4//SEC Filing
ALARA CAPITAL AVI II, LLC 4
Accession 0001144204-18-066798
CIK 0000719274other
Filed
Dec 30, 7:00 PM ET
Accepted
Dec 31, 6:31 PM ET
Size
17.0 KB
Accession
0001144204-18-066798
Insider Transaction Report
Form 4
GIGA TRONICS INCGIGA
ALARA CAPITAL AVI II, LLC
10% Owner
Transactions
- Other
Series B Convertible Voting Perpetual Preferred Stock
2018-12-31−9,997→ 0 total→ Common Stock (999,700 underlying) - Other
Warrant (Right to Buy Common Stock)
2018-12-31−898,634→ 0 totalExercise: $1.78Exp: 2020-02-16→ Common Stock (898,634 underlying) - Other
Warrant (Right to Buy Common Stock)
2018-12-31−194,437→ 0 totalExercise: $1.76Exp: 2020-02-23→ Common Stock (194,437 underlying) - Other
Common Stock
2018-12-31−1,010,034→ 0 total - Other
Series C Convertible Voting Perpetual Preferred Stock
2018-12-31−3,424.65→ 0 total→ Common Stock (342,465 underlying) - Other
Series D Convertible Voting Perpetual Preferred Stock
2018-12-31−5,111.86→ 0 total→ Common Stock (511,186 underlying)
Footnotes (3)
- [F1]The Reporting Person is filing this Form 4 to report the disposition of shares of common stock, convertible preferred stock and warrants of the Issuer (collectively, the "Issuer Securities") following the in-kind distribution, without consideration, of such Issuer Securities by the Reporting Person to its investors in connection with the wind up and dissolution of the Reporting Person (the "In-Kind Distribution"). As a result of the In-Kind Distribution, the Reporting Person no longer beneficially owns any common stock or any other securities of the Issuer. This Form 4 is an 'exit filing' for the Reporting Person.
- [F2]Each of the Series B Convertible Voting Perpetual Preferred Stock, the Series C Convertible Voting Perpetual Preferred Stock and the Series D Convertible Voting Perpetual Preferred Stock is exercisable at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such stock has no expiration date.
- [F3]Such Warrants are immediately exercisable.
Documents
Issuer
GIGA TRONICS INC
CIK 0000719274
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001532208
Filing Metadata
- Form type
- 4
- Filed
- Dec 30, 7:00 PM ET
- Accepted
- Dec 31, 6:31 PM ET
- Size
- 17.0 KB