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 | October 03, 2025 | October 07, 2025 |
| GigCapital9 Corp.GIX · Entity 5737 | Director · 10% owner | January 23, 2026 | January 27, 2026 |
| GigInternational1, Inc.GIW · Entity 138893 | Director · President, CEO and Secretary | May 18, 2021 | May 19, 2021 |
| Hadron Energy, Inc.HDRN · Entity 6554 | Director · 10% owner | August 11, 2026 | August 13, 2026 |
| QT IMAGING HOLDINGS, INC.QTI · Entity 7298 | Director · Chief Executive Officer | August 28, 2026 | September 01, 2026 |
| UpHealth, Inc.UPHL · Entity 88003 | Director | January 31, 2024 | February 02, 2024 |
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 | 523,374 |
Ending reported balance
After 2024-03-13 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2024-03-11 · Sale · Disposed 26,076 · Balance 747,298 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 723,374 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 673,374 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 623,374 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 573,374 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 523,374 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 Katz Avi S, GigAcquisitions8 Corp.
| 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 Katz Avi S, GigAcquisitions9 Corp.
| 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 18, 2021 · Filed May 19, 2021
This filing explicitly reported no securities owned.
Hadron Energy, Inc.
Report date August 11, 2026 · Filed August 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 154,895 |
Reported balance
After 2026-08-11 transaction · row 1
1 source rowRow 1 · 2026-08-11 · Grant · Acquired 67,395 · Balance 154,895 F1: Subject to the Reporting Person's continued service to Hadron Energy, Inc. (the "Company"), fifty percent of the Restricted Stock Unit ("RSU") shall vest on August 15, 2026, and the remaining fifty percent will vest in two equal installments on November 15 and February 15, such that the grant will be fully vested on February 15, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Subject to the Reporting Person's continued service to Hadron Energy, Inc. (the "Company"), fifty percent of the Restricted Stock Unit ("RSU") shall vest on August 15, 2026, and the remaining fifty percent will vest in two equal installments on November 15 and February 15, such that the grant will be fully vested on February 15, 2027.
QT IMAGING HOLDINGS, INC.
Report date August 28, 2026 · Filed September 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,393,066 |
Reported balance
After 2026-08-28 transaction · row 1
1 source rowRow 1 · 2026-08-28 · Grant · Acquired 484,221 · Balance 1,393,066 F1: Subject to the Reporting Person's continued service to QT Imaging Holdings, Inc. (the "Company"), three-sixteenths of this Restricted Stock Unit ("RSU") will vest on November 15, 2026, and the remaining thirteen-sixteenths will vest in thirteen equal quarterly installments on each subsequent February 15, May 15, August 15, and November 15, such that the RSU will be fully vested on February 15, 2030; all shares under this RSU shall immediately vest in the event of a Change of Control (as defined in the QT Imaging Holdings, Inc. Amended and Restated 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"), three-sixteenths of this Restricted Stock Unit ("RSU") will vest on November 15, 2026, and the remaining thirteen-sixteenths will vest in thirteen equal quarterly installments on each subsequent February 15, May 15, August 15, and November 15, such that the RSU will be fully vested on February 15, 2030; all shares under this RSU shall immediately vest in the event of a Change of Control (as defined in the QT Imaging Holdings, Inc. Amended and Restated 2024 Equity Incentive Plan) of the Company.
UpHealth, Inc.
Report date January 31, 2024 · Filed February 02, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 113,905 |
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 113,905 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 | 13,905 |
Reported balance
Holding disclosure · report date 2024-01-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 13,905 F1: Includes Restricted Stock Units ("Prior RSUs") of UpHealth, Inc. (the "Company"), that are subject to vesting pursuant to previously disclosed vesting schedules. |
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.
Past disclosures · reporting ended (2)
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 124,557 · 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 12,500 · 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 37,500 · 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 46,875 · 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 95,000 · 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 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-04-04 · Disposition to issuer · Disposed 112,500 · 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 116,093 · 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 121,693 · 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 $34.24 | 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 6,093 · 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 $34.24 | 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 1,406 · 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 $18.16 | 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 5,060 · 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 $18.16 | 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 4,315 · 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 39,733 · 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 6,598 · 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 6,962 · 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 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2017-04-04 · Disposition to issuer · Disposed 45,000 · 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 $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 24,000 · 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 $2.40 | 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 22,829 · 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 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2017-04-04 · Disposition to issuer · Disposed 8,779 · 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 5,228 · 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 5,184 · 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 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2017-04-04 · Disposition to issuer · Disposed 27,861 · 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 23,574 · 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 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2017-04-04 · Disposition to issuer · Disposed 16,404 · 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 10,896 · 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 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · 2017-04-04 · Disposition to issuer · Disposed 63,460 · 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 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 27 · 2017-04-04 · Disposition to issuer · Disposed 41,621 · 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 $0.86 | 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 23,720 · 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 $0.86 | 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 15,550 · 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.
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.
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 28, 2026 Filed Sep 1, 2026 00:08 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | GrantCommon Stock | 484,221 | $0.00 | $0.00 |
DisclosureSEC source: 0001430575-26-000007 · form4.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,393,066 F1 · shares: Subject to the Reporting Person's continued service to QT Imaging Holdings, Inc. (the "Company"), three-sixteenths of this Restricted Stock Unit ("RSU") will vest on November 15, 2026, and the remaining thirteen-sixteenths will vest in thirteen equal quarterly installments on each subsequent February 15, May 15, August 15, and November 15, such that the RSU will be fully vested on February 15, 2030; all shares under this RSU shall immediately vest in the event of a Change of Control (as defined in the QT Imaging Holdings, Inc. Amended and Restated 2024 Equity Incentive Plan) of the Company. Read SEC document |
| August 11, 2026 Filed Aug 13, 2026 22:34 UTC | Hadron Energy, Inc. HDRN · Entity 6554 | GrantCommon Stock | 67,395 | $1.84 | $124,006.80 |
DisclosureSEC source: 0001430575-26-000005 · form4.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 154,895 F1 · shares: Subject to the Reporting Person's continued service to Hadron Energy, Inc. (the "Company"), fifty percent of the Restricted Stock Unit ("RSU") shall vest on August 15, 2026, and the remaining fifty percent will vest in two equal installments on November 15 and February 15, such that the grant will be fully vested on February 15, 2027. Read SEC document |
| May 22, 2026 Filed May 28, 2026 00:45 UTC | Hadron Energy, Inc. HDRN · Entity 6554 | OtherConvertible Promissory Note · Derivative | 29,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001451693-26-000012 · primary_doc.xml · derivative · entry 6 Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · GigAcquisitions7 Corp. Disclosed balance after: 0 Underlying: Warrants · 29,300 shares Expires 2026-05-22 F5 · derivative.exercise_price: In connection with the closing of the Merger, the principal balance of the convertible promissory note was paid in full. F5 · price: In connection with the closing of the Merger, the principal balance of the convertible promissory note was paid in full. F4 · ownership.nature: The Common Stock are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Chairman of the Board of Directors, and Dr. Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| May 22, 2026 Filed May 28, 2026 00:45 UTC | Hadron Energy, Inc. HDRN · Entity 6554 | OtherConvertible Promissory Note · Derivative | 29,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001451693-26-000012 · primary_doc.xml · derivative · entry 5 Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · GigAcquisitions7 Corp. Disclosed balance after: 0 Underlying: Class A ordinary shares · 29,300 shares Expires 2026-05-22 F5 · derivative.exercise_price: In connection with the closing of the Merger, the principal balance of the convertible promissory note was paid in full. F5 · price: In connection with the closing of the Merger, the principal balance of the convertible promissory note was paid in full. F4 · ownership.nature: The Common Stock are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Chairman of the Board of Directors, and Dr. Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| May 22, 2026 Filed May 28, 2026 00:45 UTC | Hadron Energy, Inc. HDRN · Entity 6554 | Exercise / conversionClass B ordinary shares · Derivative | 9,932,246 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001451693-26-000012 · primary_doc.xml · derivative · entry 4 Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · GigAcquisitions7 Corp. Disclosed balance after: 0 Underlying: Common Stock · 9,932,246 shares Expires 2026-05-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The closing price of the Company's Common Stock on the effective date of the Merger was $5.16. F2 · price: The closing price of the Company's Common Stock on the effective date of the Merger was $5.16. F4 · ownership.nature: The Common Stock are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Chairman of the Board of Directors, and Dr. Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| May 22, 2026 Filed May 28, 2026 00:45 UTC | Hadron Energy, Inc. HDRN · Entity 6554 | GrantCommon Stock | 9,932,246 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001451693-26-000012 · primary_doc.xml · nonDerivative · entry 3 Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By GigAcquisitions7 Corp. Disclosed balance after: 9,932,246 F4 · shares: The Common Stock are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Chairman of the Board of Directors, and Dr. Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. F2 · price: The closing price of the Company's Common Stock on the effective date of the Merger was $5.16. F4 · ownership.nature: The Common Stock are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, the Issuer's Chairman of the Board of Directors, and Dr. Dinu, the Issuer's Director. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| May 22, 2026 Filed May 28, 2026 00:45 UTC | Hadron Energy, Inc. HDRN · Entity 6554 | GrantCommon Stock | 87,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001451693-26-000012 · primary_doc.xml · nonDerivative · entry 2 Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse, Dr. Raluca Dinu Disclosed balance after: 87,500 F3 · shares: Received by Dr. Raluca Dinu in exchange for 1,750.04 shares of Hadron held by Dr. Dinu, in connection with the Merger of Hadron into a subsidiary of the Company pursuant to the exchange ratio set forth in the business combination agreement between Hadron and the Company. The acquisition of these shares is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange pursuant to the Securities and Exchange Act of 1934, as amended. F2 · price: The closing price of the Company's Common Stock on the effective date of the Merger was $5.16. Read SEC document |
| May 22, 2026 Filed May 28, 2026 00:45 UTC | Hadron Energy, Inc. HDRN · Entity 6554 | GrantCommon Stock | 87,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001451693-26-000012 · primary_doc.xml · nonDerivative · entry 1 Katz Avi S · CIK 0001451693 · Director · Chairman · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 87,500 F1 · shares: Received by Dr. Avi S. Katz in exchange for 1,750.04 shares of Hadron Energy, Inc. ("Hadron") held by Dr. Katz, in connection with the merger of Hadron into a subsidiary of GigCapital7 Corp. (the "Company") (the "Merger") pursuant to the exchange ratio set forth in the business combination agreement between Hadron and the Company. The acquisition of these shares is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange pursuant to the Securities and Exchange Act of 1934, as amended. F2 · price: The closing price of the Company's Common Stock on the effective date of the Merger was $5.16. Read SEC document |
| April 16, 2026 Filed Apr 20, 2026 21:12 UTC | Hadron Energy, Inc. GIGGU · Entity 6554 | GrantConvertible Promissory Note · Derivative | 29,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001451693-26-000011 · form4.xml · derivative · entry 2 Katz Avi S · CIK 0001451693 · Director · CEO; Chairmain · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · GigAcquisitions7 Corp. Disclosed balance after: 29,300 Underlying: Warrants · 29,300 shares Expires not disclosed F1 · derivative.exercise_price: On April 16, 2026, the Issuer entered into an Amended and Restated Convertible Promissory Note (the "Note") promising to pay Sponsor, $293,000.00. All amounts due under the Note may be converted into 29,300 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 29,300 Class A ordinary shares and warrants to purchase an additional 29,300 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. F3 · price: The Issuer's Class A ordinary shares and warrants as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015). F1 · derivative.exercise_date: On April 16, 2026, the Issuer entered into an Amended and Restated Convertible Promissory Note (the "Note") promising to pay Sponsor, $293,000.00. All amounts due under the Note may be converted into 29,300 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 29,300 Class A ordinary shares and warrants to purchase an additional 29,300 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. F2 · derivative.expiration_date: The principal balance of the Note shall be payable by the Issuer on the earlier of: (i) the date on which Issuer consummates its initial business combination or (ii) the date that the winding up of the Issuer is effective. Payee may elect to convert the Note upon consummation of an initial business combination of the Issuer or at Payee's option at any time prior to the payment in full. F4 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the sole members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| April 16, 2026 Filed Apr 20, 2026 21:12 UTC | Hadron Energy, Inc. GIGGU · Entity 6554 | GrantConvertible Promissory Note · Derivative | 29,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001451693-26-000011 · form4.xml · derivative · entry 1 Katz Avi S · CIK 0001451693 · Director · CEO; Chairmain · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · GigAcquisitions7 Corp. Disclosed balance after: 29,300 Underlying: Class A ordinary shares · 29,300 shares Expires not disclosed F1 · derivative.exercise_price: On April 16, 2026, the Issuer entered into an Amended and Restated Convertible Promissory Note (the "Note") promising to pay Sponsor, $293,000.00. All amounts due under the Note may be converted into 29,300 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 29,300 Class A ordinary shares and warrants to purchase an additional 29,300 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. F3 · price: The Issuer's Class A ordinary shares and warrants as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015). F1 · derivative.exercise_date: On April 16, 2026, the Issuer entered into an Amended and Restated Convertible Promissory Note (the "Note") promising to pay Sponsor, $293,000.00. All amounts due under the Note may be converted into 29,300 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 29,300 Class A ordinary shares and warrants to purchase an additional 29,300 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. F2 · derivative.expiration_date: The principal balance of the Note shall be payable by the Issuer on the earlier of: (i) the date on which Issuer consummates its initial business combination or (ii) the date that the winding up of the Issuer is effective. Payee may elect to convert the Note upon consummation of an initial business combination of the Issuer or at Payee's option at any time prior to the payment in full. F4 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the sole members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| March 20, 2026 Filed Mar 25, 2026 01:30 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | GrantCommon Stock | 16,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001430575-26-000003 · form4.xml · nonDerivative · entry 4 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 908,845 F4 · shares: Subject to the Reporting Person's continued service to the Company, one-third of this Restricted Stock Unit will vest on May 15, 2027, and the remaining two-thirds will vest in eight equal quarterly installments on each subsequent August 15, November 15, February 15, and May 15, such that the grant will be fully vested on May 15, 2029; all shares under this Restricted Stock Unit 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. Read SEC document |
| March 20, 2026 Filed Mar 25, 2026 01:30 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | GrantCommon Stock | 500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001430575-26-000003 · form4.xml · nonDerivative · entry 3 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 892,845 F3 · shares: Subject to the Reporting Person's continued service to the Company, the Restricted Stock Unit shall vest quarterly over sixteen equal quarterly installments beginning on May 15, 2026 and on each subsequent August 15, November 15, February 15, and May 15, such that the grant will be fully vested on February 15, 2030; all shares under this Restricted Stock Unit 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. Read SEC document |
| March 20, 2026 Filed Mar 25, 2026 01:30 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | GrantCommon Stock | 3,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001430575-26-000003 · form4.xml · nonDerivative · entry 2 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 392,845 F2 · shares: Subject to the Reporting Person's continued service to QT Imaging Holdings, Inc. (the "Company"), twenty-five percent of this Restricted Stock Unit will vest on each of May 15, 2026, August 15, 2026, November 15, 2026, and February 15, 2027; all shares under this Restricted Stock Unit 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. Read SEC document |
| January 30, 2026 Filed Feb 17, 2026 21:32 UTC | Hadron Energy, Inc. GIGGU · Entity 6554 | GrantConvertible Promissory Note · Derivative | 14,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0002023730-26-000003 · form4.xml · derivative · entry 3 Katz Avi S · CIK 0001451693 · Director · CEO; Chairmain · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · GigAcquisitions7 Corp. Disclosed balance after: 14,800 Underlying: Warrants · 14,800 shares Expires not disclosed F4 · derivative.exercise_price: On January 30, 2026, the Issuer entered into a Convertible Promissory Note (the "Note") promising to pay Sponsor, $148,000.00. All amounts due under the Note may be converted into 14,800 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 14,800 Class A ordinary shares and warrants to purchase an additional 14,800 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. F6 · price: The Issuer's Class A ordinary shares and warrants as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015). F4 · derivative.exercise_date: On January 30, 2026, the Issuer entered into a Convertible Promissory Note (the "Note") promising to pay Sponsor, $148,000.00. All amounts due under the Note may be converted into 14,800 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 14,800 Class A ordinary shares and warrants to purchase an additional 14,800 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. F5 · derivative.expiration_date: The principal balance of the Note shall be payable by the Issuer on the earlier of: (i) the date on which Issuer consummates its initial business combination or (ii) the date that the winding up of the Issuer is effective. Payee may elect to convert the Note upon consummation of an initial business combination of the Issuer or at Payee's option at any time prior to the payment in full. F3 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the sole members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| January 30, 2026 Filed Feb 17, 2026 21:32 UTC | Hadron Energy, Inc. GIGGU · Entity 6554 | GrantConvertible Promissory Note · Derivative | 14,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0002023730-26-000003 · form4.xml · derivative · entry 2 Katz Avi S · CIK 0001451693 · Director · CEO; Chairmain · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · GigAcquisitions7 Corp. Disclosed balance after: 14,800 Underlying: Class A ordinary shares · 14,800 shares Expires not disclosed F4 · derivative.exercise_price: On January 30, 2026, the Issuer entered into a Convertible Promissory Note (the "Note") promising to pay Sponsor, $148,000.00. All amounts due under the Note may be converted into 14,800 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 14,800 Class A ordinary shares and warrants to purchase an additional 14,800 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. F6 · price: The Issuer's Class A ordinary shares and warrants as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015). F4 · derivative.exercise_date: On January 30, 2026, the Issuer entered into a Convertible Promissory Note (the "Note") promising to pay Sponsor, $148,000.00. All amounts due under the Note may be converted into 14,800 units. Each unit consisting of one Class A ordinary share and one warrant to purchase one Class A ordinary share, resulting in the aggregate of 14,800 Class A ordinary shares and warrants to purchase an additional 14,800 Class A ordinary shares of the Issuer at the discretion of the Sponsor upon the consummation of the business combination. The warrants shall have the same terms and conditions as warrants issued in the Issuer's initial public offering. The acquisition of the Note by the Sponsor, and through it, the beneficial acquisition of the Note by the Sponsor's sole members, is an exempt transaction under Rule 16b-3, promulgated by the U.S. Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. F5 · derivative.expiration_date: The principal balance of the Note shall be payable by the Issuer on the earlier of: (i) the date on which Issuer consummates its initial business combination or (ii) the date that the winding up of the Issuer is effective. Payee may elect to convert the Note upon consummation of an initial business combination of the Issuer or at Payee's option at any time prior to the payment in full. F3 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the sole members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| January 21, 2026 Filed Feb 17, 2026 21:32 UTC | Hadron Energy, Inc. GIGGU · Entity 6554 | SaleClass B ordinary shares · Derivative | 175,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0002023730-26-000003 · form4.xml · derivative · entry 1 Katz Avi S · CIK 0001451693 · Director · CEO; Chairmain · 10% owner GigAcquisitions7 Corp. · CIK 0002023728 · 10% owner Dinu Raluca · CIK 0001430575 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · GigAcquisitions7 Corp. Disclosed balance after: 9,932,246 Underlying: Class A ordinary shares · 175,000 shares Expires not disclosed F1 · derivative.exercise_price: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date. F2 · kind: The reporting person sold 175,000 shares of Class B ordinary shares for an aggregate of $148,750, which the reporting person holds indirectly through GigAcquisitions7 Corp. F1 · price: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date. F2 · price: The reporting person sold 175,000 shares of Class B ordinary shares for an aggregate of $148,750, which the reporting person holds indirectly through GigAcquisitions7 Corp. F1 · derivative.exercise_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date. F1 · derivative.expiration_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date. F3 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Katz, GigCapital7 Corp.'s Chief Executive Officer and Chairman of the Board of Directors, and Dr. Raluca Dinu, GigCapital7 Corp.'s Director. Dr. Katz and Dr. Dinu are the sole members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| August 27, 2025 Filed Sep 2, 2025 21:08 UTC | Hadron Energy, Inc. GIGGU · Entity 6554 | GiftClass B ordinary shares · Derivative | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-25-015178 · form4.xml · derivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · GigAcquisitions7 Corp. Disclosed balance after: 10,107,246 Underlying: Class A ordinary shares · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date. F2 · kind: The reporting person transferred 100,000 shares of Class B ordinary shares for no consideration to a non-affiliated charitable organization, which the reporting person holds indirectly through GigAcquisitions7 Corp. F1 · price: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date. F1 · derivative.exercise_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date. F1 · derivative.expiration_date: The Class B ordinary shares are convertible for the Issuer's Class A ordinary shares as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-280015) and have no expiration date. F3 · ownership.nature: The Class B ordinary shares are held directly by GigAcquisitions7 Corp. (the "Sponsor"). The shares held by the Sponsor are beneficially owned by Dr. Raluca Dinu, GigCapital7 Corp.'s Director and Dr. Katz, GigCapital7 Corp.'s Chairman of the Board of Directors. Dr. Katz and Dr. Dinu are the members of the Sponsor, who both have the voting and dispositive power over the shares held by the Sponsor. Read SEC document |
| August 11, 2025 Filed Aug 14, 2025 01:07 UTC | QT IMAGING HOLDINGS, INC. QTIH · Entity 7298 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $1.90 | $0.00 |
DisclosureSEC source: 0001062993-25-014339 · form4.xml · derivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2035-08-11 F1 · derivative.exercise_date: One-third of the grant will vest on August 15, 2026, and the remaining two-thirds will vest in eight equal quarterly installments on each subsequent November 15, February 15, May 15, and August 15, such that the grant will be fully vested on August 15, 2028, subject to continued service with the Issuer through each vesting date. Read SEC document |
| April 21, 2025 Filed Apr 23, 2025 21:37 UTC | QT IMAGING HOLDINGS, INC. QTIH · Entity 7298 | GrantStock Option (right to buy) · Derivative | 233,750 | $0.00 Strike: $0.67 | $0.00 |
DisclosureSEC source: 0001062993-25-007842 · form4.xml · derivative · entry 2 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 233,750 Underlying: Common Stock · 233,750 shares Expires 2035-04-21 F2 · derivative.exercise_date: The grant will vest in four equal quarterly installments beginning on May 15, 2025, and continuing on August 15, 2025, November 15, 2025 and February 15, 2026, such that the grant will be fully vested on February 15, 2026, subject to continued service with the Issuer through each vesting date. Read SEC document |
| April 21, 2025 Filed Apr 23, 2025 21:37 UTC | QT IMAGING HOLDINGS, INC. QTIH · Entity 7298 | GrantEmployee Stock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $0.67 | $0.00 |
DisclosureSEC source: 0001062993-25-007842 · form4.xml · derivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2035-04-21 F1 · derivative.exercise_date: One-third of the grant will vest on February 15, 2026, and the remaining two thirds will vest in eight equal quarterly installments on each subsequent May 15, August 15, November 15 and February 15, such that the grant will be fully vested on February 15, 2028, subject to continued service with the Issuer through each vesting date. Read SEC document |
| April 09, 2025 Filed Apr 11, 2025 01:09 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | PurchaseSubscription Warrants (right to buy) · Derivative | 784,929 | $0.00 Strike: $0.72 | $0.00 |
DisclosureSEC source: 0001062993-25-007325 · form4.xml · derivative · entry 2 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 784,929 Underlying: Common Stock · 784,929 shares Expires 2035-04-09 F1 · shares: These shares and warrants represent 50% of the shares and warrants that were purchased jointly with the Reporting Person's spouse, Dr. Avi S. Katz, who is also a director of the Issuer and is separately reporting the other 50% of such purchased shares and warrants. Read SEC document |
| April 09, 2025 Filed Apr 11, 2025 01:09 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | PurchaseCommon Stock | 392,465 | $0.64 | $250,000.21 |
DisclosureSEC source: 0001062993-25-007325 · form4.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,168,035 F1 · shares: These shares and warrants represent 50% of the shares and warrants that were purchased jointly with the Reporting Person's spouse, Dr. Avi S. Katz, who is also a director of the Issuer and is separately reporting the other 50% of such purchased shares and warrants. Read SEC document |
| March 21, 2025 Filed Mar 25, 2025 20:31 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | PurchaseSubscription Warrants (right to buy) · Derivative | 75,435 | $0.67 Strike: $0.67 | $50,692.32 |
DisclosureSEC source: 0001062993-25-006250 · form4.xml · derivative · entry 2 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 546,325 Underlying: Common Stock · 75,435 shares Expires 2030-05-22 Read SEC document |
| March 21, 2025 Filed Mar 25, 2025 20:31 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | PurchaseCommon Stock | 117,611 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-006250 · form4.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 775,570 Read SEC document |
| November 12, 2024 Filed Nov 15, 2024 02:02 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | PurchaseSubscription Warrants (right to buy) · Derivative | 470,890 | $0.67 Strike: $0.67 | $316,438.08 |
DisclosureSEC source: 0001062993-24-019201 · form4.xml · derivative · entry 2 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 470,890 Underlying: Common Stock · 470,890 shares Expires 2030-05-12 Read SEC document |
| November 12, 2024 Filed Nov 15, 2024 02:02 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | PurchaseCommon Stock | 470,890 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-019201 · form4.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 657,959 Read SEC document |
| September 04, 2024 Filed Sep 12, 2024 00:22 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | OtherCommon Stock | 161,954 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-016503 · form4.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 187,069 F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions5, LLC (the "Sponsor"). Read SEC document |
| July 03, 2024 Filed Jul 10, 2024 00:40 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001062993-24-013605 · form4.xml · derivative · entry 3 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2034-07-03 F1 · derivative.exercise_date: One-third of the option will vest on February 15, 2025, and the remaining two thirds will vest in eight equal quarterly installments on each subsequent May 15, August 15, November 15 and February 15, such that the option will be fully vested on February 15, 2027, subject to the Reporting Person's continued service to the Issuer, through each vesting date. Read SEC document |
| July 03, 2024 Filed Jul 10, 2024 00:40 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | GrantEmployee Stock Option (right to buy) · Derivative | 550,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001062993-24-013605 · form4.xml · derivative · entry 2 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 550,000 Underlying: Common Stock · 550,000 shares Expires 2034-07-03 F1 · derivative.exercise_date: One-third of the option will vest on February 15, 2025, and the remaining two thirds will vest in eight equal quarterly installments on each subsequent May 15, August 15, November 15 and February 15, such that the option will be fully vested on February 15, 2027, subject to the Reporting Person's continued service to the Issuer, through each vesting date. Read SEC document |
| June 27, 2024 Filed Jul 1, 2024 23:29 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | OtherPrivate Warrant · Derivative | 26,592 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001062993-24-013243 · form4.xml · derivative · entry 2 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,592 Underlying: Common Stock · 26,592 shares Expires 2029-03-04 F2 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor. Read SEC document |
| June 27, 2024 Filed Jul 1, 2024 23:29 UTC | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | OtherCommon Stock | 26,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-013243 · form4.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,592 F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions5, LLC (the "Sponsor"). Read SEC document |
| June 27, 2024 Filed Jul 15, 2024 21:17 UTC Amendment | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | OtherPrivate Warrant · Derivative | 25,115 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001062993-24-013809 · form4a.xml · derivative · entry 2 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,115 Underlying: Common Stock · 25,115 shares Expires 2029-03-04 F2 · kind: Distribution of Private Warrants to direct and indirect members of the Sponsor. Read SEC document |
| June 27, 2024 Filed Jul 15, 2024 21:17 UTC Amendment | QT IMAGING HOLDINGS, INC. QTI · Entity 7298 | OtherCommon Stock | 25,115 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-013809 · form4a.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,115 F1 · kind: Distribution of shares of Common Stock to direct and indirect members of GigAcqusitions5, LLC (the "Sponsor"). Read SEC document |
| March 13, 2024 Filed Mar 13, 2024 21:09 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 50,000 | $2.64 | $132,000.00 |
DisclosureSEC source: 0001628280-24-010974 · wk-form4_1710364169.xml · nonDerivative · entry 6 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 523,374 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.68, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 13, 2024 Filed Mar 13, 2024 21:09 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 50,000 | $2.52 | $126,000.00 |
DisclosureSEC source: 0001628280-24-010974 · wk-form4_1710364169.xml · nonDerivative · entry 5 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 573,374 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.56, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 12, 2024 Filed Mar 13, 2024 21:09 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 50,000 | $2.38 | $119,000.00 |
DisclosureSEC source: 0001628280-24-010974 · wk-form4_1710364169.xml · nonDerivative · entry 4 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 623,374 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.41, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 12, 2024 Filed Mar 13, 2024 21:09 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 50,000 | $2.42 | $121,000.00 |
DisclosureSEC source: 0001628280-24-010974 · wk-form4_1710364169.xml · nonDerivative · entry 3 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 673,374 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.45, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 12, 2024 Filed Mar 13, 2024 21:09 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 23,924 | $2.36 | $56,460.64 |
DisclosureSEC source: 0001628280-24-010974 · wk-form4_1710364169.xml · nonDerivative · entry 2 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 723,374 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.40, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 11, 2024 Filed Mar 13, 2024 21:09 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 26,076 | $2.51 | $65,450.76 |
DisclosureSEC source: 0001628280-24-010974 · wk-form4_1710364169.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 747,298 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.57, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 23:21 UTC | UpHealth, Inc. UPHL · Entity 88003 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-001878 · form4.xml · nonDerivative · entry 2 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 113,905 F2 · shares: Subject to the Reporting Person's continued service to the Company, the Restricted Stock Units ("RSUs") shall vest on January 1, 2025; all RSUs shall immediately vest in the event of a Change of Control (as defined in the UpHealth, Inc. 2021 Equity Incentive Plan) of the Company. Read SEC document |
| December 15, 2023 Filed Dec 18, 2023 11:57 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 13,029 | $1.92 | $25,015.68 |
DisclosureSEC source: 0001628280-23-041721 · wk-form4_1702900660.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 773,374 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.92 to $1.93, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 11:52 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 50,000 | $1.81 | $90,500.00 |
DisclosureSEC source: 0001628280-23-041641 · wk-form4_1702641166.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 786,403 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.82, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 30, 2023 Filed Dec 4, 2023 11:59 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SalePrivate Warrants · Derivative | 7,083 | $0.36 Strike: $11.50 | $2,549.88 |
DisclosureSEC source: 0001628280-23-040536 · wk-form4_1701691152.xml · derivative · entry 2 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,083 shares Expires 2026-12-07 F2 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $0.34 to $0.37, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 29, 2023 Filed Dec 4, 2023 11:59 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 35,060 | $1.93 | $67,665.80 |
DisclosureSEC source: 0001628280-23-040536 · wk-form4_1701691152.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 836,403 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.90 to $1.97, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 28, 2023 Filed Nov 29, 2023 21:18 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 25,000 | $1.90 | $47,500.00 |
DisclosureSEC source: 0001628280-23-040227 · wk-form4_1701292672.xml · nonDerivative · entry 2 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 871,463 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.90 to $1.92, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 27, 2023 Filed Nov 29, 2023 21:18 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 28,000 | $1.91 | $53,480.00 |
DisclosureSEC source: 0001628280-23-040227 · wk-form4_1701292672.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 896,463 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.90 to $1.94, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 20, 2023 Filed Nov 22, 2023 12:39 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 13,000 | $1.84 | $23,920.00 |
DisclosureSEC source: 0001628280-23-039826 · wk-form4_1700656775.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 924,463 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.81 to $1.87, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · balance_after: The reported amount (i) corrects an understatement of the amount held after a transaction reported on a Form 4 filed by the reporting person on May 24, 2022, June 15, 2022, March 17, 2023, March 21, 2023, and July 5, 2023 (which did not give effect to the grant of 13,000 RSUs that were timely reported in the previous Form 4 filing) and (ii) includes 600 shares of common stock that were part of the 266,600 shares sold on March 17, 2023 but which transaction was inadvertently reported as a sale of 266,000 shares in the Form 4 filed on March 21, 2023. Read SEC document |
| July 02, 2023 Filed Jul 5, 2023 22:55 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | GrantCommon Stock | 55,556 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-024361 · wk-form4_1688597736.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 925,063 F1 · shares: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's Common Stock, subject to the Reporting Person's continued service through the vesting date. The reported RSUs were granted on July 2, 2023, vest on July 2, 2024, and shall be settled within sixty days of the vesting date. F2 · balance_after: The reported amount corrects an overstatement of the amount held after a transaction reported on a Form 4 filed by the reporting person on March 21, 2023 (which did not give effect to the sale of 33,400 shares sold and timely reported in the previous Form 4 filing). Read SEC document |
| March 17, 2023 Filed Mar 22, 2023 00:30 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 266,000 | $1.84 | $489,440.00 |
DisclosureSEC source: 0000899243-23-009370 · doc4.xml · nonDerivative · entry 1 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 902,907 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.75 to $1.93, inclusive. The reporting person undertakes to provide to BigBear.ai Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 16, 2023 Filed Mar 17, 2023 23:17 UTC | BigBear.ai Holdings, Inc. BBAI · Entity 4725 | SaleCommon Stock | 33,400 | $1.71 | $57,114.00 |
DisclosureSEC source: 0000899243-23-008985 · doc4.xml · nonDerivative · entry 2 Dinu Raluca · CIK 0001430575 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,135,507 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.70 to $1.73, inclusive. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.