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person · Reporting owner

Katz Avi S

Disclosed activity across 10 companies

Tapewire entity
10257
SEC CIK
0001451693

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
BigBear.ai Holdings, Inc.BBAI · Entity 4725DirectorMarch 11, 2024March 13, 2024
GigCapital8 Corp.GIW · Entity 5500Director · Chief Executive Officer · 10% ownerOctober 03, 2025October 07, 2025
GigCapital9 Corp.GIX · Entity 5737Director · Chief Executive Officer · 10% ownerJanuary 23, 2026January 27, 2026
GigInternational1, Inc.GIW · Entity 138893Director · Executive Chairman · 10% ownerMay 28, 2021May 29, 2021
Hadron Energy, Inc.HDRN · Entity 6554Director · Chairman · 10% ownerSeptember 02, 2026September 04, 2026
QT IMAGING HOLDINGS, INC.QTI · Entity 7298Director · ChairmanMarch 20, 2026March 25, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

BigBear.ai Holdings, Inc.

Report date March 11, 2024 · Filed March 13, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect523,375 Ending reported balance After 2024-03-13 transaction · row 6
6 source rows · reconciled sequence

Row 1 · 2024-03-11 · Sale · Disposed 26,076 · Balance 747,299

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.57, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Row 2 · 2024-03-12 · Sale · Disposed 23,924 · Balance 723,375

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.40, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Row 3 · 2024-03-12 · Sale · Disposed 50,000 · Balance 673,375

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.45, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Row 4 · 2024-03-12 · Sale · Disposed 50,000 · Balance 623,375

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.41, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Row 5 · 2024-03-13 · Sale · Disposed 50,000 · Balance 573,375

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.56, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Row 6 · 2024-03-13 · Sale · Disposed 50,000 · Balance 523,375

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.68, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.57, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.40, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.45, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.41, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.56, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.68, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

GigCapital8 Corp.

Report date October 03, 2025 · Filed October 07, 2025

Jointly reported with GigAcquisitions8 Corp., Dinu Raluca

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A ordinary sharesSEC Table I · non-derivativeIndirectBy GigAcquisitions8 Corp.10,000 Reported balance Holding disclosure · report date 2025-10-03 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 10,000

F1: Includes 10,000 Class A ordinary shares underlying the private placement units purchased concurrently with the initial public offering.

F2: The Class B ordinary shares and Class A ordinary shares underlying the private placement units are held directly by GigAcquisitions8 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned equally (50% each) by Dr. Katz, the Issuer's Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

Class B ordinary sharesSEC Table II · derivative / convertible securityIndirectBy GigAcquisitions8 Corp.Not disclosed Reported balance Holding disclosure · report date 2025-10-03 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F3: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-289479) and have no expiration date.

F4: Includes 6,053,167 Class B ordinary shares of the Issuer acquired by GigAcquisitions8 Corp. (the "Sponsor") prior to the Issuer's initial public offering convertible for the Issuer's Class A ordinary shares. As a result of the underwriter's full exercise of its over-allotment option to purchase 3,300,000 units on October 7, 2025, no such shares are subject to forfeiture.

F2: The Class B ordinary shares and Class A ordinary shares underlying the private placement units are held directly by GigAcquisitions8 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned equally (50% each) by Dr. Katz, the Issuer's Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

RightsSEC Table II · derivative / convertible securityIndirectBy GigAcquisitions8 Corp.Not disclosed Reported balance Holding disclosure · report date 2025-10-03 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance Not disclosed

F5: Includes 10,000 rights underlying the private placement units, which were sold in a private placement taking place simultaneously with the Issuer's initial public offering. Each right is exchangeable for one-fifth of one Class A ordinary share upon the completion of the Issuer's initial business combination.

F2: The Class B ordinary shares and Class A ordinary shares underlying the private placement units are held directly by GigAcquisitions8 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned equally (50% each) by Dr. Katz, the Issuer's Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 10,000 Class A ordinary shares underlying the private placement units purchased concurrently with the initial public offering.

F2: The Class B ordinary shares and Class A ordinary shares underlying the private placement units are held directly by GigAcquisitions8 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned equally (50% each) by Dr. Katz, the Issuer's Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

F3: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-289479) and have no expiration date.

F4: Includes 6,053,167 Class B ordinary shares of the Issuer acquired by GigAcquisitions8 Corp. (the "Sponsor") prior to the Issuer's initial public offering convertible for the Issuer's Class A ordinary shares. As a result of the underwriter's full exercise of its over-allotment option to purchase 3,300,000 units on October 7, 2025, no such shares are subject to forfeiture.

F5: Includes 10,000 rights underlying the private placement units, which were sold in a private placement taking place simultaneously with the Issuer's initial public offering. Each right is exchangeable for one-fifth of one Class A ordinary share upon the completion of the Issuer's initial business combination.

GigCapital9 Corp.

Report date January 23, 2026 · Filed January 27, 2026

Jointly reported with GigAcquisitions9 Corp., Dinu Raluca

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A ordinary sharesSEC Table I · non-derivativeIndirectGigAcquisitions9 Corp.10,000 Reported balance Holding disclosure · report date 2026-01-23 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 10,000

F1: Includes 10,000 Class A ordinary shares underlying the private placement units to be purchased concurrently with the initial public offering.

F2: The Class B ordinary shares and Class A ordinary shares underlying the private placement units are held directly by GigAcquisitions9 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned equally (50% each) by Dr. Katz, the Issuer's Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

Class B ordinary sharesSEC Table II · derivative / convertible securityIndirectGigAcquisitions9 Corp.Not disclosed Reported balance Holding disclosure · report date 2026-01-23 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F3: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-291869) and have no expiration date.

F4: Includes 6,472,519 Class B ordinary shares of the Issuer acquired by the Sponsor prior to the Issuer's initial public offering convertible for the Issuer's Class A ordinary shares, of which 844,249 Class B ordinary shares remain subject to forfeiture depending on the extent to which the underwriters' over-allotment option is exercised.

F2: The Class B ordinary shares and Class A ordinary shares underlying the private placement units are held directly by GigAcquisitions9 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned equally (50% each) by Dr. Katz, the Issuer's Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

RightSEC Table II · derivative / convertible securityIndirectGigAcquisitions9 Corp.Not disclosed Reported balance Holding disclosure · report date 2026-01-23 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance Not disclosed

F5: Includes 2,000 rights underlying the private placement units, which are sold in a private placement taking place simultaneously with the Issuer's initial public offering. Each right is exchangeable for one-fifth of one Class A ordinary share upon the completion of the Issuer's initial business combination.

F2: The Class B ordinary shares and Class A ordinary shares underlying the private placement units are held directly by GigAcquisitions9 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned equally (50% each) by Dr. Katz, the Issuer's Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 10,000 Class A ordinary shares underlying the private placement units to be purchased concurrently with the initial public offering.

F2: The Class B ordinary shares and Class A ordinary shares underlying the private placement units are held directly by GigAcquisitions9 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned equally (50% each) by Dr. Katz, the Issuer's Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

F3: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-291869) and have no expiration date.

F4: Includes 6,472,519 Class B ordinary shares of the Issuer acquired by the Sponsor prior to the Issuer's initial public offering convertible for the Issuer's Class A ordinary shares, of which 844,249 Class B ordinary shares remain subject to forfeiture depending on the extent to which the underwriters' over-allotment option is exercised.

F5: Includes 2,000 rights underlying the private placement units, which are sold in a private placement taking place simultaneously with the Issuer's initial public offering. Each right is exchangeable for one-fifth of one Class A ordinary share upon the completion of the Issuer's initial business combination.

GigInternational1, Inc.

Report date May 28, 2021 · Filed May 29, 2021

Jointly reported with GigInternational1 Sponsor, LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy GigInternational1 Sponsor, LLC5,210,000 Reported balance After 2021-05-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-05-28 · Other · Disposed 525,000 · Balance 5,210,000

F1: Forfeiture of 525,000 shares of Common Stock for no additional consideration in connection with the underwriters' election not to fully exercise the over-allotment option as described in the Issuer's registration statement on Form S-1.

F2: The Common Stock is held directly by GigInternational1 Sponsor, LLC (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigInternational1, Inc.'s Executive Chairman of the Board of Directors. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

Filing footnotes · ownership attribution and instrument terms

F1: Forfeiture of 525,000 shares of Common Stock for no additional consideration in connection with the underwriters' election not to fully exercise the over-allotment option as described in the Issuer's registration statement on Form S-1.

F2: The Common Stock is held directly by GigInternational1 Sponsor, LLC (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigInternational1, Inc.'s Executive Chairman of the Board of Directors. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

Hadron Energy, Inc.

Report date September 02, 2026 · Filed September 04, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect862,811 Reported balance After 2026-09-02 transaction · row 1
1 source row

Row 1 · 2026-09-02 · Grant · Acquired 707,916 · Balance 862,811

F1: Subject to the Reporting Person's continued service to Hadron Energy, Inc. (the "Company"), seventy-five percent of the Restricted Stock Unit ("RSU") shall vest on November 15, 2026, and the remaining twenty-five percent of the RSU will vest on February 15, 2027.

Filing footnotes · ownership attribution and instrument terms

F1: Subject to the Reporting Person's continued service to Hadron Energy, Inc. (the "Company"), seventy-five percent of the Restricted Stock Unit ("RSU") shall vest on November 15, 2026, and the remaining twenty-five percent of the RSU will vest on February 15, 2027.

QT IMAGING HOLDINGS, INC.

Report date March 20, 2026 · Filed March 25, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect416,952 Reported balance After 2026-03-20 transaction · row 1
1 source row

Row 1 · 2026-03-20 · Grant · Acquired 3,500 · Balance 416,952

F1: Subject to the Reporting Person's continued service to QT Imaging Holdings, Inc. (the "Company"), twenty-five percent of the Restricted Stock Unit ("RSU") will vest on each of May 15, 2026, August 15, 2026, November 15, 2026, and February 15, 2027; all RSUs shall immediately vest in the event of a Change of Control (as defined in the QT Imaging Holdings, Inc. 2024 Equity Incentive Plan) of the Company.

Filing footnotes · ownership attribution and instrument terms

F1: Subject to the Reporting Person's continued service to QT Imaging Holdings, Inc. (the "Company"), twenty-five percent of the Restricted Stock Unit ("RSU") will vest on each of May 15, 2026, August 15, 2026, November 15, 2026, and February 15, 2027; all RSUs shall immediately vest in the event of a Change of Control (as defined in the QT Imaging Holdings, Inc. 2024 Equity Incentive Plan) of the Company.

Past disclosures · reporting ended (4)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

GigPeak, Inc.

Report date April 04, 2017 · Filed April 04, 2017

Section 16 reporting ended · disclosed 2017-04-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2017-04-04 transaction · row 1
1 source row

Row 1 · 2017-04-04 · Other · Disposed 319,996 · Balance 0

Restricted Stock Units (RSUs)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2017-04-04 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2017-04-04 · Disposition to issuer · Disposed 8,050 · Balance 0

F1: As disclosed in the Schedule 14D-9 filed by the Issuer, pursuant to the Merger Agreement, each GigPeak RSU that is outstanding and is not an Assumed RSU (including GigPeak RSUs for which the vesting is solely accelerated due to the consummation of the transactions contemplated by the Merger Agreement pursuant to a contract in effect as of the date of the Merger Agreement) shall vest in full to the extent unvested and be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak RSU immediately prior to the Effective Time and (b) the Offer Price. No GigPeak RSUs held by GigPeak directors or executive officers will be Assumed RSUs.

RSUsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2017-04-04 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2017-04-04 · Disposition to issuer · Disposed 29,341 · Balance 0

F1: As disclosed in the Schedule 14D-9 filed by the Issuer, pursuant to the Merger Agreement, each GigPeak RSU that is outstanding and is not an Assumed RSU (including GigPeak RSUs for which the vesting is solely accelerated due to the consummation of the transactions contemplated by the Merger Agreement pursuant to a contract in effect as of the date of the Merger Agreement) shall vest in full to the extent unvested and be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak RSU immediately prior to the Effective Time and (b) the Offer Price. No GigPeak RSUs held by GigPeak directors or executive officers will be Assumed RSUs.

RSUsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2017-04-04 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2017-04-04 · Disposition to issuer · Disposed 98,125 · Balance 0

F1: As disclosed in the Schedule 14D-9 filed by the Issuer, pursuant to the Merger Agreement, each GigPeak RSU that is outstanding and is not an Assumed RSU (including GigPeak RSUs for which the vesting is solely accelerated due to the consummation of the transactions contemplated by the Merger Agreement pursuant to a contract in effect as of the date of the Merger Agreement) shall vest in full to the extent unvested and be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak RSU immediately prior to the Effective Time and (b) the Offer Price. No GigPeak RSUs held by GigPeak directors or executive officers will be Assumed RSUs.

RSUsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2017-04-04 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2017-04-04 · Disposition to issuer · Disposed 200,624 · Balance 0

F1: As disclosed in the Schedule 14D-9 filed by the Issuer, pursuant to the Merger Agreement, each GigPeak RSU that is outstanding and is not an Assumed RSU (including GigPeak RSUs for which the vesting is solely accelerated due to the consummation of the transactions contemplated by the Merger Agreement pursuant to a contract in effect as of the date of the Merger Agreement) shall vest in full to the extent unvested and be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak RSU immediately prior to the Effective Time and (b) the Offer Price. No GigPeak RSUs held by GigPeak directors or executive officers will be Assumed RSUs.

RSUsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2017-04-04 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2017-04-04 · Disposition to issuer · Disposed 303,238 · Balance 0

F1: As disclosed in the Schedule 14D-9 filed by the Issuer, pursuant to the Merger Agreement, each GigPeak RSU that is outstanding and is not an Assumed RSU (including GigPeak RSUs for which the vesting is solely accelerated due to the consummation of the transactions contemplated by the Merger Agreement pursuant to a contract in effect as of the date of the Merger Agreement) shall vest in full to the extent unvested and be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak RSU immediately prior to the Effective Time and (b) the Offer Price. No GigPeak RSUs held by GigPeak directors or executive officers will be Assumed RSUs.

RSUsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2017-04-04 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2017-04-04 · Disposition to issuer · Disposed 375,000 · Balance 0

F1: As disclosed in the Schedule 14D-9 filed by the Issuer, pursuant to the Merger Agreement, each GigPeak RSU that is outstanding and is not an Assumed RSU (including GigPeak RSUs for which the vesting is solely accelerated due to the consummation of the transactions contemplated by the Merger Agreement pursuant to a contract in effect as of the date of the Merger Agreement) shall vest in full to the extent unvested and be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak RSU immediately prior to the Effective Time and (b) the Offer Price. No GigPeak RSUs held by GigPeak directors or executive officers will be Assumed RSUs.

RSUsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2017-04-04 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2017-04-04 · Disposition to issuer · Disposed 694,721 · Balance 0

F1: As disclosed in the Schedule 14D-9 filed by the Issuer, pursuant to the Merger Agreement, each GigPeak RSU that is outstanding and is not an Assumed RSU (including GigPeak RSUs for which the vesting is solely accelerated due to the consummation of the transactions contemplated by the Merger Agreement pursuant to a contract in effect as of the date of the Merger Agreement) shall vest in full to the extent unvested and be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak RSU immediately prior to the Effective Time and (b) the Offer Price. No GigPeak RSUs held by GigPeak directors or executive officers will be Assumed RSUs.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.73Direct0 Reported balance After 2017-04-04 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2017-04-04 · Disposition to issuer · Disposed 137,500 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.73Direct0 Reported balance After 2017-04-04 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2017-04-04 · Disposition to issuer · Disposed 11,919 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.73Direct0 Reported balance After 2017-04-04 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2017-04-04 · Disposition to issuer · Disposed 10,312 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.73Direct0 Reported balance After 2017-04-04 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2017-04-04 · Disposition to issuer · Disposed 6,875 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.10Direct0 Reported balance After 2017-04-04 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2017-04-04 · Disposition to issuer · Disposed 581,338 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.95Direct0 Reported balance After 2017-04-04 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2017-04-04 · Disposition to issuer · Disposed 77,764 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.50Direct0 Reported balance After 2017-04-04 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2017-04-04 · Disposition to issuer · Disposed 93,176 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.50Direct0 Reported balance After 2017-04-04 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2017-04-04 · Disposition to issuer · Disposed 36,824 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.95Direct0 Reported balance After 2017-04-04 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2017-04-04 · Disposition to issuer · Disposed 190,305 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.95Direct0 Reported balance After 2017-04-04 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2017-04-04 · Disposition to issuer · Disposed 121,100 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.95Direct0 Reported balance After 2017-04-04 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2017-04-04 · Disposition to issuer · Disposed 12,695 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.40Direct0 Reported balance After 2017-04-04 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 20 · 2017-04-04 · Disposition to issuer · Disposed 200,877 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.40Direct0 Reported balance After 2017-04-04 transaction · row 21 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 21 · 2017-04-04 · Disposition to issuer · Disposed 116,115 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.40Direct0 Reported balance After 2017-04-04 transaction · row 22 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 22 · 2017-04-04 · Disposition to issuer · Disposed 31,353 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.50Direct0 Reported balance After 2017-04-04 transaction · row 23 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 23 · 2017-04-04 · Disposition to issuer · Disposed 388,473 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.50Direct0 Reported balance After 2017-04-04 transaction · row 24 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 24 · 2017-04-04 · Disposition to issuer · Disposed 16,891 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.65Direct0 Reported balance After 2017-04-04 transaction · row 25 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 25 · 2017-04-04 · Disposition to issuer · Disposed 202,412 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.65Direct0 Reported balance After 2017-04-04 transaction · row 26 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 26 · 2017-04-04 · Disposition to issuer · Disposed 200,000 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.65Direct0 Reported balance After 2017-04-04 transaction · row 27 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 27 · 2017-04-04 · Disposition to issuer · Disposed 21,800 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.70Direct0 Reported balance After 2017-04-04 transaction · row 28 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 28 · 2017-04-04 · Disposition to issuer · Disposed 503,906 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.70Direct0 Reported balance After 2017-04-04 transaction · row 29 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 29 · 2017-04-04 · Disposition to issuer · Disposed 33,594 · Balance 0

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Filing footnotes · ownership attribution and instrument terms

F1: As disclosed in the Schedule 14D-9 filed by the Issuer, pursuant to the Merger Agreement, each GigPeak RSU that is outstanding and is not an Assumed RSU (including GigPeak RSUs for which the vesting is solely accelerated due to the consummation of the transactions contemplated by the Merger Agreement pursuant to a contract in effect as of the date of the Merger Agreement) shall vest in full to the extent unvested and be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak RSU immediately prior to the Effective Time and (b) the Offer Price. No GigPeak RSUs held by GigPeak directors or executive officers will be Assumed RSUs.

F2: Pursuant to the Merger Agreement, effective as of immediately prior to the Effective Time, (i) each GigPeak Option with an exercise price that is less than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time and converted into the right to receive an amount in cash equal to the product obtained by multiplying (a) the aggregate number of Shares subject to such GigPeak Option immediately prior to the Effective Time and (b) the excess of the Offer Price over the exercise price per share of such GigPeak Option; and (ii) each GigPeak Option with an exercise price equal to or greater than the Offer Price that is outstanding immediately prior to the Effective Time will be cancelled immediately prior to the Effective Time in exchange for no consideration.

Kaleyra, Inc.

Report date October 05, 2023 · Filed October 10, 2023

Section 16 reporting ended · disclosed 2023-10-10. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2023-10-05 transaction · row 1
1 source row

Row 1 · 2023-10-05 · Disposition to issuer · Disposed 379,288 · Balance 0

F1: Disposition pursuant to the merger (the "Merger") of TC Delaware Technologies Inc. with and into Kaleyra, Inc. (the "Company"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 28, 2023, by and among Tata Communications Limited and the Company.

F2: Includes the number of shares of the Company's common stock underlying the Reporting Person's Restricted Stock Units ("RSUs").

F3: At the effective time of the Merger (the "Effective Time"), each share of the Company's common stock was converted into the right to receive $7.25 in cash, without interest (the "Merger Consideration").

F4: In connection with the consummation of the Merger, each outstanding RSU that was held by a non-employee director of the Company was vested prior to the Effective Time and as of the Effective Time was canceled and converted solely into the right to receive the Merger Consideration, less applicable withholding taxes.

Filing footnotes · ownership attribution and instrument terms

F1: Disposition pursuant to the merger (the "Merger") of TC Delaware Technologies Inc. with and into Kaleyra, Inc. (the "Company"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 28, 2023, by and among Tata Communications Limited and the Company.

F2: Includes the number of shares of the Company's common stock underlying the Reporting Person's Restricted Stock Units ("RSUs").

F3: At the effective time of the Merger (the "Effective Time"), each share of the Company's common stock was converted into the right to receive $7.25 in cash, without interest (the "Merger Consideration").

F4: In connection with the consummation of the Merger, each outstanding RSU that was held by a non-employee director of the Company was vested prior to the Effective Time and as of the Effective Time was canceled and converted solely into the right to receive the Merger Consideration, less applicable withholding taxes.

Lightning eMotors, Inc.

Report date October 07, 2021 · Filed October 26, 2021

Section 16 reporting ended · disclosed 2021-10-26. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

UpHealth, Inc.

Report date January 31, 2024 · Filed February 02, 2024

Section 16 reporting ended · disclosed 2021-08-16. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect113,886 Reported balance After 2024-01-31 transaction · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · 2024-01-31 · Grant · Acquired 100,000 · Balance 113,886

F2: Subject to the Reporting Person's continued service to the Company, the Restricted Stock Units ("RSUs") shall vest on January 1, 2025; all RSUs shall immediately vest in the event of a Change of Control (as defined in the UpHealth, Inc. 2021 Equity Incentive Plan) of the Company.

Common StockSEC Table I · non-derivativeDirect13,886 Reported balance Holding disclosure · report date 2024-01-31 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 13,886

F1: Includes Restricted Stock Units ("Prior RSUs") of UpHealth, Inc. (the "Company"), that are subject to vesting pursuant to previously disclosed vesting schedules.

Common StockSEC Table I · non-derivativeIndirectBy GigAcquisitions2, LLC452,430 Reported balance Holding disclosure · report date 2024-01-31 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 452,430

F3: The Common Stock is held directly by GigAcquisitions2, LLC ("GigAcquisitions2"). The Common Stock held by GigAcquisitions2 is beneficially owned by Dr. Avi S. Katz, Chairman of the Board of Directors of the Company. Dr. Katz is the sole manager but is not a member of GigAcquisitions2 and, as a result, has sole voting and dispositive power over the shares held by GigAcquisitions2.

Filing footnotes · ownership attribution and instrument terms

F1: Includes Restricted Stock Units ("Prior RSUs") of UpHealth, Inc. (the "Company"), that are subject to vesting pursuant to previously disclosed vesting schedules.

F2: Subject to the Reporting Person's continued service to the Company, the Restricted Stock Units ("RSUs") shall vest on January 1, 2025; all RSUs shall immediately vest in the event of a Change of Control (as defined in the UpHealth, Inc. 2021 Equity Incentive Plan) of the Company.

F3: The Common Stock is held directly by GigAcquisitions2, LLC ("GigAcquisitions2"). The Common Stock held by GigAcquisitions2 is beneficially owned by Dr. Avi S. Katz, Chairman of the Board of Directors of the Company. Dr. Katz is the sole manager but is not a member of GigAcquisitions2 and, as a result, has sole voting and dispositive power over the shares held by GigAcquisitions2.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
September 02, 2026 Filed Sep 4, 2026 22:21 UTC Hadron Energy, Inc. HDRN · Entity 6554 GrantCommon Stock 707,916 $1.88 $1,330,882.08
Disclosure

SEC source: 0001451693-26-000017 · form4.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 862,811

F1 · shares: Subject to the Reporting Person's continued service to Hadron Energy, Inc. (the "Company"), seventy-five percent of the Restricted Stock Unit ("RSU") shall vest on November 15, 2026, and the remaining twenty-five percent of the RSU will vest on February 15, 2027.

Read SEC document
August 11, 2026 Filed Aug 13, 2026 22:39 UTC Hadron Energy, Inc. HDRN · Entity 6554 GrantCommon Stock 67,395 $1.84 $124,006.80
Disclosure

SEC source: 0001451693-26-000015 · form4.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,895

F1 · shares: Subject to the Reporting Person's continued service to Hadron Energy, Inc. (the "Company"), fifty percent of the Restricted Stock Unit ("RSU") shall vest on August 15, 2026, and the remaining fifty percent will vest in two equal installments on November 15 and February 15, such that the grant will be fully vested on February 15, 2027.

Read SEC document
May 22, 2026 Filed May 28, 2026 00:45 UTC Hadron Energy, Inc. HDRN · Entity 6554 OtherConvertible Promissory Note · Derivative 29,300 Not disclosed Not disclosed
Disclosure

SEC source: 0001451693-26-000012 · primary_doc.xml · derivative · entry 6

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · GigAcquisitions7 Corp.

Disclosed balance after: 0

Underlying: Warrants · 29,300 shares

Expires 2026-05-22

F5 · derivative.exercise_price: In connection with the closing of the Merger, the principal balance of the convertible promissory note was paid in full.

F5 · price: In connection with the closing of the Merger, the principal balance of the convertible promissory note was paid in full.

F4 · ownership.nature: The Common Stock are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Chairman of the Board of Directors, and Dr. Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

Read SEC document
May 22, 2026 Filed May 28, 2026 00:45 UTC Hadron Energy, Inc. HDRN · Entity 6554 OtherConvertible Promissory Note · Derivative 29,300 Not disclosed Not disclosed
Disclosure

SEC source: 0001451693-26-000012 · primary_doc.xml · derivative · entry 5

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · GigAcquisitions7 Corp.

Disclosed balance after: 0

Underlying: Class A ordinary shares · 29,300 shares

Expires 2026-05-22

F5 · derivative.exercise_price: In connection with the closing of the Merger, the principal balance of the convertible promissory note was paid in full.

F5 · price: In connection with the closing of the Merger, the principal balance of the convertible promissory note was paid in full.

F4 · ownership.nature: The Common Stock are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Chairman of the Board of Directors, and Dr. Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

Read SEC document
May 22, 2026 Filed May 28, 2026 00:45 UTC Hadron Energy, Inc. HDRN · Entity 6554 Exercise / conversionClass B ordinary shares · Derivative 9,932,246 Not disclosed Not disclosed
Disclosure

SEC source: 0001451693-26-000012 · primary_doc.xml · derivative · entry 4

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · GigAcquisitions7 Corp.

Disclosed balance after: 0

Underlying: Common Stock · 9,932,246 shares

Expires 2026-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: The closing price of the Company's Common Stock on the effective date of the Merger was $5.16.

F2 · price: The closing price of the Company's Common Stock on the effective date of the Merger was $5.16.

F4 · ownership.nature: The Common Stock are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Chairman of the Board of Directors, and Dr. Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

Read SEC document
May 22, 2026 Filed May 28, 2026 00:45 UTC Hadron Energy, Inc. HDRN · Entity 6554 GrantCommon Stock 9,932,246 Not disclosed Not disclosed
Disclosure

SEC source: 0001451693-26-000012 · primary_doc.xml · nonDerivative · entry 3

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions7 Corp.

Disclosed balance after: 9,932,246

F4 · shares: The Common Stock are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Chairman of the Board of Directors, and Dr. Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

F2 · price: The closing price of the Company's Common Stock on the effective date of the Merger was $5.16.

F4 · ownership.nature: The Common Stock are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Chairman of the Board of Directors, and Dr. Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

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May 22, 2026 Filed May 28, 2026 00:45 UTC Hadron Energy, Inc. HDRN · Entity 6554 GrantCommon Stock 87,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001451693-26-000012 · primary_doc.xml · nonDerivative · entry 2

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse, Dr. Raluca Dinu

Disclosed balance after: 87,500

F3 · shares: Received by Dr. Raluca Dinu in exchange for 1,750.04 shares of Hadron held by Dr. Dinu, in connection with the Merger of Hadron into a subsidiary of the Company pursuant to the exchange ratio set forth in the business combination agreement between Hadron and the Company. The acquisition of these shares is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange pursuant to the Securities and Exchange Act of 1934, as amended.

F2 · price: The closing price of the Company's Common Stock on the effective date of the Merger was $5.16.

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May 22, 2026 Filed May 28, 2026 00:45 UTC Hadron Energy, Inc. HDRN · Entity 6554 GrantCommon Stock 87,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001451693-26-000012 · primary_doc.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,500

F1 · shares: Received by Dr. Avi S. Katz in exchange for 1,750.04 shares of Hadron Energy, Inc. ("Hadron") held by Dr. Katz, in connection with the merger of Hadron into a subsidiary of GigCapital7 Corp. (the "Company") (the "Merger") pursuant to the exchange ratio set forth in the business combination agreement between Hadron and the Company. The acquisition of these shares is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange pursuant to the Securities and Exchange Act of 1934, as amended.

F2 · price: The closing price of the Company's Common Stock on the effective date of the Merger was $5.16.

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April 16, 2026 Filed Apr 20, 2026 21:12 UTC Hadron Energy, Inc. GIGGU · Entity 6554 GrantConvertible Promissory Note · Derivative 29,300 Not disclosed Not disclosed
Disclosure

SEC source: 0001451693-26-000011 · form4.xml · derivative · entry 2

Katz Avi S · CIK 0001451693 · Director · CEO; Chairmain · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · GigAcquisitions7 Corp.

Disclosed balance after: 29,300

Underlying: Warrants · 29,300 shares

Expires not disclosed

F1 · derivative.exercise_price: On April 16, 2026, the Issuer entered into an Amended and Restated Convertible Promissory Note (the "Note") promising to pay Sponsor, $293,000.00. All amounts due under the Note may be converted into 29,300 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 29,300 Class A ordinary shares and warrants to purchase an additional 29,300 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.

F3 · price: The Issuer's Class A ordinary shares and warrants as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015).

F1 · derivative.exercise_date: On April 16, 2026, the Issuer entered into an Amended and Restated Convertible Promissory Note (the "Note") promising to pay Sponsor, $293,000.00. All amounts due under the Note may be converted into 29,300 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 29,300 Class A ordinary shares and warrants to purchase an additional 29,300 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.

F2 · derivative.expiration_date: The principal balance of the Note shall be payable by the Issuer on the earlier of: (i) the date on which Issuer consummates its initial business combination or (ii) the date that the winding up of the Issuer is effective. Payee may elect to convert the Note upon consummation of an initial business combination of the Issuer or at Payee's option at any time prior to the payment in full.

F4 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the sole members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

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April 16, 2026 Filed Apr 20, 2026 21:12 UTC Hadron Energy, Inc. GIGGU · Entity 6554 GrantConvertible Promissory Note · Derivative 29,300 Not disclosed Not disclosed
Disclosure

SEC source: 0001451693-26-000011 · form4.xml · derivative · entry 1

Katz Avi S · CIK 0001451693 · Director · CEO; Chairmain · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · GigAcquisitions7 Corp.

Disclosed balance after: 29,300

Underlying: Class A ordinary shares · 29,300 shares

Expires not disclosed

F1 · derivative.exercise_price: On April 16, 2026, the Issuer entered into an Amended and Restated Convertible Promissory Note (the "Note") promising to pay Sponsor, $293,000.00. All amounts due under the Note may be converted into 29,300 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 29,300 Class A ordinary shares and warrants to purchase an additional 29,300 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.

F3 · price: The Issuer's Class A ordinary shares and warrants as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015).

F1 · derivative.exercise_date: On April 16, 2026, the Issuer entered into an Amended and Restated Convertible Promissory Note (the "Note") promising to pay Sponsor, $293,000.00. All amounts due under the Note may be converted into 29,300 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 29,300 Class A ordinary shares and warrants to purchase an additional 29,300 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.

F2 · derivative.expiration_date: The principal balance of the Note shall be payable by the Issuer on the earlier of: (i) the date on which Issuer consummates its initial business combination or (ii) the date that the winding up of the Issuer is effective. Payee may elect to convert the Note upon consummation of an initial business combination of the Issuer or at Payee's option at any time prior to the payment in full.

F4 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the sole members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

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March 20, 2026 Filed Mar 25, 2026 01:29 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 GrantCommon Stock 3,500 $0.00 $0.00
Disclosure

SEC source: 0001451693-26-000005 · form4.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 416,952

F1 · shares: Subject to the Reporting Person's continued service to QT Imaging Holdings, Inc. (the "Company"), twenty-five percent of the Restricted Stock Unit ("RSU") will vest on each of May 15, 2026, August 15, 2026, November 15, 2026, and February 15, 2027; all RSUs shall immediately vest in the event of a Change of Control (as defined in the QT Imaging Holdings, Inc. 2024 Equity Incentive Plan) of the Company.

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January 30, 2026 Filed Feb 17, 2026 21:32 UTC Hadron Energy, Inc. GIGGU · Entity 6554 GrantConvertible Promissory Note · Derivative 14,800 Not disclosed Not disclosed
Disclosure

SEC source: 0002023730-26-000003 · form4.xml · derivative · entry 3

Katz Avi S · CIK 0001451693 · Director · CEO; Chairmain · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · GigAcquisitions7 Corp.

Disclosed balance after: 14,800

Underlying: Warrants · 14,800 shares

Expires not disclosed

F4 · derivative.exercise_price: On January 30, 2026, the Issuer entered into a Convertible Promissory Note (the "Note") promising to pay Sponsor, $148,000.00. All amounts due under the Note may be converted into 14,800 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 14,800 Class A ordinary shares and warrants to purchase an additional 14,800 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.

F6 · price: The Issuer's Class A ordinary shares and warrants as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015).

F4 · derivative.exercise_date: On January 30, 2026, the Issuer entered into a Convertible Promissory Note (the "Note") promising to pay Sponsor, $148,000.00. All amounts due under the Note may be converted into 14,800 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 14,800 Class A ordinary shares and warrants to purchase an additional 14,800 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.

F5 · derivative.expiration_date: The principal balance of the Note shall be payable by the Issuer on the earlier of: (i) the date on which Issuer consummates its initial business combination or (ii) the date that the winding up of the Issuer is effective. Payee may elect to convert the Note upon consummation of an initial business combination of the Issuer or at Payee's option at any time prior to the payment in full.

F3 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the sole members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

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January 30, 2026 Filed Feb 17, 2026 21:32 UTC Hadron Energy, Inc. GIGGU · Entity 6554 GrantConvertible Promissory Note · Derivative 14,800 Not disclosed Not disclosed
Disclosure

SEC source: 0002023730-26-000003 · form4.xml · derivative · entry 2

Katz Avi S · CIK 0001451693 · Director · CEO; Chairmain · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · GigAcquisitions7 Corp.

Disclosed balance after: 14,800

Underlying: Class A ordinary shares · 14,800 shares

Expires not disclosed

F4 · derivative.exercise_price: On January 30, 2026, the Issuer entered into a Convertible Promissory Note (the "Note") promising to pay Sponsor, $148,000.00. All amounts due under the Note may be converted into 14,800 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 14,800 Class A ordinary shares and warrants to purchase an additional 14,800 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.

F6 · price: The Issuer's Class A ordinary shares and warrants as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015).

F4 · derivative.exercise_date: On January 30, 2026, the Issuer entered into a Convertible Promissory Note (the "Note") promising to pay Sponsor, $148,000.00. All amounts due under the Note may be converted into 14,800 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 14,800 Class A ordinary shares and warrants to purchase an additional 14,800 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.

F5 · derivative.expiration_date: The principal balance of the Note shall be payable by the Issuer on the earlier of: (i) the date on which Issuer consummates its initial business combination or (ii) the date that the winding up of the Issuer is effective. Payee may elect to convert the Note upon consummation of an initial business combination of the Issuer or at Payee's option at any time prior to the payment in full.

F3 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the sole members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

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January 22, 2026 Filed Jan 24, 2026 00:56 UTC QT IMAGING HOLDINGS, INC. QTIH · Entity 7298 PurchasePRIVATE WARRANT · Derivative 48,214 $0.00 Strike: $6.43 $0.00
Disclosure

SEC source: 0001451693-26-000001 · primary_doc.xml · derivative · entry 2

Katz Avi S · CIK 0001451693 · Director · CHAIRMAN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,214

Underlying: COMMON STOCK · 48,214 shares

Expires 2036-07-22

Read SEC document
January 22, 2026 Filed Jan 24, 2026 00:56 UTC QT IMAGING HOLDINGS, INC. QTIH · Entity 7298 PurchaseCOMMON STOCK 24,107 $6.43 $155,008.01
Disclosure

SEC source: 0001451693-26-000001 · primary_doc.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · CHAIRMAN

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 413,452

F1 · balance_after: The number of shares beneficially owned reflects the 3-for-1 reverse stock split effected October 23, 2025.

Read SEC document
January 21, 2026 Filed Feb 17, 2026 21:32 UTC Hadron Energy, Inc. GIGGU · Entity 6554 SaleClass B ordinary shares · Derivative 175,000 Not disclosed Not disclosed
Disclosure

SEC source: 0002023730-26-000003 · form4.xml · derivative · entry 1

Katz Avi S · CIK 0001451693 · Director · CEO; Chairmain · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Dinu Raluca · CIK 0001430575 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · GigAcquisitions7 Corp.

Disclosed balance after: 9,932,246

Underlying: Class A ordinary shares · 175,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date.

F2 · kind: The reporting person sold 175,000 shares of Class B ordinary shares for an aggregate of $148,750, which the reporting person holds indirectly through GigAcquisitions7 Corp.

F1 · price: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date.

F2 · price: The reporting person sold 175,000 shares of Class B ordinary shares for an aggregate of $148,750, which the reporting person holds indirectly through GigAcquisitions7 Corp.

F1 · derivative.exercise_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date.

F1 · derivative.expiration_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date.

F3 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the sole members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

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August 27, 2025 Filed Sep 2, 2025 21:07 UTC Hadron Energy, Inc. GIGGU · Entity 6554 GiftClass B ordinary shares · Derivative 100,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001062993-25-015177 · form4.xml · derivative · entry 1

Katz Avi S · CIK 0001451693 · Director · 10% owner

GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · GigAcquisitions7 Corp.

Disclosed balance after: 10,107,246

Underlying: Class A ordinary shares · 100,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date.

F2 · kind: The reporting person transferred 100,000 shares of Class B ordinary shares for no consideration to a non-affiliated charitable organization, which the reporting person holds indirectly through GigAcquisitions7 Corp.

F1 · price: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date.

F1 · derivative.exercise_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date.

F1 · derivative.expiration_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date.

F3 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.

Read SEC document
August 11, 2025 Filed Aug 14, 2025 01:10 UTC QT IMAGING HOLDINGS, INC. QTIH · Entity 7298 GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $1.90 $0.00
Disclosure

SEC source: 0001062993-25-014343 · form4.xml · derivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2035-08-11

F1 · derivative.exercise_date: One-third of the grant will vest on August 15, 2026, and the remaining two-thirds will vest in eight equal quarterly installments on each subsequent November 15, February 15, May 15, and August 15, such that the grant will be fully vested on August 15, 2028, subject to continued service with the Issuer through each vesting date.

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April 21, 2025 Filed Apr 23, 2025 21:36 UTC QT IMAGING HOLDINGS, INC. QTIH · Entity 7298 GrantStock Option (right to buy) · Derivative 233,750 $0.00 Strike: $0.67 $0.00
Disclosure

SEC source: 0001062993-25-007841 · form4.xml · derivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 233,750

Underlying: Common Stock · 233,750 shares

Expires 2035-04-21

F1 · derivative.exercise_date: The grant will vest in four equal quarterly installments beginning on May 15, 2025, and continuing on August 15, 2025, November 15, 2025 and February 15, 2026, such that the grant will be fully vested on February 15, 2026, subject to continued service with the Issuer through each vesting date.

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April 09, 2025 Filed Apr 11, 2025 01:09 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 PurchaseSubscription Warrants (right to buy) · Derivative 784,929 $0.00 Strike: $0.72 $0.00
Disclosure

SEC source: 0001062993-25-007326 · form4.xml · derivative · entry 2

Katz Avi S · CIK 0001451693 · Director · Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 784,929

Underlying: Common Stock · 784,929 shares

Expires 2035-04-09

F1 · shares: These shares and warrants represent 50% of the shares and warrants that were purchased jointly with the Reporting Person's spouse, Dr. Raluca Dinu, who is also a director of the Issuer and is separately reporting the other 50% of such purchased shares and warrants.

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April 09, 2025 Filed Apr 11, 2025 01:09 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 PurchaseCommon Stock 392,464 $0.64 $249,999.57
Disclosure

SEC source: 0001062993-25-007326 · form4.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,168,035

F1 · shares: These shares and warrants represent 50% of the shares and warrants that were purchased jointly with the Reporting Person's spouse, Dr. Raluca Dinu, who is also a director of the Issuer and is separately reporting the other 50% of such purchased shares and warrants.

Read SEC document
March 21, 2025 Filed Mar 25, 2025 20:32 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 PurchaseSubscription Warrants (right to buy) · Derivative 75,435 $0.67 Strike: $0.67 $50,692.32
Disclosure

SEC source: 0001062993-25-006252 · form4.xml · derivative · entry 4

Katz Avi S · CIK 0001451693 · Director · Chairman

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 571,431

Underlying: Common Stock · 75,435 shares

Expires 2030-05-22

Read SEC document
March 21, 2025 Filed Mar 25, 2025 20:32 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 PurchaseSubscription Warrants (right to buy) · Derivative 2,671,232 $0.67 Strike: $0.67 $1,795,067.90
Disclosure

SEC source: 0001062993-25-006252 · form4.xml · derivative · entry 3

Katz Avi S · CIK 0001451693 · Director · Chairman

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 0

Underlying: Common Stock · 2,671,232 shares

Expires 2030-05-22

F2 · ownership.nature: The Common Stock and Warrants are held directly by the Sponsor. The shares held by the Sponsor are beneficially owned by Dr. Katz. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

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March 21, 2025 Filed Mar 25, 2025 20:32 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 PurchaseCommon Stock 117,611 $0.58 $68,684.82
Disclosure

SEC source: 0001062993-25-006252 · form4.xml · nonDerivative · entry 2

Katz Avi S · CIK 0001451693 · Director · Chairman

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 775,571

Read SEC document
March 21, 2025 Filed Mar 25, 2025 20:32 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 PurchaseCommon Stock 2,671,232 $0.58 $1,559,999.49
Disclosure

SEC source: 0001062993-25-006252 · form4.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 0

F1 · kind: Distribution of shares of Common Stock and Warrants to direct and indirect members of GigAcqusitions5, LLC (the "Sponsor").

F2 · ownership.nature: The Common Stock and Warrants are held directly by the Sponsor. The shares held by the Sponsor are beneficially owned by Dr. Katz. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

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November 12, 2024 Filed Nov 15, 2024 02:03 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 PurchaseSubscription Warrants (right to buy) · Derivative 470,890 $0.67 Strike: $0.67 $316,438.08
Disclosure

SEC source: 0001062993-24-019202 · form4.xml · derivative · entry 4

Katz Avi S · CIK 0001451693 · Director · Chairman

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 470,890

Underlying: Common Stock · 470,890 shares

Expires 2030-05-12

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November 12, 2024 Filed Nov 15, 2024 02:03 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 PurchaseSubscription Warrants (right to buy) · Derivative 2,671,232 $0.67 Strike: $0.67 $1,795,067.90
Disclosure

SEC source: 0001062993-24-019202 · form4.xml · derivative · entry 3

Katz Avi S · CIK 0001451693 · Director · Chairman

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 2,671,232

Underlying: Common Stock · 2,671,232 shares

Expires 2030-05-12

F2 · ownership.nature: The Common Stock is held directly by the Sponsor. The shares held by the Sponsor are beneficially owned by Dr. Katz. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

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November 12, 2024 Filed Nov 15, 2024 02:03 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 PurchaseCommon Stock 470,890 $0.58 $274,999.76
Disclosure

SEC source: 0001062993-24-019202 · form4.xml · nonDerivative · entry 2

Katz Avi S · CIK 0001451693 · Director · Chairman

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 657,960

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November 12, 2024 Filed Nov 15, 2024 02:03 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 PurchaseCommon Stock 2,671,232 $0.58 $1,559,999.49
Disclosure

SEC source: 0001062993-24-019202 · form4.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 2,671,232

F1 · kind: The shares shown were issued in exchange for principal under the Twelfth Amended and Restated Promissory Note (the "Promissory Note") of the Issuer held by GigAcqusitions5, LLC (the "Sponsor"), which Promissory Note was surrendered by the Sponsor for cancellation.

F2 · ownership.nature: The Common Stock is held directly by the Sponsor. The shares held by the Sponsor are beneficially owned by Dr. Katz. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

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September 04, 2024 Filed Sep 12, 2024 00:22 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 OtherCommon Stock 161,954 $0.00 $0.00
Disclosure

SEC source: 0001062993-24-016502 · form4.xml · nonDerivative · entry 2

Katz Avi S · CIK 0001451693 · Director · Chairman

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 187,070

F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions5, LLC (the "Sponsor").

Read SEC document
September 04, 2024 Filed Sep 12, 2024 00:22 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 OtherCommon Stock 5,735,000 $0.00 $0.00
Disclosure

SEC source: 0001062993-24-016502 · form4.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 0

F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions5, LLC (the "Sponsor").

F2 · ownership.nature: The Common Stock is held directly by Sponsor. The shares held by the Sponsor are beneficially owned by Dr. Katz. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

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July 05, 2024 Filed Jul 10, 2024 00:41 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 OtherPrivate Warrants · Derivative 105,773 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001062993-24-013607 · form4.xml · derivative · entry 4

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 0

Underlying: Common Stock · 105,773 shares

Expires 2029-03-04

F5 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor.

F3 · ownership.nature: The Common Stock is held directly by Sponsor. The shares held by the Sponsor are beneficially owned by Dr. Katz. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

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July 05, 2024 Filed Jul 10, 2024 00:41 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 OtherCommon Stock 105,773 $0.00 $0.00
Disclosure

SEC source: 0001062993-24-013607 · form4.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 5,735,000

F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions5, LLC (the "Sponsor").

F2 · balance_after: The total reported shares is a result of the deduction of the number of disposed shares of Common Stock from 5,840,773 shares of Common Stock as previously reported in Form 4 filed by the Reporting Person on July 1, 2024.

F3 · ownership.nature: The Common Stock is held directly by Sponsor. The shares held by the Sponsor are beneficially owned by Dr. Katz. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

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July 03, 2024 Filed Jul 10, 2024 00:41 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001062993-24-013607 · form4.xml · derivative · entry 3

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-07-03

F4 · derivative.exercise_date: One-third of the option will vest on February 15, 2025, and the remaining two thirds will vest in eight equal quarterly installments on each subsequent May 15, August 15, November 15 and February 15, such that the option will be fully vested on February 15, 2027, subject to Dr. Katz's continued service to the Issuer, through each vesting date.

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June 27, 2024 Filed Jul 1, 2024 23:27 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 OtherPrivate Warrants · Derivative 26,593 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001062993-24-013241 · form4.xml · derivative · entry 4

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,593

Underlying: Common Stock · 26,593 shares

Expires 2029-03-04

F4 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 23:27 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 OtherPrivate Warrants · Derivative 783,591 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001062993-24-013241 · form4.xml · derivative · entry 3

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 105,773

Underlying: Common Stock · 783,591 shares

Expires 2029-03-04

F4 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor.

F3 · ownership.nature: The Common Stock is held directly by Sponsor. The shares held by the Sponsor are beneficially owned by Dr. Katz. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 23:27 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 OtherCommon Stock 26,593 $0.00 $0.00
Disclosure

SEC source: 0001062993-24-013241 · form4.xml · nonDerivative · entry 2

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,593

F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions5, LLC (the "Sponsor").

Read SEC document
June 27, 2024 Filed Jul 1, 2024 23:27 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 OtherCommon Stock 783,591 $0.00 $0.00
Disclosure

SEC source: 0001062993-24-013241 · form4.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 5,840,773

F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions5, LLC (the "Sponsor").

F2 · balance_after: The total reported shares is a result of the deduction of the number of disposed shares of Common Stock from 6,624,364 shares of Common Stock as previously reported in Form 4 filed by the Reporting Person on March 6, 2024.

F3 · ownership.nature: The Common Stock is held directly by Sponsor. The shares held by the Sponsor are beneficially owned by Dr. Katz. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

Read SEC document
June 27, 2024 Filed Jul 15, 2024 21:06 UTC Amendment QT IMAGING HOLDINGS, INC. QTI · Entity 7298 OtherPrivate Warrants · Derivative 25,116 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001062993-24-013804 · form4a.xml · derivative · entry 2

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,116

Underlying: Common Stock · 25,116 shares

Expires 2029-03-04

F2 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor.

Read SEC document
June 27, 2024 Filed Jul 15, 2024 21:06 UTC Amendment QT IMAGING HOLDINGS, INC. QTI · Entity 7298 OtherCommon Stock 25,116 $0.00 $0.00
Disclosure

SEC source: 0001062993-24-013804 · form4a.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,116

F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions5, LLC (the "Sponsor").

Read SEC document
March 13, 2024 Filed Mar 13, 2024 21:04 UTC BigBear.ai Holdings, Inc. BBAI · Entity 4725 SaleCommon Stock 50,000 $2.64 $132,000.00
Disclosure

SEC source: 0001628280-24-010966 · wk-form4_1710363880.xml · nonDerivative · entry 6

Katz Avi S · CIK 0001451693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 523,375

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.68, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 13, 2024 Filed Mar 13, 2024 21:04 UTC BigBear.ai Holdings, Inc. BBAI · Entity 4725 SaleCommon Stock 50,000 $2.52 $126,000.00
Disclosure

SEC source: 0001628280-24-010966 · wk-form4_1710363880.xml · nonDerivative · entry 5

Katz Avi S · CIK 0001451693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 573,375

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.56, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 12, 2024 Filed Mar 13, 2024 21:04 UTC BigBear.ai Holdings, Inc. BBAI · Entity 4725 SaleCommon Stock 50,000 $2.38 $119,000.00
Disclosure

SEC source: 0001628280-24-010966 · wk-form4_1710363880.xml · nonDerivative · entry 4

Katz Avi S · CIK 0001451693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 623,375

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.41, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 12, 2024 Filed Mar 13, 2024 21:04 UTC BigBear.ai Holdings, Inc. BBAI · Entity 4725 SaleCommon Stock 50,000 $2.42 $121,000.00
Disclosure

SEC source: 0001628280-24-010966 · wk-form4_1710363880.xml · nonDerivative · entry 3

Katz Avi S · CIK 0001451693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 673,375

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.45, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 12, 2024 Filed Mar 13, 2024 21:04 UTC BigBear.ai Holdings, Inc. BBAI · Entity 4725 SaleCommon Stock 23,924 $2.36 $56,460.64
Disclosure

SEC source: 0001628280-24-010966 · wk-form4_1710363880.xml · nonDerivative · entry 2

Katz Avi S · CIK 0001451693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 723,375

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.40, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 11, 2024 Filed Mar 13, 2024 21:04 UTC BigBear.ai Holdings, Inc. BBAI · Entity 4725 SaleCommon Stock 26,076 $2.51 $65,450.76
Disclosure

SEC source: 0001628280-24-010966 · wk-form4_1710363880.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 747,299

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.57, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 04, 2024 Filed Mar 7, 2024 01:51 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 Exercise / conversionPrivate Warrants · Derivative 94,364 $10.00 Strike: $11.50 $943,640.00
Disclosure

SEC source: 0001062993-24-005803 · form4.xml · derivative · entry 4

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 94,364

Underlying: Common Stock · 94,364 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · shares: Upon the Closing of the Company's initial business combination, Sponsor elected to partially convert $943,640 in principal balance outstanding under the convertible Working Capital Note into 94,364 shares of Common Stock and 94,364 warrants.

F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, and (ii) one Private Warrant exercisable at price of $11.50 per share of Common Stock.

F4 · derivative.exercise_date: The Private Warrants will become exercisable on the later of 30 days after the completion of the Company's initial business combination or 12 months from the completion of the Company's initial public offering.

F5 · derivative.expiration_date: The Private Warrants will expire on the fifth anniversary of the Company's completion of its initial business combination.

F3 · ownership.nature: The Common Stock and Private Warrants are held directly by GigAcquisitions5, LLC (the "Sponsor"). The Common Stock and Private Warrants held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital5, Inc.'s Executive Chairman of the Board of Directors. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

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March 04, 2024 Filed Mar 7, 2024 01:51 UTC QT IMAGING HOLDINGS, INC. QTI · Entity 7298 Exercise / conversionCommon Stock 94,364 $10.00 $943,640.00
Disclosure

SEC source: 0001062993-24-005803 · form4.xml · nonDerivative · entry 2

Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner

GigAcquisitions5, LLC · CIK 0001844511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GigAcquisitions5, LLC

Disclosed balance after: 6,624,364

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · shares: Upon the Closing of the Company's initial business combination, Sponsor elected to partially convert $943,640 in principal balance outstanding under the convertible Working Capital Note into 94,364 shares of Common Stock and 94,364 warrants.

F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, and (ii) one Private Warrant exercisable at price of $11.50 per share of Common Stock.

F3 · ownership.nature: The Common Stock and Private Warrants are held directly by GigAcquisitions5, LLC (the "Sponsor"). The Common Stock and Private Warrants held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital5, Inc.'s Executive Chairman of the Board of Directors. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor.

Read SEC document
January 31, 2024 Filed Feb 2, 2024 23:21 UTC UpHealth, Inc. UPHL · Entity 88003 GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001062993-24-001876 · form4.xml · nonDerivative · entry 2

Katz Avi S · CIK 0001451693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,886

F2 · shares: Subject to the Reporting Person's continued service to the Company, the Restricted Stock Units ("RSUs") shall vest on January 1, 2025; all RSUs shall immediately vest in the event of a Change of Control (as defined in the UpHealth, Inc. 2021 Equity Incentive Plan) of the Company.

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December 15, 2023 Filed Dec 18, 2023 11:56 UTC BigBear.ai Holdings, Inc. BBAI · Entity 4725 SaleCommon Stock 13,028 $1.92 $25,013.76
Disclosure

SEC source: 0001628280-23-041719 · wk-form4_1702900559.xml · nonDerivative · entry 1

Katz Avi S · CIK 0001451693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 773,375

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.92 to $1.93, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.