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As Of Filer Filing For·On·As Docs:Size Issuer Agent 5/26/15 Harvey Ken A 144 Director 1:67K Giga Tronics Inc RDG Filings/FA |
Document/Exhibit Description Pages Size 1: 144 Notice of Proposed Sale of Securities HTML 43K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
ATTENTION: |
Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker |
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1 (a) NAME OF ISSUER (Please type or print)
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(b) IRS IDENT. NO. |
(c) S.E.C. FILE NO. |
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Giga-tronics, Inc. |
94-2656341 |
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1 (d) ADDRESS OF ISSUER |
STREET |
CITY |
STATE |
ZIP CODE |
(e) TELEPHONE NO. | |||||||||
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AREA CODE |
NUMBER | ||||||||
4650 Norris Canyon Road, San Ramon CA, 94583 |
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(925) 328-4650 |
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2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD |
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(b) RELATIONSHIP TO ISSUER |
(c) ADDRESS STREET |
CITY |
STATE |
ZIP CODE | ||||||||
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Director |
4650 Norris Canyon Road, San Ramon CA, 94583 |
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3 (a) |
(b) |
SEC USE ONLY |
(c) |
(d) |
(e) |
(f) |
(g) |
Title of the Class of Securities To Be Sold |
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities |
Broker-Dealer File Number |
Number of Shares or Other Units To Be Sold (See instr. 3(c)) |
Aggregate Market Value (See instr. 3(d)) |
Number of Shares or Other Units Outstanding (See instr. 3(e)) |
Approximate Date of Sale (See instr. 3(f)) (MO. DAY YR.) |
Name of Each Securities Exchange (See instr. 3(g)) |
Common Stock |
TD Ameritrade 200 S 108th Ave |
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22,100 |
$48,178 |
6,224,065 |
05.26.15 |
Nasdaq Capital Market |
Common Stock |
Ameriprise Financial Services, Inc. |
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6,454 |
$14,069 |
6,224,065 |
05.26.15 |
Nasdaq Capital Market |
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INSTRUCTIONS:
TABLE I - SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
INSTRUCTIONS: If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Name and Address of Seller |
Title of Securities Sold |
Date of Sale |
Amount of Securities Sold |
Gross Proceeds |
None |
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REMARKS:
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)