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 sequenceRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 3 · Balance Not disclosed F5: Includes 2,000 rights underlying the private placement units, which are sold in a private placement taking place simultaneously with the Issuer's initial public offering. Each right is exchangeable for one-fifth of one Class A ordinary share upon the completion of the Issuer's initial business combination. F2: The Class B ordinary shares and Class A ordinary shares underlying the private placement units are held directly by GigAcquisitions9 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned equally (50% each) by Dr. Katz, the Issuer's Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 10,000 Class A ordinary shares underlying the private placement units to be purchased concurrently with the initial public offering.
F2: The Class B ordinary shares and Class A ordinary shares underlying the private placement units are held directly by GigAcquisitions9 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned equally (50% each) by Dr. Katz, the Issuer's Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor.
F3: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-291869) and have no expiration date.
F4: Includes 6,472,519 Class B ordinary shares of the Issuer acquired by the Sponsor prior to the Issuer's initial public offering convertible for the Issuer's Class A ordinary shares, of which 844,249 Class B ordinary shares remain subject to forfeiture depending on the extent to which the underwriters' over-allotment option is exercised.
F5: Includes 2,000 rights underlying the private placement units, which are sold in a private placement taking place simultaneously with the Issuer's initial public offering. Each right is exchangeable for one-fifth of one Class A ordinary share upon the completion of the Issuer's initial business combination.
GigInternational1, Inc.
Report date May 28, 2021 · Filed May 29, 2021
Jointly reported with GigInternational1 Sponsor, LLC
| Security / 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 rowRow 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 rowRow 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 rowRow 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 | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-04-04 transaction · row 1
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 28
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2017-04-04 transaction · row 29
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 APIPurchases/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 |
|---|---|---|---|---|---|---|
| August 26, 2021 Filed Sep 3, 2021 01:18 UTC | Kaleyra, Inc. KLR · Entity 109099 | SaleCommon Stock | 2,000 | $11.80 | $23,606.80 |
DisclosureSEC source: 0001062993-21-008198 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,331,528 F2 · price: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $11.75 to $11.865, 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 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 12, 2021 Filed Aug 17, 2021 01:55 UTC | UpHealth, Inc. UPH · Entity 88003 | GrantCommon Stock | 67,327 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-007617 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,327 F1 · shares: Subject to the Reporting Person's continued service to the Company, 1/3 of the Restricted Stock Units ("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 04, 2021 Filed Aug 7, 2021 01:03 UTC | Kaleyra, Inc. KLR · Entity 109099 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-007138 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Exec Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,333,528 F1 · shares: 100,000 Restricted Stock Units ("RSUs") issued by Kaleyra, Inc. (the "Company") which vest on May 1, 2022 provided that the Company achieves in fiscal year 2021, certain total revenue and adjusted gross margin targets. F2 · balance_after: Includes an aggregate of 414,523 RSUs, 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 |
| July 13, 2021 Filed Jul 15, 2021 20:43 UTC | Lightning eMotors, Inc. ZEV · Entity 108004 | GrantCommon Stock | 17,167 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-006550 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,884 F2 · shares: Subject to the Reporting Person's continued service to the Issuer, 17,167 of such RSUs vest as follows: 100% on the day prior to the Company's Annual Meeting of Stockholders. Read SEC document |
| July 13, 2021 Filed Jul 15, 2021 20:43 UTC | Lightning eMotors, Inc. ZEV · Entity 108004 | GrantCommon Stock | 17,167 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-006550 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,717 F1 · shares: Subject to the Reporting Person's continued service to the Issuer, 17,167 of such RSUs vest as follows: 1/3 will vest on the day prior to the Company's 2021 Annual Meeting of Stockholders, and 1/3 will vest on each of May 6, 2023 and May 6, 2024. Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 17:12 UTC | Lightning eMotors, Inc. ZEV · Entity 108004 | OtherPrivate Warrant · Derivative | 13,163 | $0.00 Strike: $11.50 | $0.00 |
DisclosureSEC source: 0001062993-21-006193 · form4.xml · derivative · entry 4 Katz Avi S · CIK 0001451693 · Director GigAcquisitions3, LLC · CIK 0001808998 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,163 Underlying: Common Stock · 13,163 shares Expires not disclosed F4 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor. F5 · derivative.exercise_date: The Private Warrants will become exercisable on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the completion of the Issuer's initial public offering. F6 · derivative.expiration_date: The Private Warrants will expire on the fifth anniversary of the Issuer's completion of its initial business combination. Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 17:12 UTC | Lightning eMotors, Inc. ZEV · Entity 108004 | OtherPrivate Warrant · Derivative | 487,500 | $0.00 Strike: $11.50 | $0.00 |
DisclosureSEC source: 0001062993-21-006193 · form4.xml · derivative · entry 3 Katz Avi S · CIK 0001451693 · Director GigAcquisitions3, LLC · CIK 0001808998 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions3, LLC Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires not disclosed F4 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor. F5 · derivative.exercise_date: The Private Warrants will become exercisable on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the completion of the Issuer's initial public offering. F6 · derivative.expiration_date: The Private Warrants will expire on the fifth anniversary of the Issuer's completion of its initial business combination. F2 · ownership.nature: Includes 5,735,000 founder shares of Common Stock (of which 750,000 shares were forfeited) as previously reported in the Form 3 filed by the Reporting Person on May 5, 2020 and the Form 4 filed by the Reporting Person on June 29, 2020. Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 17:12 UTC | Lightning eMotors, Inc. ZEV · Entity 108004 | OtherCommon Stock | 17,550 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-006193 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director GigAcquisitions3, LLC · CIK 0001808998 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,550 F1 · kind: Distribution of Common Stock to direct and indirect members of GigAcqusitions3, LLC (the "Sponsor"). Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 17:12 UTC | Lightning eMotors, Inc. ZEV · Entity 108004 | OtherCommon Stock | 650,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-006193 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director GigAcquisitions3, LLC · CIK 0001808998 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions3, LLC Disclosed balance after: 4,985,000 F1 · kind: Distribution of Common Stock to direct and indirect members of GigAcqusitions3, LLC (the "Sponsor"). F2 · balance_after: Includes 5,735,000 founder shares of Common Stock (of which 750,000 shares were forfeited) as previously reported in the Form 3 filed by the Reporting Person on May 5, 2020 and the Form 4 filed by the Reporting Person on June 29, 2020. F3 · ownership.nature: The Common Stock and Private Warrants are held directly by the Sponsor. The shares and warrants held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Co-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 and warrants held by the Sponsor. Read SEC document |
| June 09, 2021 Filed Aug 16, 2021 21:54 UTC | UpHealth, Inc. UPH · Entity 88003 | OtherPrivate Rights · Derivative | 481,250 | $10.00 | $4,812,500.00 |
DisclosureSEC source: 0001062993-21-007616 · form4.xml · derivative · entry 5 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions2, LLC · CIK 0001778960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions2, LLC Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires not disclosed F6 · derivative.exercise_price: The private rights entitle the holder to receive 1/20th of a share of Common Stock upon consummation of the Company's initial business combination without paying any additional consideration. F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, (ii) one Private Warrant exercisable at price of $11.50 per share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/20th of one share of Common Stock upon the consummation of the Company's business combination. F7 · derivative.exercise_date: Upon the consummation of the Company's initial business combination. F8 · derivative.expiration_date: If the Company is unable to complete its initial business combination within 18 months from the closing date of the offering the Private Rights will expire worthless. F3 · ownership.nature: The Common Stock, Private Warrants, and Private Rights are held directly by GigAcquisitions2, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital2, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| June 09, 2021 Filed Aug 16, 2021 21:54 UTC | UpHealth, Inc. UPH · Entity 88003 | OtherCommon Stock | 24,063 | $10.00 | $240,630.00 |
DisclosureSEC source: 0001062993-21-007616 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions2, LLC · CIK 0001778960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions2, LLC Disclosed balance after: 4,524,300 F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, (ii) one Private Warrant exercisable at price of $11.50 per share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/20th of one share of Common Stock upon the consummation of the Company's business combination. F9 · balance_after: Reflects the conversion of 481,250 Private Rights into 24,063 shares of Common Stock upon the consummation of the Company's initial business combination. F3 · ownership.nature: The Common Stock, Private Warrants, and Private Rights are held directly by GigAcquisitions2, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital2, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. 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 28, 2021 Filed May 29, 2021 01:43 UTC | GigInternational1, Inc. GIW · Entity 138893 | OtherCommon Stock | 525,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-005126 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Executive Chairman · 10% owner GigInternational1 Sponsor, LLC · CIK 0001848851 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigInternational1 Sponsor, LLC Disclosed balance after: 5,210,000 F1 · price: 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 · ownership.nature: 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. Read SEC document |
| March 17, 2021 Filed Mar 19, 2021 17:28 UTC | Kaleyra, Inc. KLR · Entity 109099 | OtherCommon Stock | 435,903 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-002860 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · Exec Chairman GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions, LLC Disclosed balance after: 0 F2 · kind: Forfeiture of the 2020 Earnout Shares pursuant to Stock Purchase Agreement entered into on February 22, 2019 for no consideration. Read SEC document |
| March 04, 2021 Filed Mar 4, 2021 21:39 UTC | Kaleyra, Inc. KLR · Entity 109099 | SaleCommon Stock | 45,610 | $17.41 | $794,070.10 |
DisclosureSEC source: 0001062993-21-002395 · form4.xml · nonDerivative · entry 3 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,233,528 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.43 to $18.60, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, 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 footnote (5) to this Form 4. F2 · balance_after: Includes an aggregate of 314,523 Restricted Stock Units ("RSUs"), 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, and (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025. Read SEC document |
| March 03, 2021 Filed Mar 4, 2021 21:39 UTC | Kaleyra, Inc. KLR · Entity 109099 | SaleCommon Stock | 35,763 | $19.38 | $693,226.42 |
DisclosureSEC source: 0001062993-21-002395 · form4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,279,138 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.28 to $20.14, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, 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 footnote (4) to this Form 4. F2 · balance_after: Includes an aggregate of 314,523 Restricted Stock Units ("RSUs"), 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, and (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 21:39 UTC | Kaleyra, Inc. KLR · Entity 109099 | SaleCommon Stock | 140,000 | $19.95 | $2,793,588.00 |
DisclosureSEC source: 0001062993-21-002395 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,314,901 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.55 to $20.755, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, 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 footnote (1) to this Form 4. F2 · balance_after: Includes an aggregate of 314,523 Restricted Stock Units ("RSUs"), 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, and (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025. Read SEC document |
| March 01, 2021 Filed Mar 1, 2021 21:19 UTC | Kaleyra, Inc. KLR · Entity 109099 | SaleCommon Stock | 78,627 | $18.97 | $1,491,420.52 |
DisclosureSEC source: 0001451693-21-000006 · edgar.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,454,901 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.06 to $19.305, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, 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 footnote (3) to this Form 4. F2 · balance_after: Includes an aggregate of 314,523 Restricted Stock Units ("RSUs"), 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, and (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025. Read SEC document |
| February 26, 2021 Filed Feb 26, 2021 18:08 UTC | Kaleyra, Inc. KLR · Entity 109099 | SaleCommon Stock | 150,000 | $18.48 | $2,772,390.00 |
DisclosureSEC source: 0001451693-21-000004 · edgar.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,533,528 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.40 to $19.36, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, 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 footnote (3) to this Form 4. F2 · balance_after: Includes an aggregate of 314,523 Restricted Stock Units ("RSUs"), 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, and (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025. Read SEC document |
| February 25, 2021 Filed Feb 26, 2021 18:08 UTC | Kaleyra, Inc. KLR · Entity 109099 | SaleCommon Stock | 50,000 | $18.10 | $904,900.00 |
DisclosureSEC source: 0001451693-21-000004 · edgar.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,683,528 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.45 to $18.39, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, 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 footnote (1) to this Form 4. F2 · balance_after: Includes an aggregate of 314,523 Restricted Stock Units ("RSUs"), 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, and (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025. Read SEC document |
| February 11, 2021 Filed Aug 6, 2021 21:03 UTC | Kaleyra, Inc. KLR · Entity 109099 | OtherPrivate Warrants · Derivative | 158,989 | $0.00 Strike: $11.50 | $0.00 |
DisclosureSEC source: 0001062993-21-007137 · form4.xml · derivative · entry 5 Katz Avi S · CIK 0001451693 · Director · Exec Chairman GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,989 Underlying: Common Stock · 158,989 shares Expires not disclosed F9 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor. 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. Read SEC document |
| February 11, 2021 Filed Aug 6, 2021 21:03 UTC | Kaleyra, Inc. KLR · Entity 109099 | OtherPrivate Warrants · Derivative | 271,776 | $0.00 Strike: $11.50 | $0.00 |
DisclosureSEC source: 0001062993-21-007137 · form4.xml · derivative · entry 4 Katz Avi S · CIK 0001451693 · Director · Exec Chairman GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · GigAcquisitions, LLC (see note below) Disclosed balance after: 0 Underlying: Common Stock · 271,776 shares Expires not disclosed F9 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor. 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, Private Warrants, and Private Rights constituting the Private Units are held directly by GigAcquisitions, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor. Read SEC document |
| February 11, 2021 Filed Dec 9, 2021 02:56 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | PurchasePrivate Warrants · Derivative | 283,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-21-012477 · form4.xml · derivative · entry 4 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: 283,333 Underlying: Common Stock · 283,333 shares Expires not disclosed F2 · derivative.exercise_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. 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. F4 · derivative.exercise_date: The Private Warrants included in the units 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 included in the units will expire on the fifth anniversary of the Company's completion of its initial business combination. 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 |
| February 11, 2021 Filed Dec 9, 2021 02:56 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | PurchaseCommon Stock | 850,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-21-012477 · form4.xml · nonDerivative · entry 2 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: 9,802,000 F2 · shares: 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. 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 |
| February 10, 2021 Filed Feb 11, 2021 19:57 UTC | Kaleyra, Inc. KLR · Entity 109099 | GrantCommon Stock | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001719489-21-000002 · edgar.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,733,528 F1 · shares: Consists of an aggregate of 60,000 Restricted Stock Units, of which vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025. F2 · balance_after: Includes an aggregate of 314,523 Restricted Stock Units ("RSUs"), 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, and (iii) 60,000 of such RSUs vest in sixteen quarterly installments, beginning on May 1, 2021 and ending on February 1, 2025. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 20:47 UTC | Kaleyra, Inc. KLR · Entity 109099 | OtherCommon Stock | 715,697 | $0.00 | $0.00 |
DisclosureSEC source: 0001451693-20-000005 · edgar.xml · nonDerivative · entry 4 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigFounders, LLC (see note below) Disclosed balance after: 0 F6 · kind: Distribution of Common Stock to GigFounders' members. F7 · ownership.nature: The Common Stock previously held by GigFounders, which was beneficially owned by Dr. Avi S. Katz. Dr. Katz is the Managing Member of GigFounders, and has sole voting and dispositive power over all securities held by GigFounders. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 20:47 UTC | Kaleyra, Inc. KLR · Entity 109099 | OtherCommon Stock | 1,876,612 | $0.00 | $0.00 |
DisclosureSEC source: 0001451693-20-000005 · edgar.xml · nonDerivative · entry 3 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions, LLC (see note below) Disclosed balance after: 435,903 F4 · kind: Distribution of Common Stock to the Sponsor's members. F5 · ownership.nature: The Common Stock is held directly by the Sponsor. The Common Stock held by the Sponsor is beneficially owned by Dr. Avi S. Katz, the Executive Chairman of the Board of Directors of the issuer. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 20:47 UTC | Kaleyra, Inc. KLR · Entity 109099 | OtherCommon Stock | 644,128 | $0.00 | $0.00 |
DisclosureSEC source: 0001451693-20-000005 · edgar.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,673,528 F3 · kind: Distribution of Common Stock held directly by GigFounders, LLC ("GigFounders"). F2 · balance_after: Includes an aggregate of 254,523 Restricted Stock Units ("RSUs"), 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, and (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. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 20:47 UTC | Kaleyra, Inc. KLR · Entity 109099 | OtherCommon Stock | 749,877 | $0.00 | $0.00 |
DisclosureSEC source: 0001451693-20-000005 · edgar.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,029,400 F1 · kind: Distribution of Common Stock held directly by GigAcquisitions, LLC (the "Sponsor"). F2 · balance_after: Includes an aggregate of 254,523 Restricted Stock Units ("RSUs"), 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, and (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. Read SEC document |
| November 05, 2020 Filed Nov 6, 2020 20:17 UTC | Kaleyra, Inc. KLR · Entity 109099 | GrantCommon Stock | 27,510 | $0.00 | $0.00 |
DisclosureSEC source: 0001451693-20-000003 · edgar.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,523 F1 · shares: Consists of an aggregate of 27,510 Restricted Stock Units, of which vest in four quarterly installments, beginning on February 1, 2021 and subsequently on May 1, 2021, August 1, 2021, and November 1, 2021. F2 · balance_after: Includes an aggregate of 254,523 Restricted Stock Units ("RSUs"), 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, and (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. Read SEC document |
| June 29, 2020 Filed Jul 2, 2020 06:12 UTC | Lightning eMotors, Inc. GIK-UN · Entity 108004 | Disposition to issuerCommon Stock | 750,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-018197 · doc4.xml · nonDerivative · entry 1 GigAcquisitions3, LLC · CIK 0001808998 · 10% owner Katz Avi S · CIK 0001451693 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,635,000 F1 · shares: The shares of Common Stock ("Shares") are held directly by the Reporting Person ("Sponsor"). The Shares held by the Sponsor are beneficially owned by Dr. Avi Katz, the Issuer's Executive Chairman of the Board of Directors, Chief Executive Officer, President and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the Shares held by the Sponsor. The Shares that have been disposed were surrendered to the Issuer and cancelled by the Issuer upon surrender pursuant to the terms of the agreement under which the Shares were initially acquired by the Sponsor. F1 · balance_after: The shares of Common Stock ("Shares") are held directly by the Reporting Person ("Sponsor"). The Shares held by the Sponsor are beneficially owned by Dr. Avi Katz, the Issuer's Executive Chairman of the Board of Directors, Chief Executive Officer, President and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the Shares held by the Sponsor. The Shares that have been disposed were surrendered to the Issuer and cancelled by the Issuer upon surrender pursuant to the terms of the agreement under which the Shares were initially acquired by the Sponsor. F2 · balance_after: Includes 650,000 shares included in 650,000 Private Units previously reported in the Form 4 filed by the Reporting Persons on May 15, 2020. Each unit consists of one share of Common Stock and three-quarters of one redeemable warrant of the Issuer. Read SEC document |
| May 13, 2020 Filed May 15, 2020 17:26 UTC | Lightning eMotors, Inc. GIK.U · Entity 108004 | PurchasePrivate Warrants · Derivative | 487,500 | $10.00 Strike: $11.50 | $4,875,000.00 |
DisclosureSEC source: 0001209191-20-029783 · doc4.xml · derivative · entry 2 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions3, LLC · CIK 0001808998 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions3, LLC (see note below) Disclosed balance after: 487,500 Underlying: Common Stock · 487,500 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) three-fourths of one Private Warrant with each whole 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 GigAcquisitions3, LLC (the "Sponsor"). The Common Stock and Private Warrants held by the Sponsor are beneficially owned by Dr. Katz, GigCapital3, Inc.'s Executive Chairman of the Board of Directors, Chief Executive Officer, President and Secretary. 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 13, 2020 Filed May 15, 2020 17:26 UTC | Lightning eMotors, Inc. GIK.U · Entity 108004 | PurchaseCommon Stock | 650,000 | $10.00 | $6,500,000.00 |
DisclosureSEC source: 0001209191-20-029783 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions3, LLC · CIK 0001808998 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions3, LLC (see note below) Disclosed balance after: 6,385,000 F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock and (ii) three-fourths of one Private Warrant with each whole 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 May 5, 2020. Includes up to 750,000 shares of Common Stock that are subject to forfeiture depending on the extent to which the underwriters' over-allotment is exercised, if at all. F3 · ownership.nature: The Common Stock and Private Warrants are held directly by GigAcquisitions3, LLC (the "Sponsor"). The Common Stock and Private Warrants held by the Sponsor are beneficially owned by Dr. Katz, GigCapital3, Inc.'s Executive Chairman of the Board of Directors, Chief Executive Officer, President and Secretary. 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 |
| December 18, 2019 Filed Dec 20, 2019 16:21 UTC | Kaleyra, Inc. KLR · Entity 109099 | GrantCommon Stock | 252,013 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-061549 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 252,013 F1 · shares: Consists of an aggregate of 252,013 Restricted Stock Units ("RSUs"), of which (i) 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, (ii) 20,000 of such RSUs vest in four quarterly installments, beginning on February 1, 2020 and subsequently on May 1, 2020, August 1, 2020, and November 1, 2020, and (iii) 5,000 of such RSUs vest on February 1, 2020. F1 · balance_after: Consists of an aggregate of 252,013 Restricted Stock Units ("RSUs"), of which (i) 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, (ii) 20,000 of such RSUs vest in four quarterly installments, beginning on February 1, 2020 and subsequently on May 1, 2020, August 1, 2020, and November 1, 2020, and (iii) 5,000 of such RSUs vest on February 1, 2020. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 20:54 UTC | Kaleyra, Inc. KLR · Entity 109099 | Exercise / conversionPrivate Rights · Derivative | 362,370 | $10.00 | $3,623,700.00 |
DisclosureSEC source: 0001209191-19-058398 · doc4.xml · derivative · entry 2 Katz Avi S · CIK 0001451693 · Director · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions, LLC (see note below) Disclosed balance after: 0 Underlying: Common Stock · 36,237 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: As previously disclosed, the private rights entitled the holder to receive 1/10th of a share of Common Stock upon consummation of the Company's initial business combination without paying any additional consideration. F5 · price: As previously disclosed, $10.00 was the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, (ii) 3/4ths of a Private Warrant exercisable at price of $11.50 per whole share of Common Stock, and (iii) one Private Right which entitled the holder to receive 1/10th of one share of Common Stock upon the consummation of the Company's business combination. F3 · derivative.exercise_date: As previously disclosed, upon the consummation of the Company's initial business combination. F4 · derivative.expiration_date: As previously disclosed, if the Company was unable to complete its initial business combination in the allotted time period the Private Rights would have expired worthless. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 20:54 UTC | Kaleyra, Inc. KLR · Entity 109099 | Exercise / conversionCommon Stock | 36,237 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-058398 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions, LLC (see note below) Disclosed balance after: 2,312,515 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: As previously disclosed, the private rights entitled the holder to receive 1/10th of a share of Common Stock upon consummation of the Company's initial business combination without paying any additional consideration. F2 · ownership.nature: The Common Stock and Private Rights are held directly by GigAcquisitions, LLC (the "Sponsor"). The Common Stock held by the Sponsor is beneficially owned by Dr. Avi S. Katz, the Chairman of the Board of Directors following the consummation of the business combination. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor. Read SEC document |
| November 12, 2019 Filed Nov 13, 2019 16:24 UTC | Kaleyra, Inc. GIG.U · Entity 109099 | OtherCommon Stock | 39,289 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-056359 · doc4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigFounders, LLC (see note below) Disclosed balance after: 715,697 F1 · kind: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on November 13, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the sixth extension, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F1 · price: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on November 13, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the sixth extension, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F3 · ownership.nature: The Common Stock is held directly by GigFounders, LLC ("GigFounders"). The Common Stock held by GigFounders is beneficially owned by Dr. Avi S. Katz. Dr. Katz is also the Managing Member of GigFounders, who has sole voting and dispositive power over all securities held by GigFounders. Read SEC document |
| November 12, 2019 Filed Nov 13, 2019 16:24 UTC | Kaleyra, Inc. GIG.U · Entity 109099 | OtherCommon Stock | 51,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-056359 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions, LLC (see note below) Disclosed balance after: 2,276,278 F1 · kind: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on November 13, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the sixth extension, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F1 · price: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on November 13, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the sixth extension, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F2 · ownership.nature: The Common Stock is held directly by GigAcquisitions, LLC (the "Sponsor"). The Common Stock held by the Sponsor is beneficially owned by Dr. Avi S. Katz, GigCapital, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor. Read SEC document |
| October 11, 2019 Filed Oct 15, 2019 17:21 UTC | Kaleyra, Inc. GIG.U · Entity 109099 | OtherCommon Stock | 69,352 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-053186 · doc4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigFounders, LLC (see note below) Disclosed balance after: 676,408 F1 · kind: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on October 15, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F1 · price: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on October 15, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F3 · ownership.nature: The Common Stock is held directly by GigFounders, LLC ("GigFounders"). The Common Stock held by GigFounders is beneficially owned by Dr. Avi S. Katz. Dr. Katz is also the Managing Member of GigFounders, who has sole voting and dispositive power over all securities held by GigFounders. Read SEC document |
| October 11, 2019 Filed Oct 15, 2019 17:21 UTC | Kaleyra, Inc. GIG.U · Entity 109099 | OtherCommon Stock | 91,347 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-053186 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions, LLC (see note below) Disclosed balance after: 2,321,660 F1 · kind: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on October 15, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F1 · price: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on October 15, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F2 · ownership.nature: The Common Stock is held directly by GigAcquisitions, LLC (the "Sponsor"). The Common Stock held by the Sponsor is beneficially owned by Dr. Avi S. Katz, GigCapital, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor. Read SEC document |
| August 09, 2019 Filed Aug 12, 2019 21:02 UTC | Kaleyra, Inc. GIG.U · Entity 109099 | OtherCommon Stock | 607,056 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-045678 · doc4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigFounders, LLC (see note below) Disclosed balance after: 607,056 F1 · kind: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on August 12, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F1 · price: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on August 12, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F3 · ownership.nature: The Common Stock is held directly by GigFounders, LLC ("GigFounders"). The Common Stock held by GigFounders is beneficially owned by Dr. Avi S. Katz. Dr. Katz is also the Managing Member of GigFounders, who has sole voting and dispositive power over all securities held by GigFounders. Read SEC document |
| August 09, 2019 Filed Aug 12, 2019 21:02 UTC | Kaleyra, Inc. GIG.U · Entity 109099 | OtherCommon Stock | 799,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-045678 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions, LLC (see note below) Disclosed balance after: 2,413,007 F1 · kind: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on August 12, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F1 · price: As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on August 12, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC. F2 · ownership.nature: The Common Stock is held directly by GigAcquisitions, LLC (the "Sponsor"). The Common Stock held by the Sponsor is beneficially owned by Dr. Avi S. Katz, GigCapital, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor. Read SEC document |
| June 13, 2019 Filed Aug 16, 2021 21:54 UTC | UpHealth, Inc. UPH · Entity 88003 | PurchasePrivate Rights · Derivative | 63,750 | $10.00 | $637,500.00 |
DisclosureSEC source: 0001062993-21-007616 · form4.xml · derivative · entry 4 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions2, LLC · CIK 0001778960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions2, LLC Disclosed balance after: 63,750 Underlying: Common Stock · 3,188 shares Expires not disclosed F6 · derivative.exercise_price: The private rights entitle the holder to receive 1/20th of a share of Common Stock upon consummation of the Company's initial business combination without paying any additional consideration. F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, (ii) one Private Warrant exercisable at price of $11.50 per share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/20th of one share of Common Stock upon the consummation of the Company's business combination. F7 · derivative.exercise_date: Upon the consummation of the Company's initial business combination. F8 · derivative.expiration_date: If the Company is unable to complete its initial business combination within 18 months from the closing date of the offering the Private Rights will expire worthless. F3 · ownership.nature: The Common Stock, Private Warrants, and Private Rights are held directly by GigAcquisitions2, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital2, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| June 13, 2019 Filed Aug 16, 2021 21:54 UTC | UpHealth, Inc. UPH · Entity 88003 | PurchasePrivate Warrants · Derivative | 63,750 | $10.00 Strike: $11.50 | $637,500.00 |
DisclosureSEC source: 0001062993-21-007616 · form4.xml · derivative · entry 3 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions2, LLC · CIK 0001778960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions2, LLC Disclosed balance after: 63,750 Underlying: Common Stock · 63,750 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, (ii) one Private Warrant exercisable at price of $11.50 per share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/20th of one share of Common Stock upon the consummation of the Company's business combination. 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, Private Warrants, and Private Rights are held directly by GigAcquisitions2, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital2, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| June 13, 2019 Filed Aug 16, 2021 21:54 UTC | UpHealth, Inc. UPH · Entity 88003 | PurchaseCommon Stock | 63,750 | $10.00 | $637,500.00 |
DisclosureSEC source: 0001062993-21-007616 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions2, LLC · CIK 0001778960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions2, LLC Disclosed balance after: 4,500,237 F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, (ii) one Private Warrant exercisable at price of $11.50 per share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/20th of one share of Common Stock upon the consummation of the Company's business combination. F2 · balance_after: Includes 3,482,500 founder shares of Common Stock previously reported in the Form 3 filed by the Reporting Persons on June 5, 2019. Includes up to 524,868 shares of Common Stock that are subject to forfeiture depending on the extent to which the underwriters' over-allotment is exercised, if at all. The total shares reported include a stock dividend of 0.1541 of Common Stock for each outstanding share of Common Stock declared on June 5, 2019 following the effectiveness of the Registration Statement and prior to the private placement purchases reported in this Form 4. F3 · ownership.nature: The Common Stock, Private Warrants, and Private Rights are held directly by GigAcquisitions2, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital2, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| June 05, 2019 Filed Jun 7, 2019 19:48 UTC | UpHealth, Inc. GIX.U · Entity 88003 | PurchasePrivate Rights · Derivative | 417,500 | $10.00 | $4,175,000.00 |
DisclosureSEC source: 0001209191-19-035684 · doc4.xml · derivative · entry 3 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions2, LLC · CIK 0001778960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions2, LLC (see note below) Disclosed balance after: 417,500 Underlying: Common Stock · 20,875 shares Expires not disclosed F6 · derivative.exercise_price: The private rights entitle the holder to receive 1/20th of a share of Common Stock upon consummation of the Company's initial business combination without paying any additional consideration. F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, (ii) one Private Warrant exercisable at price of $11.50 per share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/20th of one share of Common Stock upon the consummation of the Company's business combination. F7 · derivative.exercise_date: Upon the consummation of the Company's initial business combination. F8 · derivative.expiration_date: If the Company is unable to complete its initial business combination within 18 months from the closing date of the offering the Private Rights will expire worthless. F3 · ownership.nature: The Common Stock, Private Warrants, and Private Rights are held directly by GigAcquisitions2, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital2, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| June 05, 2019 Filed Jun 7, 2019 19:48 UTC | UpHealth, Inc. GIX.U · Entity 88003 | PurchasePrivate Warrants · Derivative | 417,500 | $10.00 Strike: $11.50 | $4,175,000.00 |
DisclosureSEC source: 0001209191-19-035684 · doc4.xml · derivative · entry 2 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions2, LLC · CIK 0001778960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions2, LLC (see note below) Disclosed balance after: 417,500 Underlying: Common Stock · 417,500 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, (ii) one Private Warrant exercisable at price of $11.50 per share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/20th of one share of Common Stock upon the consummation of the Company's business combination. 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, Private Warrants, and Private Rights are held directly by GigAcquisitions2, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital2, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| June 05, 2019 Filed Jun 7, 2019 19:48 UTC | UpHealth, Inc. GIX.U · Entity 88003 | PurchaseCommon Stock | 417,500 | $10.00 | $4,175,000.00 |
DisclosureSEC source: 0001209191-19-035684 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · CEO, Pres, Exec Chairman · 10% owner GigAcquisitions2, LLC · CIK 0001778960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions2, LLC (see note below) Disclosed balance after: 4,436,487 F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, (ii) one Private Warrant exercisable at price of $11.50 per share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/20th of one share of Common Stock upon the consummation of the Company's business combination. F2 · balance_after: Includes 3,482,500 founder shares of Common Stock previously reported in the Form 3 filed by the Reporting Persons on June 5, 2019. Includes up to 524,868 shares of Common Stock that are subject to forfeiture depending on the extent to which the underwriters' over-allotment is exercised, if at all. The total shares reported include a stock dividend of 0.1541 of Common Stock for each outstanding share of Common Stock declared on June 5, 2019 following the effectiveness of the Registration Statement and prior to the private placement purchases reported in this Form 4. F3 · ownership.nature: The Common Stock, Private Warrants, and Private Rights are held directly by GigAcquisitions2, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital2, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| January 09, 2018 Filed Aug 6, 2021 21:03 UTC | Kaleyra, Inc. KLR · Entity 109099 | PurchasePrivate Rights · Derivative | 6,370 | $10.00 | $63,700.00 |
DisclosureSEC source: 0001062993-21-007137 · form4.xml · derivative · entry 3 Katz Avi S · CIK 0001451693 · Director · Exec Chairman GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · GigAcquisitions, LLC (see note below) Disclosed balance after: 362,370 Underlying: Common Stock · 637 shares Expires not disclosed F6 · derivative.exercise_price: The Private Rights entitle the holder to receive 1/10th of a share of Common Stock upon consummation of the Company's initial business combination without paying any additional consideration. F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, (ii) 3/4ths of a Private Warrant exercisable at price of $11.50 per whole share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/10th of one share of Common Stock upon the consummation of the Company's business combination. These Private Units were acquired by the Sponsor (as defined below) in a private placement alongside the underwriters' exercise of their over-allotment option. F7 · derivative.exercise_date: Upon the consummation of the Company's initial business combination. F8 · derivative.expiration_date: If the Company is unable to complete its initial business combination within 18 months from the closing date of the offering the Private Rights will expire worthless. F3 · ownership.nature: The Common Stock, Private Warrants, and Private Rights constituting the Private Units are held directly by GigAcquisitions, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor. Read SEC document |
| January 09, 2018 Filed Aug 6, 2021 21:03 UTC | Kaleyra, Inc. KLR · Entity 109099 | PurchasePrivate Warrants · Derivative | 4,776 | $10.00 Strike: $11.50 | $47,760.00 |
DisclosureSEC source: 0001062993-21-007137 · form4.xml · derivative · entry 2 Katz Avi S · CIK 0001451693 · Director · Exec Chairman GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · GigAcquisitions, LLC (see note below) Disclosed balance after: 271,776 Underlying: Common Stock · 4,476 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, (ii) 3/4ths of a Private Warrant exercisable at price of $11.50 per whole share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/10th of one share of Common Stock upon the consummation of the Company's business combination. These Private Units were acquired by the Sponsor (as defined below) in a private placement alongside the underwriters' exercise of their over-allotment option. 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, Private Warrants, and Private Rights constituting the Private Units are held directly by GigAcquisitions, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor. Read SEC document |
| January 09, 2018 Filed Aug 6, 2021 21:03 UTC | Kaleyra, Inc. KLR · Entity 109099 | PurchaseCommon Stock | 6,368 | $10.00 | $63,680.00 |
DisclosureSEC source: 0001062993-21-007137 · form4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Exec Chairman GigAcquisitions, LLC · CIK 0001724528 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By GigAcquisitions, LLC (see note below) Disclosed balance after: 3,218,975 F1 · price: $10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, (ii) 3/4ths of a Private Warrant exercisable at price of $11.50 per whole share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/10th of one share of Common Stock upon the consummation of the Company's business combination. These Private Units were acquired by the Sponsor (as defined below) in a private placement alongside the underwriters' exercise of their over-allotment option. F2 · balance_after: Includes 2,856,607 founder shares of Common Stock previously reported in the Form 3 filed by the Reporting Persons on December 7, 2017. Includes up to 379,464 shares of Common Stock that were subject to forfeiture. The underwriters exercised the over-allotment option on January 9, 2018. Consequently, no shares were forfeited. F3 · ownership.nature: The Common Stock, Private Warrants, and Private Rights constituting the Private Units are held directly by GigAcquisitions, LLC (the "Sponsor"). The Common Stock, Private Warrants, and Private Rights held by the Sponsor are beneficially owned by Dr. Avi S. Katz, GigCapital, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor. 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.