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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Daniels T Barrett C/O GIGCAPITAL, INC. 2479 E. BAYSHORE RD., SUITE 200 PALO ALTO, CA 94303 |
Chief Financial Officer & VP |
/s/ T. Barrett Daniels | 07/03/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | As previously reported by GigCapital, Inc. (the "Company") in its Current Report on Form 8-K as filed with the Securities and Exchange Commission (the "SEC") on June 11, 2018, effective July 1, 2018 Mr. Daniels resigned as the Vice President and Chief Financial Officer of the Company. As previously disclosed by the Company in its Registration Statement on Form S-1 (Registration No. 333-221581) as declared effective by the SEC on December 7, 2017 (the "Registration Statement"), and the Insider Shares Agreement between the Company and Mr. Daniels filed as Exhibit 10.8 to the Registration Statement, as Mr. Daniels resigned prior to the Company completing its initial business combination, the 5,000 shares were automatically forfeited by Mr. Daniels for no consideration and immediately cancelled by the Company. |