0001437749-18-006127.txt : 20180403
0001437749-18-006127.hdr.sgml : 20180403
20180403090850
ACCESSION NUMBER: 0001437749-18-006127
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180326
FILED AS OF DATE: 20180403
DATE AS OF CHANGE: 20180403
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Regazzi John R
CENTRAL INDEX KEY: 0001338364
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14605
FILM NUMBER: 18731483
MAIL ADDRESS:
STREET 1: 200 MAUI CT
CITY: SAN RAMON
STATE: CA
ZIP: 94582
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: 0331
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
rdgdoc.xml
FORM 4
X0306
4
2018-03-26
0000719274
GIGA TRONICS INC
GIGA
0001338364
Regazzi John R
5990 GLEASON DRIVE
DUBLIN
CA
94568
1
1
Chief Executive Officer
Series E Senior Convertible Voting Perpetual Preferred Stock
2018-03-26
4
A
0
2000
25
A
2018-03-26
Common Stock
200000
2000
D
Non-Qualified Stock Option
1.64
2018-03-30
4
D
0
100000
0
D
2021-12-15
Common Stock
100000
199750
D
Non-Qualified Stock Option
1.42
2018-03-30
4
D
0
99750
0
D
2022-08-22
Common Stock
99750
100000
D
Non-Qualified Stock Option
1.65
2018-03-30
4
D
0
100000
0
D
2023-03-13
Common Stock
100000
0
D
Non-Qualified Stock Option
0.33
2018-03-30
4
A
0
100000
0
A
2012-12-15
2021-12-15
Common Stock
100000
100000
D
Non-Qualified Stock Option
0.33
2018-03-30
4
A
0
99750
0
A
2013-08-22
2022-08-22
Common Stock
99750
199750
D
Non-Qualified Stock Option
0.33
2018-03-30
4
A
0
100000
0
A
2014-03-13
2023-03-13
Common Stock
100000
299750
D
Option to acquire Common Stock
0.33
2018-03-30
4
A
0
100000
0
A
2019-03-30
2028-03-30
Common Stock
100000
399750
D
Warrants
1.15
2018-03-26
4
D
0
60300
0.125
D
2016-01-29
2021-01-29
Common Stock
60300
0
D
Warrants
0.25
2018-03-26
4
A
0
60300
0
A
2016-01-29
2021-01-29
Common Stock
60300
60300
D
Each Series E Share is initially convertible 1 into 100 shares of the Company's common stock.
Existing options for 299,750 shares of common stock were amended to reduce the exercise price.
Options vest on the following schedule: 25% of the Shares vest at the first anniversary of the Vesting Commencement Date and 1/48th of the Shares on each month thereafter.
Options vest on the following schedule: 20% of the Shares vest at the first anniversary from the date of grant and 20% of the Shares on each successive anniversary thereafter.
Original date of grant is 12/15/2011.
Original date of grant is 8/22/2012.
Original date of grant is 3/13/2013.
Original date of issuance is 1/29/2016. Warrant is exercisable, in whole or in part by the Holder at any time but no later than the Expiration Date. Warrant transactions represent a repricing pursuant to negotiations with unrelated third party investors.
Not applicable.
/s/ John R. Regazzi
2018-04-02