SEC Info - Giga Tronics Inc. - ‘8-K’ for 9/15/22

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Giga Tronics Inc. – ‘8-K’ for 9/15/22

On: Friday, 9/16/22, at 4:03pm ET · For: 9/15/22 · Accession #: 950170-22-18606 · File #: 1-14605

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 9/16/22  Giga Tronics Inc.                 8-K:3       9/15/22   11:209K                                   Donnelley … Solutions/FA

Current Report — Form 8-K

Filing Table of Contents

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 6: R1          Document And Entity Information                     HTML     56K 
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 8: EXCEL       IDEA Workbook of Financial Reports                  XLSX      8K 
 3: EX-101.DEF  XBRL Definitions -- giga-20220915_def                XML     46K 
 2: EX-101.LAB  XBRL Labels -- giga-20220915_lab                     XML     56K 
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10: JSON        XBRL Instance as JSON Data -- MetaLinks               15±    22K 
11: ZIP         XBRL Zipped Folder -- 0000950170-22-018606-xbrl      Zip     16K

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

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8-K

i false i NONE i 0000719274 i GIGA TRONICS INC i NONE00007192742022-09-152022-09-150000719274us-gaap:PreferredStockMember2022-09-152022-09-150000719274dei:FormerAddressMember2022-09-152022-09-150000719274us-gaap:CommonStockMember2022-09-152022-09-15

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

FORM i 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): i September 15, 2022

Giga-tronics Incorporated

(Exact name of Registrant as Specified in Its Charter)


i California	i 001-14605	i 94-2656341
(State or Other Jurisdiction of Incorporation)	(Commission File Number)	(IRS Employer Identification No.)

i 7272 E. Indian School Rd, i Suite 540
i Scottsdale, i Arizona		i 85251
(Address of Principal Executive Offices)		(Zip Code)

Registrant’s Telephone Number, Including Area Code: i (833) i 457 6667

i 5990 Gleason Drive

i Dublin, i California i 94568

(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

i ☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

i ☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

i ☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

i ☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:


Title of each class	Trading Symbol(s)	Name of each exchange on which registered
i Common Stock, No par value	i GIGA	OTCQB Market
i Preferred Share Purchase Rights	i N/A	N/A

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company i ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 3.02 Unregistered Sales of Equity Securities.

On September 15, 2022, Giga-tronics Incorporated (the “Company”) issued an investor 229,268 shares of the Company’s common stock in connection with a cashless exercise of pre-funded warrants. The issuance of shares was exempt from registration pursuant to Section 4(a)(2) of the Securities Act of 1933 and Rule 506 of Regulation D promulgated thereunder.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.


			GIGA-TRONICS INCORPORATED

Date:	September 16, 2022	By:	/s/ *JONATHAN READ*
			Name: Jonathan Read Title: Chief Executive Officer

Dates Referenced Herein

This ‘8-K’ Filing	Date	Other Filings

Filed on:	9/16/22	None on these Dates
For Period end:	9/15/22
		List all Filings

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Filing Submission 0000950170-22-018606 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)