0001437749-15-010484.txt : 20150518 0001437749-15-010484.hdr.sgml : 20150518 20150518125311 ACCESSION NUMBER: 0001437749-15-010484 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150514 FILED AS OF DATE: 20150518 DATE AS OF CHANGE: 20150518 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: 0330 BUSINESS ADDRESS: STREET 1: 4650 NORRIS CANYON ROAD CITY: SAN RAMON STATE: CA ZIP: 94583 BUSINESS PHONE: 9253284650 MAIL ADDRESS: STREET 1: 4650 NORRIS CANYON ROAD CITY: SAN RAMON STATE: CA ZIP: 94583 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALARA CAPITAL AVI II, LLC CENTRAL INDEX KEY: 0001532208 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14605 FILM NUMBER: 15872510 BUSINESS ADDRESS: STREET 1: 1045 FIRST AVENUE CITY: KING OF PRUSSIA STATE: PA ZIP: 19046 BUSINESS PHONE: 610-233-1014 MAIL ADDRESS: STREET 1: 1045 FIRST AVENUE CITY: KING OF PRUSSIA STATE: PA ZIP: 19046 4 1 rdgdoc.xml FORM 4 X0306 4 2015-05-14 0000719274 GIGA TRONICS INC GIGA 0001532208 ALARA CAPITAL AVI II, LLC 555 E. LANCASTER AVENUE SUITE 520 RADNOR PA 19087 1 1 Common Stock 2015-05-14 4 X 0 7216 1.43 A 1010034 D Warrant to Purchase Common Stock (right to buy) 1.43 2015-05-14 4 X 0 14587 0 D 2013-07-08 2016-01-08 Common Stock (GIGA) 14587 0 D Represents cashless net exercise of in-the-money warrants exempt from Section 16(b) pursuant to Rule 16b-6(b). /s/ Darren C. Wallis, Managing Member, Alara Capital AVI II, LLC 2015-05-18