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3//SEC Filing

Spring Mountain Capital, LLC 3

Accession 0001144204-19-001267

CIK 0000719274other
View on SEC.govCompany Profile

Filed

Jan 8, 7:00 PM ET

Accepted

Jan 9, 8:34 PM ET

Size

29.0 KB

Accession

0001144204-19-001267

Insider Transaction Report

Form 3
Period: 2018-12-31
GIGA TRONICS INCGIGA
Spring Mountain Capital, LLC
10% Owner
Holdings

  • Series C Convertible Voting Perpetual Preferred Stock

    → Common Stock (342,467 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.78Exp: 2020-02-16→ Common Stock (823,097 underlying)

  • Common Stock

    940,734

  • Series B Convertible Voting Perpetual Preferred Stock

    → Common Stock (918,069 underlying)

  • Series D Convertible Voting Perpetual Preferred Stock

    → Common Stock (511,186 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.76Exp: 2020-02-23→ Common Stock (194,437 underlying)
Spring Mountain Capital G.P., LLC
10% Owner
Holdings

  • Series B Convertible Voting Perpetual Preferred Stock

    → Common Stock (918,069 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.78Exp: 2020-02-16→ Common Stock (823,097 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.76Exp: 2020-02-23→ Common Stock (194,437 underlying)

  • Series C Convertible Voting Perpetual Preferred Stock

    → Common Stock (342,467 underlying)

  • Common Stock

    940,734

  • Series D Convertible Voting Perpetual Preferred Stock

    → Common Stock (511,186 underlying)
SMC Select Co-Investment I GP, LLC
10% Owner
Holdings

  • Common Stock

    940,734

  • Series C Convertible Voting Perpetual Preferred Stock

    → Common Stock (342,467 underlying)

  • Series D Convertible Voting Perpetual Preferred Stock

    → Common Stock (511,186 underlying)

  • Series B Convertible Voting Perpetual Preferred Stock

    → Common Stock (918,069 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.78Exp: 2020-02-16→ Common Stock (823,097 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.76Exp: 2020-02-23→ Common Stock (194,437 underlying)
SMC Select Co-Investment Fund I LP
10% Owner
Holdings

  • Common Stock

    940,734

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.76Exp: 2020-02-23→ Common Stock (194,437 underlying)

  • Series B Convertible Voting Perpetual Preferred Stock

    → Common Stock (918,069 underlying)

  • Series C Convertible Voting Perpetual Preferred Stock

    → Common Stock (342,467 underlying)

  • Series D Convertible Voting Perpetual Preferred Stock

    → Common Stock (511,186 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.78Exp: 2020-02-16→ Common Stock (823,097 underlying)
Steffens John
10% Owner
Holdings

  • Series C Convertible Voting Perpetual Preferred Stock

    → Common Stock (342,467 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.76Exp: 2020-02-23→ Common Stock (194,437 underlying)

  • Common Stock

    940,734

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.78Exp: 2020-02-16→ Common Stock (823,097 underlying)

  • Series B Convertible Voting Perpetual Preferred Stock

    → Common Stock (918,069 underlying)

  • Series D Convertible Voting Perpetual Preferred Stock

    → Common Stock (511,186 underlying)
Ho Gregory P.
10% Owner
Holdings

  • Series B Convertible Voting Perpetual Preferred Stock

    → Common Stock (918,069 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.76Exp: 2020-02-23→ Common Stock (194,437 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.78Exp: 2020-02-16→ Common Stock (823,097 underlying)

  • Common Stock

    940,734

  • Series C Convertible Voting Perpetual Preferred Stock

    → Common Stock (342,467 underlying)

  • Series D Convertible Voting Perpetual Preferred Stock

    → Common Stock (511,186 underlying)
SMC Reserve Fund II Offshore LP
10% Owner
Holdings

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.76Exp: 2020-02-23→ Common Stock (194,437 underlying)

  • Series B Convertible Voting Perpetual Preferred Stock

    → Common Stock (918,069 underlying)

  • Series D Convertible Voting Perpetual Preferred Stock

    → Common Stock (511,186 underlying)

  • Common Stock

    940,734

  • Series C Convertible Voting Perpetual Preferred Stock

    → Common Stock (342,467 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.78Exp: 2020-02-16→ Common Stock (823,097 underlying)
SMC Private Equity Holdings GP, LLC
10% Owner
Holdings

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.78Exp: 2020-02-16→ Common Stock (823,097 underlying)

  • Common Stock

    940,734

  • Series B Convertible Voting Perpetual Preferred Stock

    → Common Stock (918,069 underlying)

  • Series C Convertible Voting Perpetual Preferred Stock

    → Common Stock (342,467 underlying)

  • Series D Convertible Voting Perpetual Preferred Stock

    → Common Stock (511,186 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.76Exp: 2020-02-23→ Common Stock (194,437 underlying)
SMC Private Equity Holdings, LP
10% Owner
Holdings

  • Common Stock

    940,734

  • Series C Convertible Voting Perpetual Preferred Stock

    → Common Stock (342,467 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.78Exp: 2020-02-16→ Common Stock (823,097 underlying)

  • Warrant (Right to Buy Common Stock)

    Exercise: $1.76Exp: 2020-02-23→ Common Stock (194,437 underlying)

  • Series B Convertible Voting Perpetual Preferred Stock

    → Common Stock (918,069 underlying)

  • Series D Convertible Voting Perpetual Preferred Stock

    → Common Stock (511,186 underlying)
Footnotes (9)
  • [F1]Represents shares of common stock of Issuer owned directly by the Reporting Persons as follows: 499,576 owned by SMC Co-Investment LP and 441,158 owned by SMC PE LP.
  • [F2]The Series B Convertible Voting Perpetual Preferred Stock (the "Series B Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. It has no expiration date.
  • [F3]Represents shares of common stock of Issuer issuable upon the conversion of shares of Series B Preferred Stock owned directly by the Reporting Persons as follows: 688,552 owned by SMC Co-Investment LP, 57,379 owned by SMC Offshore and 172,138 owned by Steffens.
  • [F4]The Series C Convertible Voting Perpetual Preferred Stock (the "Series C Preferred Stock") is exercisable at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. It has no expiration date.
  • [F5]Represents shares of common stock of Issuer issuable upon the conversion of Series C Preferred Stock owned directly by the Reporting Persons as follows: 147,620 owned by SMC Co-Investment LP, 48,712 owned by SMC Offshore and 146,135 owned by Steffens.
  • [F6]The Series D Convertible Voting Perpetual Preferred Stock (the "Series D Preferred Stock") is exercisable at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. It has no expiration date.
  • [F7]Represents shares of common stock of Issuer issuable upon the conversion of Series D Preferred Stock, owned directly by the Reporting Persons as follows: 70,028 owned by SMC Co-Investment LP and 441,158 owned by SMC PE LP.
  • [F8]Represents shares of common stock of Issuer issuable upon the exercise of Warrants directly owned by the Reporting Persons as follows: 342,235 by SMC Co-Investment LP and 480,862 by SMC PE LP. Such Warrants are immediately exercisable.
  • [F9]Represents shares of common stock of Issuer issuable upon the exercise of Warrants directly owned by the Reporting Persons as follows: 194,437 by SMC Co-Investment LP. Such Warrants are immediately exercisable.

Documents

2 files

Issuer

GIGA TRONICS INC

CIK 0000719274

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001549455

Filing Metadata

Form type
3
Filed
Jan 8, 7:00 PM ET
Accepted
Jan 9, 8:34 PM ET
Size
29.0 KB
View on SEC.gov