person · Reporting owner

Katz Avi S

Disclosed activity across 10 companies

Tapewire entity: 10257
SEC CIK: 0001451693

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
BigBear.ai Holdings, Inc.BBAI · Entity 4725	Director	March 11, 2024	March 13, 2024
GigCapital8 Corp.GIW · Entity 5500	Director · Chief Executive Officer · 10% owner	October 03, 2025	October 07, 2025
GigCapital9 Corp.GIX · Entity 5737	Director · Chief Executive Officer · 10% owner	January 23, 2026	January 27, 2026
GigInternational1, Inc.GIW · Entity 138893	Director · Executive Chairman · 10% owner	May 28, 2021	May 29, 2021
Hadron Energy, Inc.HDRN · Entity 6554	Director · Chairman · 10% owner	September 02, 2026	September 04, 2026
QT IMAGING HOLDINGS, INC.QTI · Entity 7298	Director · Chairman	March 20, 2026	March 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 / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	523,375	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 / award	Ownership account	Disclosed shares / units	Disclosure context
Class A ordinary sharesSEC Table I · non-derivative	IndirectBy 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 security	IndirectBy 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 security	IndirectBy 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 / award	Ownership account	Disclosed shares / units	Disclosure context
Class A ordinary sharesSEC Table I · non-derivative	IndirectGigAcquisitions9 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 security	IndirectGigAcquisitions9 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 security	IndirectGigAcquisitions9 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.

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 / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy GigInternational1 Sponsor, LLC	5,210,000	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 / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	862,811	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 / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	416,952	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 / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	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 $0.00	Direct	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 $0.00	Direct	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 $0.00	Direct	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 $0.00	Direct	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 $0.00	Direct	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 $0.00	Direct	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 $0.00	Direct	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 $0.73	Direct	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 $0.73	Direct	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 $0.73	Direct	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 $0.73	Direct	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 $1.10	Direct	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 $0.95	Direct	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 $3.50	Direct	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 $3.50	Direct	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 $1.95	Direct	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 $1.95	Direct	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 $1.95	Direct	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 $2.40	Direct	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 $2.40	Direct	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 $2.40	Direct	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 $2.50	Direct	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 $2.50	Direct	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 $2.65	Direct	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 $2.65	Direct	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 $2.65	Direct	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 $2.70	Direct	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 $2.70	Direct	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 / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	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 / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	113,886	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-derivative	Direct	13,886	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-derivative	IndirectBy GigAcquisitions2, LLC	452,430	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

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
December 13, 2023 Filed Dec 15, 2023 11:55 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	SaleCommon Stock	50,000	$1.81	$90,500.00	Disclosure SEC source: 0001628280-23-041643 · wk-form4_1702641305.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 786,403 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.82, 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
November 30, 2023 Filed Dec 4, 2023 12:03 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	SalePrivate Warrants · Derivative	7,083	$0.36 Strike: $11.50	$2,549.88	Disclosure SEC source: 0001628280-23-040540 · wk-form4_1701691375.xml · derivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,083 shares Expires 2026-12-07 F2 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $0.34 to $0.37, 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 warrants sold at each separate price within the range set forth in this footnote. Read SEC document
November 29, 2023 Filed Dec 4, 2023 12:03 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	SaleCommon Stock	35,060	$1.93	$67,665.80	Disclosure SEC source: 0001628280-23-040540 · wk-form4_1701691375.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 836,403 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.90 to $1.97, 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
November 28, 2023 Filed Nov 29, 2023 21:21 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	SaleCommon Stock	25,000	$1.90	$47,500.00	Disclosure SEC source: 0001628280-23-040229 · wk-form4_1701292874.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 871,463 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.90 to $1.92, 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
November 27, 2023 Filed Nov 29, 2023 21:21 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	SaleCommon Stock	28,000	$1.91	$53,480.00	Disclosure SEC source: 0001628280-23-040229 · wk-form4_1701292874.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 896,463 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.90 to $1.94, 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
November 21, 2023 Filed Nov 22, 2023 23:59 UTC	UpHealth, Inc. UPH · Entity 88003	SaleCommon Stock	280	$0.40	$112.00	Disclosure SEC source: 0001062993-23-021400 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,886 F1 · balance_after: Includes Restricted Stock Units ("RSUs") issued by UpHealth, Inc. (the "Company") that are subject to vesting pursuant to previously disclosed vesting schedules. Read SEC document
November 20, 2023 Filed Nov 22, 2023 12:35 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	SaleCommon Stock	13,000	$1.84	$23,920.00	Disclosure SEC source: 0001628280-23-039824 · wk-form4_1700656543.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 924,463 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.81 to $1.87, 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 · balance_after: The reported amount (i) corrects an understatement of the amount held after a transaction reported on a Form 4 filed by the reporting person on May 24, 2022, June 15, 2022, March 17, 2023, March 21, 2023, and July 5, 2023 (which did not give effect to the grant of 13,000 RSUs that were timely reported in the previous Form 4 filing) and (ii) includes 600 shares of common stock that were part of the 266,600 shares sold on March 17, 2023 but which transaction was inadvertently reported as a sale of 266,000 shares in the Form 4 filed on March 21, 2023. Read SEC document
October 05, 2023 Filed Oct 10, 2023 10:15 UTC	Kaleyra, Inc. KLR · Entity 109099	Disposition to issuerCommon Stock	379,288	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-23-019938 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: 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 · shares: Includes the number of shares of the Company's common stock underlying the Reporting Person's Restricted Stock Units ("RSUs"). F3 · price: 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 · price: 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. Read SEC document
July 02, 2023 Filed Jul 5, 2023 22:29 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	GrantCommon Stock	55,556	$0.00	$0.00	Disclosure SEC source: 0001628280-23-024356 · wk-form4_1688596173.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 925,063 F1 · shares: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's Common Stock, subject to the Reporting Person's continued service through the vesting date. The reported RSUs were granted on July 2, 2023, vest on July 2, 2024, and shall be settled within sixty days of the vesting date. F2 · balance_after: The reported amount corrects an overstatement of the amount held after a transaction reported on a Form 4 filed by the reporting person on March 21, 2023 (which did not give effect to the sale of 33,400 shares sold and timely reported in the previous Form 4 filing). Read SEC document
May 08, 2023 Filed May 11, 2023 01:00 UTC	Kaleyra, Inc. KLR · Entity 109099	GrantCommon Stock	20,000	$0.00	$0.00	Disclosure SEC source: 0000899243-23-012568 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 379,288 F1 · shares: Subject to the Reporting Person's continued service to the Issuer, 12.5% of the Restricted Stock Units ("RSUs") vest on August 20, 2023, and the remaining RSUs vest in fourteen equal quarterly installments, beginning on November 20, 2023. F2 · shares: RSUs shall immediately vest (i) in the event of a Change of Control (as defined in the Issuer's 2019 Equity Incentive Plan) of the Issuer, (ii) the Reporting Person is not re-nominated to serve on the Issuer's Board of Directors (except in connection with the Reporting Person choosing not to stand for reelection as a member of the Board or resigning from the Board) and as a result separates from service with the Issuer, (iii) to the extent the Reporting Person has served as a director of the Issuer for at least three years, and such Reporting Person chooses not to stand for reelection as a member of the Board or resigns from the Board and as a result separates from service with the Issuer, (iv) in the event of the death or Disability (as defined in the Issuer's 2019 Equity Incentive Plan) of the Reporting Person. F3 · balance_after: Includes additional RSUs subject to vesting pursuant to previously disclosed vesting schedules. F4 · balance_after: The Company effected a reverse stock split on March 9, 2023. The number of shares reported herein are after giving effect to the reverse stock split. Read SEC document
March 17, 2023 Filed Mar 22, 2023 00:30 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	SaleCommon Stock	266,000	$1.84	$489,440.00	Disclosure SEC source: 0000899243-23-009369 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 902,907 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.75 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
March 16, 2023 Filed Mar 17, 2023 23:17 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	SaleCommon Stock	33,400	$1.71	$57,114.00	Disclosure SEC source: 0000899243-23-008986 · doc4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,135,507 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.70 to $1.73, inclusive. Read SEC document
March 15, 2023 Filed Mar 17, 2023 23:17 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	SaleCommon Stock	200,000	$1.77	$354,000.00	Disclosure SEC source: 0000899243-23-008986 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,168,907 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.73 to $1.82, 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 ranges set forth in footnotes (1) and (2) to this Form 4. Read SEC document
March 01, 2023 Filed Mar 4, 2023 02:00 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	20,800	$0.85	$17,680.00	Disclosure SEC source: 0000899243-23-007080 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,257,508 F1 · shares: The shares reported in Column 4 were sold in multiple transactions at the same price reported in Column 4. F2 · balance_after: Includes RSUs subject to vesting pursuant to previously disclosed vesting schedules. Read SEC document
January 01, 2023 Filed Jan 3, 2023 21:32 UTC	Kaleyra, Inc. KLR.BC · Entity 109099	GrantCommon Stock	71,440	$0.00	$0.00	Disclosure SEC source: 0000899243-23-000250 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,278,308 F1 · shares: Subject to the Reporting Person's continued service to the Issuer, the Restricted Stock Units ("RSUs") shall vest quarterly on each of February 20, May 1, August 1 and November 1, 2023. All RSUs shall immediately vest (i) in the event of a Change of Control (as defined in the Issuer's 2019 Equity Incentive Plan) of the Issuer, (ii) the Reporting Person is not re-nominated to serve on the Issuer's Board of Directors (except in connection with the Reporting Person choosing not to stand for reelection as a member of the Board or resigning from the Board) and as a result separates from service with the Issuer, (iii) to the extent the Reporting Person has served as a director of the Issuer for at least three years, and such Reporting Person chooses not to stand for reelection as a member of the Board or resigns from the Board and as a result separates from service with the Issuer, F2 · shares: (Continued from footnote 1) and (iv) in the event of the death or Disability (as defined in the Issuer's 2019 Equity Incentive Plan) of the Reporting Person. F3 · balance_after: Includes RSUs subject to vesting pursuant to previously disclosed vesting schedules. Read SEC document
June 13, 2022 Filed Jun 15, 2022 20:25 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherCommon Stock	1,347,657	$0.00	$0.00	Disclosure SEC source: 0001062993-22-014896 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,368,907 F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions4, LLC (the "Sponsor"). Read SEC document
June 13, 2022 Filed Jun 15, 2022 20:25 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherCommon Stock	8,702,000	$0.00	$0.00	Disclosure SEC source: 0001062993-22-014896 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions4, LLC Disclosed balance after: 0 F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions4, LLC (the "Sponsor"). F2 · ownership.nature: The shares of Common Stock were held directly by Sponsor. The shares held by the Sponsor were beneficially owned by Dr. Katz as a member of the Sponsor. 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
May 20, 2022 Filed May 25, 2022 01:23 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherPrivate Warrants · Derivative	7,083	$0.00 Strike: $11.50	$0.00	Disclosure SEC source: 0001062993-22-013434 · form4.xml · derivative · entry 4 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,083 Underlying: Common Stock · 7,083 shares Expires 2026-12-07 F3 · kind: Distribution of Private Warrants to direct and indirect members of the GigAcquisitions4, LLC (the "Sponsor"). Read SEC document
May 20, 2022 Filed May 25, 2022 01:23 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherPrivate Warrants · Derivative	283,333	$0.00 Strike: $11.50	$0.00	Disclosure SEC source: 0001062993-22-013434 · form4.xml · derivative · entry 3 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions4, LLC Disclosed balance after: 0 Underlying: Common Stock · 283,333 shares Expires 2026-12-07 F3 · kind: Distribution of Private Warrants to direct and indirect members of the GigAcquisitions4, LLC (the "Sponsor"). F4 · 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
May 20, 2022 Filed May 25, 2022 01:23 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherCommon Stock	21,250	$0.00	$0.00	Disclosure SEC source: 0001062993-22-013434 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,250 F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions4, LLC (the "Sponsor"). Read SEC document
May 20, 2022 Filed May 25, 2022 01:23 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherCommon Stock	850,000	$0.00	$0.00	Disclosure SEC source: 0001062993-22-013434 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions4, LLC Disclosed balance after: 8,702,000 F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions4, 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 8,552,000 shares of Common Stock as previously reported in Form 4 filed by the Reporting Person on December 8, 2021. F3 · ownership.nature: Distribution of Private Warrants to direct and indirect members of the GigAcquisitions4, LLC (the "Sponsor"). Read SEC document
May 20, 2022 Filed May 26, 2022 20:56 UTC Amendment	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherPrivate Warrants · Derivative	7,083	$0.00 Strike: $11.50	$0.00	Disclosure SEC source: 0001062993-22-013604 · form4a.xml · derivative · entry 4 Katz Avi S · CIK 0001451693 · Director GigAcquisitions4, LLC · CIK 0001844503 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,083 Underlying: Common Stock · 7,083 shares Expires 2026-12-07 F4 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor. Read SEC document
May 20, 2022 Filed May 26, 2022 20:56 UTC Amendment	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherPrivate Warrants · Derivative	283,333	$0.00 Strike: $11.50	$0.00	Disclosure SEC source: 0001062993-22-013604 · form4a.xml · derivative · entry 3 Katz Avi S · CIK 0001451693 · Director GigAcquisitions4, LLC · CIK 0001844503 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions4, LLC Disclosed balance after: 0 Underlying: Common Stock · 283,333 shares Expires 2026-12-07 F4 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor. F3 · ownership.nature: The Common Stock is held directly by GigAcquisitions4, LLC (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. Read SEC document
May 20, 2022 Filed May 26, 2022 20:56 UTC Amendment	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherCommon Stock	21,250	$0.00	$0.00	Disclosure SEC source: 0001062993-22-013604 · form4a.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director GigAcquisitions4, LLC · CIK 0001844503 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,250 F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions4, LLC (the "Sponsor"). Read SEC document
May 20, 2022 Filed May 26, 2022 20:56 UTC Amendment	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherCommon Stock	850,000	$0.00	$0.00	Disclosure SEC source: 0001062993-22-013604 · form4a.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director GigAcquisitions4, LLC · CIK 0001844503 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions4, LLC Disclosed balance after: 8,702,000 F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions4, 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 9,552,000 shares of Common Stock as previously reported in Form 4 filed by the Reporting Person on December 8, 2021. F3 · ownership.nature: The Common Stock is held directly by GigAcquisitions4, LLC (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. Read SEC document
April 05, 2022 Filed Apr 6, 2022 20:31 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	GrantRestricted Stock Units · Derivative	13,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000899243-22-014092 · doc4.xml · derivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Stock · 13,000 shares Expires not disclosed F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's Common Stock, subject to the Reporting Person's continued service through the vesting date. The reported RSUs were granted on April 5, 2022, vest on December 7, 2022 and shall be settled within sixty days of the vesting date. F1 · derivative.expiration_date: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's Common Stock, subject to the Reporting Person's continued service through the vesting date. The reported RSUs were granted on April 5, 2022, vest on December 7, 2022 and shall be settled within sixty days of the vesting date. Read SEC document
March 10, 2022 Filed Mar 11, 2022 22:27 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	22,923	$6.68	$153,215.04	Disclosure SEC source: 0001062993-22-007489 · form4.xml · nonDerivative · entry 3 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,206,868 F4 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $6.60 to $6.70, inclusive. F2 · balance_after: Includes RSUs subject to vesting pursuant to previously disclosed vesting schedules. Read SEC document
March 09, 2022 Filed Mar 11, 2022 22:27 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	20,162	$6.72	$135,387.83	Disclosure SEC source: 0001062993-22-007489 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,229,791 F3 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $6.70 to $6.93, inclusive. F2 · balance_after: Includes RSUs subject to vesting pursuant to previously disclosed vesting schedules. Read SEC document
March 08, 2022 Filed Mar 11, 2022 22:27 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	29,838	$6.72	$200,472.57	Disclosure SEC source: 0001062993-22-007489 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,249,953 F1 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $6.70 to $6.775, inclusive. The reporting person undertakes to provide to 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 ranges set forth in any footnotes to this Form 4. F2 · balance_after: Includes RSUs subject to vesting pursuant to previously disclosed vesting schedules. Read SEC document
March 01, 2022 Filed Mar 3, 2022 21:16 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	1,157	$7.75	$8,966.75	Disclosure SEC source: 0001062993-22-006647 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,279,791 F1 · balance_after: Includes RSUs subject to vesting pursuant to previously disclosed vesting schedules. Read SEC document
February 25, 2022 Filed Feb 26, 2022 00:38 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	7,300	$8.02	$58,538.70	Disclosure SEC source: 0001062993-22-005792 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,280,948 F3 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $8.00 to $8.15, inclusive. F2 · balance_after: Includes additional RSUs subject to vesting pursuant to previously disclosed vesting schedules. Read SEC document
February 24, 2022 Filed Feb 26, 2022 00:38 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	1,300	$8.21	$10,671.70	Disclosure SEC source: 0001062993-22-005792 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,288,248 F1 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $8.18 to $8.27, inclusive. The reporting person undertakes to provide to 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 ranges set forth in any footnotes to this Form 4. F2 · balance_after: Includes additional RSUs subject to vesting pursuant to previously disclosed vesting schedules. Read SEC document
February 09, 2022 Filed Feb 11, 2022 23:53 UTC	Kaleyra, Inc. KLR · Entity 109099	GrantCommon Stock	70,000	$0.00	$0.00	Disclosure SEC source: 0001062993-22-003854 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,289,548 F1 · shares: Subject to the Reporting Person's continued service to the Issuer, the Restricted Stock Units ("RSUs") vest in sixteen quarterly installments, beginning on May 1, 2022 and ending on February 1, 2026. F2 · balance_after: Includes additional RSUs subject to vesting pursuant to previously disclosed vesting schedules. F3 · balance_after: All RSUs shall immediately vest in the event of a Change of Control (as defined in the Issuer's 2019 Equity Incentive Plan) of the Issuer. In addition, to the extent that the Reporting Person has served as a director for at least three years during any period after November 25, 2019, and such Reporting Person either resigns from the Board or chooses not to stand for reelection as a member of the Board and as a result, separates from service with the Issuer, 100% of the then unvested portion of any RSUs held by such Reporting Person will also immediately become fully vested upon the date of such separation from service. Read SEC document
December 22, 2021 Filed Dec 23, 2021 22:24 UTC	UpHealth, Inc. UPH · Entity 88003	GrantCommon Stock	71,730	$0.00	$0.00	Disclosure SEC source: 0001062993-21-013522 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,657 F1 · shares: Subject to the Reporting Person's continued service to the Company, the Restricted Stock Units ("RSUs") shall vest on vest quarterly on each of February 1, May 1, August 1 and November 1, 2022; 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. Read SEC document
December 21, 2021 Filed Dec 23, 2021 23:29 UTC	Kaleyra, Inc. KLR · Entity 109099	GrantCommon Stock	21,413	$0.00	$0.00	Disclosure SEC source: 0001062993-21-013528 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,219,548 F1 · shares: Subject to the Reporting Person's continued service to the Issuer, the Restricted Stock Units ("RSUs") shall vest on vest quarterly on each of February 1, May 1, August 1 and November 1, 2022; all RSUs shall immediately vest in the event of a Change of Control (as defined in the Issuer's 2019 Equity Incentive Plan ) of the Issuer. F2 · balance_after: Includes additional RSUs subject to vesting pursuant to previously disclosed vesting schedules. Read SEC document
December 06, 2021 Filed Dec 9, 2021 02:56 UTC	BigBear.ai Holdings, Inc. BBAI · Entity 4725	OtherCommon Stock	250,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001062993-21-012477 · form4.xml · nonDerivative · entry 3 Katz Avi S · CIK 0001451693 · Director · Executive Chairman · 10% owner GigAcquisitions4, LLC · CIK 0001844503 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions4, LLC Disclosed balance after: 9,552,000 F3 · kind: Transfer of Common Stock by Sponsor to AE BBAI Aggregator, LP. F2 · price: Each unit consists of one share of the Company's common stock, $0.0001 par value ("Common Stock"), and one-third (1/3) of one warrant. Each whole warrant (a "Private Warrant") is exercisable for one share of Common Stock at a price of $11.50 per full share. F1 · ownership.nature: The Common Stock is held directly by GigAcquisitions4, LLC (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital4, 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
November 19, 2021 Filed Nov 20, 2021 00:57 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	27,544	$12.27	$337,937.34	Disclosure SEC source: 0001062993-21-011270 · form4.xml · nonDerivative · entry 4 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,198,135 F4 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $12.25 to $12.42, inclusive. F1 · balance_after: Includes an aggregate of 387,013 Restricted Stock Units ("RSUs") issued by Kaleyra, Inc. (the "Company"), of which (i) 227,013 of such RSUs vest as follows: 25% of the RSUs vested on February 1, 2021, and the remaining 75% vest in twelve quarterly installments thereafter, beginning on May 1, 2021 and ending on February 1, 2024, (ii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025, and (iii) 100,000 RSUs, such RSU award to vest on May 1, 2022 provided that the Company achieves in fiscal year 2021, certain total revenue and adjusted gross margin targets. Read SEC document
November 18, 2021 Filed Nov 20, 2021 00:57 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	7,156	$12.27	$87,768.34	Disclosure SEC source: 0001062993-21-011270 · form4.xml · nonDerivative · entry 3 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,225,679 F3 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $12.25 to $12.32, inclusive. F1 · balance_after: Includes an aggregate of 387,013 Restricted Stock Units ("RSUs") issued by Kaleyra, Inc. (the "Company"), of which (i) 227,013 of such RSUs vest as follows: 25% of the RSUs vested on February 1, 2021, and the remaining 75% vest in twelve quarterly installments thereafter, beginning on May 1, 2021 and ending on February 1, 2024, (ii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025, and (iii) 100,000 RSUs, such RSU award to vest on May 1, 2022 provided that the Company achieves in fiscal year 2021, certain total revenue and adjusted gross margin targets. Read SEC document
November 17, 2021 Filed Nov 20, 2021 00:57 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	15,300	$12.35	$188,909.10	Disclosure SEC source: 0001062993-21-011270 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,232,835 F2 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $12.25 to $12.45, inclusive. The reporting person undertakes to provide to 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 ranges set forth in any footnotes to this Form 4. F1 · balance_after: Includes an aggregate of 387,013 Restricted Stock Units ("RSUs") issued by Kaleyra, Inc. (the "Company"), of which (i) 227,013 of such RSUs vest as follows: 25% of the RSUs vested on February 1, 2021, and the remaining 75% vest in twelve quarterly installments thereafter, beginning on May 1, 2021 and ending on February 1, 2024, (ii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025, and (iii) 100,000 RSUs, such RSU award to vest on May 1, 2022 provided that the Company achieves in fiscal year 2021, certain total revenue and adjusted gross margin targets. Read SEC document
September 23, 2021 Filed Mar 7, 2024 01:51 UTC	QT IMAGING HOLDINGS, INC. QTI · Entity 7298	GrantPrivate Warrants · Derivative	795,000	$10.00 Strike: $11.50	$7,950,000.00	Disclosure SEC source: 0001062993-24-005803 · 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: 795,000 Underlying: Common Stock · 795,000 shares Expires not disclosed 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. Read SEC document
September 23, 2021 Filed Mar 7, 2024 01:51 UTC	QT IMAGING HOLDINGS, INC. QTI · Entity 7298	GrantCommon Stock	795,000	$10.00	$7,950,000.00	Disclosure SEC source: 0001062993-24-005803 · 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: 6,530,000 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. F2 · balance_after: Includes 5,735,000 founder shares of Common Stock previously reported in the Form 3 filed by the Reporting Persons on September 23, 2021. 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
September 09, 2021 Filed Sep 11, 2021 01:34 UTC	UpHealth, Inc. UPH · Entity 88003	GrantCommon Stock	2,200	$4.30	$9,461.98	Disclosure SEC source: 0001062993-21-008487 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,927 F2 · price: The price reported for this transaction is a weighted-average price. The shares were purchased in multiple transactions ranging from $4.16 to $4.41, inclusive. The reporting person undertakes to provide to 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 purchased at each separate price within the ranges set forth in any footnotes to this Form 4. F1 · balance_after: Includes an aggregate of 67,327 Restricted Stock Units ("RSUs") issued by UpHealth, Inc. (the "Company") of which subject to the Reporting Person's continued service to the Company, 1/3 of the RSUs shall vest on May 1, 2022, and the remaining 2/3 of the RSUs shall vest quarterly on each of August 1, November 1, February 1, and May 1 through May 1, 2024; 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. Read SEC document
September 02, 2021 Filed Sep 3, 2021 01:18 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	25,393	$12.44	$315,853.37	Disclosure SEC source: 0001062993-21-008198 · form4.xml · nonDerivative · entry 7 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,248,135 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $12.3101 to $12.60, inclusive. F1 · balance_after: Includes an aggregate of 414,523 Restricted Stock Units ("RSUs") issued by Kaleyra, Inc. (the "Company"), of which (i) 27,510 of such RSUs vest in four quarterly installments, beginning on February 1, 2021 and subsequently on May 1, 2021, August 1, 2021, and November 1, 2021, (ii) 227,013 of such RSUs vest as follows: 25% of the RSUs will vest on February 1, 2021, and the remaining 75% vest in twelve quarterly installments thereafter, beginning on May 1, 2021 and ending on February 1, 2024, (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025, and (iv) 100,000 RSUs, such RSU award to vest on May 1, 2022 provided that the Company achieves in fiscal year 2021, certain total revenue and adjusted gross margin targets. Read SEC document
September 01, 2021 Filed Sep 3, 2021 01:18 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	24,591	$12.54	$308,489.18	Disclosure SEC source: 0001062993-21-008198 · form4.xml · nonDerivative · entry 6 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,273,528 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $12.45 to $12.71, inclusive. F1 · balance_after: Includes an aggregate of 414,523 Restricted Stock Units ("RSUs") issued by Kaleyra, Inc. (the "Company"), of which (i) 27,510 of such RSUs vest in four quarterly installments, beginning on February 1, 2021 and subsequently on May 1, 2021, August 1, 2021, and November 1, 2021, (ii) 227,013 of such RSUs vest as follows: 25% of the RSUs will vest on February 1, 2021, and the remaining 75% vest in twelve quarterly installments thereafter, beginning on May 1, 2021 and ending on February 1, 2024, (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025, and (iv) 100,000 RSUs, such RSU award to vest on May 1, 2022 provided that the Company achieves in fiscal year 2021, certain total revenue and adjusted gross margin targets. Read SEC document
September 01, 2021 Filed Sep 4, 2021 01:17 UTC	UpHealth, Inc. UPH · Entity 88003	SaleCommon Stock	800	$5.15	$4,119.84	Disclosure SEC source: 0001062993-21-008286 · form4.xml · nonDerivative · entry 3 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,727 F1 · balance_after: Includes an aggregate of 67,327 Restricted Stock Units ("RSUs") issued by UpHealth, Inc. (the "Company") of which subject to the Reporting Person's continued service to the Company, 1/3 of the RSUs shall vest on May 1, 2022, and the remaining 2/3 of the RSUs shall vest quarterly on each of August 1, November 1, February 1, and May 1 through May 1, 2024; 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. Read SEC document
September 01, 2021 Filed Sep 4, 2021 01:17 UTC	UpHealth, Inc. UPH · Entity 88003	GrantCommon Stock	400	$5.15	$2,059.96	Disclosure SEC source: 0001062993-21-008286 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,527 F2 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $5.1497 to $5.15, inclusive. The reporting person undertakes to provide to 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 ranges set forth in any footnotes to this Form 4. F1 · balance_after: Includes an aggregate of 67,327 Restricted Stock Units ("RSUs") issued by UpHealth, Inc. (the "Company") of which subject to the Reporting Person's continued service to the Company, 1/3 of the RSUs shall vest on May 1, 2022, and the remaining 2/3 of the RSUs shall vest quarterly on each of August 1, November 1, February 1, and May 1 through May 1, 2024; 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. Read SEC document
August 31, 2021 Filed Sep 3, 2021 01:55 UTC	UpHealth, Inc. UPH · Entity 88003	GrantCommon Stock	800	$5.03	$4,020.80	Disclosure SEC source: 0001062993-21-008200 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,127 F2 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $4.988 to $5.05, inclusive. The reporting person undertakes to provide to 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 ranges set forth in any footnotes to this Form 4. F1 · balance_after: Includes an aggregate of 67,327 Restricted Stock Units ("RSUs") issued by UpHealth, Inc. (the "Company") of which subject to the Reporting Person's continued service to the Company, 1/3 of the RSUs shall vest on May 1, 2022, and the remaining 2/3 of the RSUs shall vest quarterly on each of August 1, November 1, February 1, and May 1 through May 1, 2024; 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. Read SEC document
August 31, 2021 Filed Sep 3, 2021 01:18 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	6,409	$12.26	$78,586.52	Disclosure SEC source: 0001062993-21-008198 · form4.xml · nonDerivative · entry 5 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,298,119 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $12.25 to $12.29, inclusive. F1 · balance_after: Includes an aggregate of 414,523 Restricted Stock Units ("RSUs") issued by Kaleyra, Inc. (the "Company"), of which (i) 27,510 of such RSUs vest in four quarterly installments, beginning on February 1, 2021 and subsequently on May 1, 2021, August 1, 2021, and November 1, 2021, (ii) 227,013 of such RSUs vest as follows: 25% of the RSUs will vest on February 1, 2021, and the remaining 75% vest in twelve quarterly installments thereafter, beginning on May 1, 2021 and ending on February 1, 2024, (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025, and (iv) 100,000 RSUs, such RSU award to vest on May 1, 2022 provided that the Company achieves in fiscal year 2021, certain total revenue and adjusted gross margin targets. Read SEC document
August 30, 2021 Filed Sep 3, 2021 01:18 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	9,000	$12.39	$111,548.70	Disclosure SEC source: 0001062993-21-008198 · form4.xml · nonDerivative · entry 4 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,304,528 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $12.30 to $12.45, inclusive. F1 · balance_after: Includes an aggregate of 414,523 Restricted Stock Units ("RSUs") issued by Kaleyra, Inc. (the "Company"), of which (i) 27,510 of such RSUs vest in four quarterly installments, beginning on February 1, 2021 and subsequently on May 1, 2021, August 1, 2021, and November 1, 2021, (ii) 227,013 of such RSUs vest as follows: 25% of the RSUs will vest on February 1, 2021, and the remaining 75% vest in twelve quarterly installments thereafter, beginning on May 1, 2021 and ending on February 1, 2024, (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025, and (iv) 100,000 RSUs, such RSU award to vest on May 1, 2022 provided that the Company achieves in fiscal year 2021, certain total revenue and adjusted gross margin targets. Read SEC document
August 27, 2021 Filed Sep 3, 2021 01:18 UTC	Kaleyra, Inc. KLR · Entity 109099	SaleCommon Stock	18,000	$12.15	$218,665.80	Disclosure SEC source: 0001062993-21-008198 · form4.xml · nonDerivative · entry 3 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,313,528 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $11.90 to $12.25, inclusive. F1 · balance_after: Includes an aggregate of 414,523 Restricted Stock Units ("RSUs") issued by Kaleyra, Inc. (the "Company"), of which (i) 27,510 of such RSUs vest in four quarterly installments, beginning on February 1, 2021 and subsequently on May 1, 2021, August 1, 2021, and November 1, 2021, (ii) 227,013 of such RSUs vest as follows: 25% of the RSUs will vest on February 1, 2021, and the remaining 75% vest in twelve quarterly installments thereafter, beginning on May 1, 2021 and ending on February 1, 2024, (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025, and (iv) 100,000 RSUs, such RSU award to vest on May 1, 2022 provided that the Company achieves in fiscal year 2021, certain total revenue and adjusted gross margin targets. 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.