Series B Preferred Stock disposed of by the Reporting Persons as follows: 6,885.52 shares by SMC Co-Investment LP, 97.54 shares by Spring Mountain Capital G.P., LLC and 1,721.38 shares by Mr. Steffens.
Represents shares of Series C Preferred Stock disposed of by the Reporting Persons as follows: 1,476.19 shares by SMC Co-Investment LP, 82.81 shares by Spring Mountain Capital G.P., LLC and 1,461.34 shares by Mr. Steffens.
Represents shares of Series D Preferred Stock disposed of by the Reporting Persons as follows: 700.28 shares by SMC Co-Investment LP and 4,411.58 shares by SMC PE LP.
As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.
SPRING MOUNTAIN CAPITAL, LLC By: /s/ Gregory P. Ho, Managing Member
2020-08-31
SPRING MOUNTAIN CAPITAL G.P., LLC By: /s/ Gregory P. Ho, Managing Member
2020-08-31
SMC PRIVATE EQUITY HOLDINGS G.P., LLC By: Spring Mountain Capital G.P., LLC, Managing Member, /s/ Gregory P. Ho, Managing Member
2020-08-31
SMC PRIVATE EQUITY HOLDINGS, LP By: SMC Private Equity Holdings G.P., LLC, General Partner, By: Spring Mountain Capital G.P., LLC, Managing Member, /s/ Gregory P. Ho, Managing Member
2020-08-31
SMC SELECT CO-INVESTMENT FUND I, LP By: SMC Select Co-Investment I GP, LLC, General Partner By: Spring Mountain Capital G.P., LLC, Managing Member, /s/ Gregory P. Ho, Managing Member
2020-08-31
SMC SELECT CO-INVESTMENT I GP, LLC By: Spring Mountain Capital G.P., LLC, Managing Member, /s/ Gregory P. Ho, Managing Member
2020-08-31
/s/ John L. Steffens
2020-08-31
/s/ Gregory P. Ho
2020-08-31