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