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 |
|---|---|---|---|---|---|---|
| January 17, 2017 Filed Jan 20, 2017 02:02 UTC | GigPeak, Inc. GIG · Entity 177243 | GrantRestricted Stock Units (RSUs) · Derivative | 694,721 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-004709 · doc4.xml · derivative · entry 1 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 694,721 Underlying: Common Stock · 694,721 shares Expires not disclosed F1 · security: The Restricted Stock Units ("RSUs") were issued pursuant to the terms of the GigPeak 2008 Equity Incentive Plan and a Restricted Stock Unit Notice of Grant and Agreement. The Company will withhold shares of stock subject to the restricted stock units at the time of vesting for the purposes of satisfying any tax withholding obligations which arise in connection with such vesting. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of GigPeak common stock. F3 · derivative.exercise_date: The RSUs vest in eight quarterly installments beginning on May 1, 2017 and ending on February 1, 2019. F3 · derivative.expiration_date: The RSUs vest in eight quarterly installments beginning on May 1, 2017 and ending on February 1, 2019. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionRestricted Stock Units (RSUs) · Derivative | 3,260 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · derivative · entry 18 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,601 Underlying: Common Stock · 3,260 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. F12 · shares: 3,260 RSUs issued in the grant to Dr. Katz on 7/19/2016 vested on 11/1/2016 according to the vesting schedule previously reported. F19 · derivative.exercise_date: The RSUs vest in twelve quarterly installments, beginning on August 1, 2016 and ending on May 1, 2019, as previously reported. F19 · derivative.expiration_date: The RSUs vest in twelve quarterly installments, beginning on August 1, 2016 and ending on May 1, 2019, as previously reported. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionRestricted Stock Units (RSUs) · Derivative | 66,876 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · derivative · entry 17 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,498 Underlying: Common Stock · 66,876 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. F10 · shares: 66,876 RSUs issued in the grant to Dr. Katz on 7/19/2016 vested on 11/1/2016 according to the vesting schedule previously reported. F18 · derivative.exercise_date: The RSUs vest in six quarterly installments beginning on August 1, 2016 and ending on November 1, 2017, as previously reported. F18 · derivative.expiration_date: The RSUs vest in six quarterly installments beginning on August 1, 2016 and ending on November 1, 2017, as previously reported. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionRestricted Stock Units (RSUs) · Derivative | 14,907 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · derivative · entry 16 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,907 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. F8 · shares: 14,907 RSUs issued in the grant to Dr. Katz on 1/5/2016 vested on 11/1/2016 according to the vesting schedule previously reported. F17 · derivative.exercise_date: The RSUs vest in four quarterly installments beginning on February 1, 2016 and ending on November 1, 2016, as previously reported. F17 · derivative.expiration_date: The RSUs vest in four quarterly installments beginning on February 1, 2016 and ending on November 1, 2016, as previously reported. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionRestricted Stock Units (RSUs) · Derivative | 28,684 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · derivative · entry 15 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 336,931 Underlying: Common Stock · 28,684 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · shares: 28,684 RSUs issued in the grant to Dr. Katz on 3/26/2015 vested on 11/1/2016. As previously disclosed by the Company in its Current Report on Form 8-K, as filed with the SEC on July 20, 2016, and the Form 4 filed by Dr. Katz on that date, 60,106 total unvested RSUs from this award were rescinded on July 19, 2016. This rescission is partially reflected herein. F16 · derivative.exercise_date: The RSUs vest as follows: 25% vested on May 1, 2016. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2016 and ending on May 1, 2019, as previously reported. F16 · derivative.expiration_date: The RSUs vest as follows: 25% vested on May 1, 2016. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2016 and ending on May 1, 2019, as previously reported. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionRestricted Stock Units (RSUs) · Derivative | 19,625 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · derivative · entry 14 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,750 Underlying: Common Stock · 19,625 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. F4 · shares: 19,625 RSUs issued in the grant to Dr. Katz on 2/10/2014 vested on 11/1/2016 according to the vesting schedule previously reported. F15 · derivative.exercise_date: The RSUs vest as follows: 25% vested on May 1, 2015. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2015 and ending on May 1, 2018, as previously reported. F15 · derivative.expiration_date: The RSUs vest as follows: 25% vested on May 1, 2015. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2015 and ending on May 1, 2018, as previously reported. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionRestricted Stock Units (RSUs) · Derivative | 8,050 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · derivative · entry 13 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,100 Underlying: Common Stock · 8,050 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 · shares: 8,050 Restricted Stock Units ("RSUs") issued in the grant to Dr. Katz on 8/1/2013 vested on 11/1/2016 according to the vesting schedule previously reported. F14 · derivative.exercise_date: The RSUs vest as follows: 25% vested on May 1, 2014. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2014 and ending on May 1, 2017, as previously reported. F14 · derivative.expiration_date: The RSUs vest as follows: 25% vested on May 1, 2014. The remaining 75% vest in twelve quarterly installments thereafter, beginning on August 1, 2014 and ending on May 1, 2017, as previously reported. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Tax withholdingCommon Stock | 1,740 | $2.39 | $4,158.60 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 12 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,938 F13 · shares: 1,740 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company. F3 · price: The closing price of the Company's common stock on 11/1/2016. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionCommon Stock | 3,260 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 11 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,678 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. F12 · shares: 3,260 RSUs issued in the grant to Dr. Katz on 7/19/2016 vested on 11/1/2016 according to the vesting schedule previously reported. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Tax withholdingCommon Stock | 35,679 | $2.39 | $85,272.81 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 10 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,418 F11 · shares: 35,679 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company. F3 · price: The closing price of the Company's common stock on 11/1/2016. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionCommon Stock | 66,876 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 9 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,097 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. F10 · shares: 66,876 RSUs issued in the grant to Dr. Katz on 7/19/2016 vested on 11/1/2016 according to the vesting schedule previously reported. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Tax withholdingCommon Stock | 7,953 | $2.39 | $19,007.67 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 8 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,221 F9 · shares: 7,953 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company. F3 · price: The closing price of the Company's common stock on 11/1/2016. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionCommon Stock | 14,907 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 7 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,174 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. F8 · shares: 14,907 RSUs issued in the grant to Dr. Katz on 1/5/2016 vested on 11/1/2016 according to the vesting schedule previously reported. F3 · price: The closing price of the Company's common stock on 11/1/2016. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Tax withholdingCommon Stock | 15,303 | $2.39 | $36,574.17 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 6 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,267 F7 · shares: 15,303 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company. F3 · price: The closing price of the Company's common stock on 11/1/2016. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionCommon Stock | 28,684 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 5 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,570 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · shares: 28,684 RSUs issued in the grant to Dr. Katz on 3/26/2015 vested on 11/1/2016. As previously disclosed by the Company in its Current Report on Form 8-K, as filed with the SEC on July 20, 2016, and the Form 4 filed by Dr. Katz on that date, 60,106 total unvested RSUs from this award were rescinded on July 19, 2016. This rescission is partially reflected herein. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Tax withholdingCommon Stock | 10,470 | $2.39 | $25,023.30 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 4 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,886 F5 · shares: 10,470 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company. F3 · price: The closing price of the Company's common stock on 11/1/2016. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionCommon Stock | 19,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 3 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,356 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. F4 · shares: 19,625 RSUs issued in the grant to Dr. Katz on 2/10/2014 vested on 11/1/2016 according to the vesting schedule previously reported. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Tax withholdingCommon Stock | 4,295 | $2.39 | $10,265.05 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,731 F2 · shares: 4,295 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company. F3 · price: The closing price of the Company's common stock on 11/1/2016. Read SEC document |
| November 01, 2016 Filed Nov 4, 2016 01:07 UTC | GigPeak, Inc. GIG · Entity 177243 | Exercise / conversionCommon Stock | 8,050 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148317 · doc4.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,026 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 · shares: 8,050 Restricted Stock Units ("RSUs") issued in the grant to Dr. Katz on 8/1/2013 vested on 11/1/2016 according to the vesting schedule previously reported. 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.