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GIGA TRONICS INC (GIGA)
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Create: Alert |
All | News | Filings
| Date Filed | Type | Description |
| 08/14/2023 |
10-Q
| Quarterly Report for the period ended June 30, 2023 |
| 07/31/2023 |
S-1/A
| Form S-1/A - General form for registration of securities under the Securities Act of 1933: [Amend] |
| 07/06/2023 |
10-Q
| Quarterly Report for the period ended March 31, 2023 |
| 05/11/2023 |
10-K
| Annual Report for the period ended December 31, 2022 |
| 04/03/2023 |
8-K
| Results of Operations and Financial Condition, Financial Statements and Exhibits Interactive Data |
| 04/03/2023 |
NT 10-K
| Form NT 10-K - Notification of inability to timely file Form 10-K 405, 10-K, 10-KSB 405, 10-KSB, 10-KT, or 10-KT405: |
| 02/14/2023 |
SC 13G/A
| AWM Investment Company, Inc. reports a 4% stake in Giga-tronics Incorporated |
| 02/13/2023 |
S-1
| Form S-1 - General form for registration of securities under the Securities Act of 1933: |
| 02/13/2023 |
SC 13G/A
| Form SC 13G/A - Statement of acquisition of beneficial ownership by individuals: [Amend] |
| 01/24/2023 |
D
| Form D - Notice of Exempt Offering of Securities: |
| 01/11/2023 |
8-K
| Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance S...|
Docs:
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"NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR AN OPINION OF COUNSEL TO THE HOLDER , IN A FORM REASONABLY ACCEPTABLE TO THE COMPANY, THAT REGISTRATION IS NOT REQUIRED UNDER SAID ACT OR UNLESS SOLD OR ELIGIBLE TO BE SOLD PURSUANT TO RULE 144 OR RULE 144A UNDER SAID ACT. NOTWITHSTANDING THE FOREGOING, THE SECURITIES MAY BE PLEDGED IN CONNECTION WITH A BONA FIDE MARGIN ACCOUNT OR OTHER LOAN OR FINANCING ...",
"“Subject Entity” means any Person, Persons or Group or any Affiliate or associate of any such Person, Persons or Group. “Successor Entity” means the Person formed by, resulting from or surviving any Fundamental Transaction or the Person with which such Fundamental Transaction shall have been entered into. “Trading Day” means, as applicable, with respect to all price or trading volume determinations relating to the Common Shares, any day on which the Common Shares is traded on the Principal Market, or, if the Principal Market is not the principal trading market for the Common Shares, then on the principal securities exchange or securities market on which the Common Shares is then traded, provided that “Trading Day” shall not include an...",
"REGISTER; TRANSFER AGENT INSTRUCTIONS; LEGEND. Register. The Company shall maintain at its principal executive offices , a register for the Notes and the Warrants in which the Company shall record the name and address of the Person in whose name the Notes and the Warrants have been issued , the principal amount of the Notes held by such Person, the number of Conversion Shares issuable pursuant to the terms of the Notes and the number of Warrant Shares issuable upon exercise of the Warrants held by such Person. The Company shall keep the register open and available at all times during business hours for inspection of any Buyer or its legal representatives. 37 Transfer Agent Instructions. The Company shall issue irrevocable instructions to its transfer agent and any subsequent transfer agent...",
"SECURITY AGREEMENT This Security Agreement , dated as of January 10, 2023, by and between Giga-tronics Incorporated, a company organized under the laws of the state of California and ______________ . RECITALS WHEREAS, pursuant to that certain Securities Purchase Agreement dated as of the date hereof, by and among Grantor and Secured Party , Grantor agreed to issue and Secured Party agreed to purchase a new series of senior convertible notes of Grantor in the aggregate original principal amount of $3,333,333 ; WHEREAS, as a condition to its agreement to purchase the Notes, in order to secure repayment of the amounts due under the Notes and fulfillment of all obligations of Grantor thereunder , Secured Party is requiring and Grantor has agreed to pledge its interest in the Collateral to Secu...",
"SUBORDINATION AGREEMENT THIS SUBORDINATION AGREEMENT , dated as of January 6, 2023, is made and given by AULT ALLIANCE, Inc., a Delaware corporation formerly known as BitNile Holdings, Inc. , in favor of __________________ . A. Giga-tronics Incorporated, a company organized under the laws of the state of California , is indebted or may become indebted to Junior Creditor on account of loans or other financial accommodations extended by Junior Creditor to Borrower pursuant to that certain Senior Secured Convertible Promissory Note due December 31, 2024 in the principal face amount of $4,382,740 dated December 31, 2022, that certain 10% Senior Secured Convertible Promissory Note due December 31, 2024 in the principal face amount of $6,750,000 dated December 31, 2022which were issued in the Au...",
"REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT , dated as of January 10, 2023, is by and among Giga-tronics Incorporated, a company organized under the laws of the state of California with offices located at 7272 E. Indian School Road, Suite 540, Scottsdale, Arizona 85251 , and the undersigned buyers . RECITALS A. In connection with the Securities Purchase Agreement by and among the parties hereto, dated as of January 6, 2023 , the Company has agreed, upon the terms and subject to the conditions of the Securities Purchase Agreement, to issue and sell to each Buyer the Notes which will be convertible into Conversion Shares in accordance with the terms of the Notes and the Warrants which will be exercisable to purchase Warrant Shares in accordance with the terms of the Warr..." |
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| 01/06/2023 |
8-K
| Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance S... |
| 11/25/2022 |
8-K
| Quarterly results |
| 11/23/2022 |
10-Q
| Quarterly Report for the period ended September 30, 2022 |
| 11/18/2022 |
8-K
| Quarterly results |
| 11/15/2022 |
NT 10-Q
| Form NT 10-Q - Notification of inability to timely file Form 10-Q or 10-QSB: |
| 10/26/2022 |
8-K
| Quarterly results |
| 10/18/2022 |
8-K
| Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits Interactive Data |
| 09/27/2022 |
8-K
| Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year Interactive Data |
| 09/20/2022 |
4
| BitNile Holdings, Inc. (10% Owner) has filed a Form 4 on GIGA TRONICS INC|
Txns:
| Bought 100 shares
@ $1.2645, valued at
$126.5 |
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| 09/19/2022 |
3
| Bentz Jeffrey Allen (Director) has filed a Form 3 on GIGA TRONICS INC |
| 09/19/2022 |
3
| Horne William B. (Director) has filed a Form 3 on GIGA TRONICS INC |
| 09/19/2022 |
3
| SMITH ROBERT O (Director) has filed a Form 3 on GIGA TRONICS INC |
| 09/19/2022 |
SC 13D
| BitNile Holdings, Inc. reports a 69.7% stake in Giga-tronics Incorporated |
| 09/16/2022 |
8-K
| Unregistered Sales of Equity Securities Interactive Data |
| 09/14/2022 |
8-K
| Entry into a Material Definitive Agreement, Completion of Acquisition or Disposition of Assets, Creation of a Direct Financia...|
Docs:
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"NOTICE OF CONVERSION The undersigned hereby elects to convert principal under the Senior Secured Convertible Promissory Note, due February 14, 2023 of Giga-tronics Incorporated, a California corporation , into shares of common stock of the Company , according to the conditions hereof, as of the date written below. If shares of Common Stock are to be issued in the name of a person other than the undersigned, the undersigned will pay all transfer taxes payable with respect thereto and is delivering herewith such certificates and opinions as reasonably requested by the Company in accordance therewith. No fee will be charged to the holder for any conversion, except for such transfer taxes, if any. By the delivery of this Notice of Conversion, the undersigned represents and warrants to the Comp...",
"SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement is dated as of September 8, 2022 by and between Giga-tronics Incorporated, a California corporation , and the purchaser identified on the Purchaser signature page hereto . WHEREAS, the Company desires to issue and sell to the Purchaser, and the Purchaser desires to purchase from the Company, the Note as set forth herein; and WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to Section 4 of the Securities Act of 1933, as amended , and/or Rule 506 promulgated thereunder, the Company will sell and issue to the Purchaser the Note and the Conversion Shares without registration. NOW, THEREFORE, IN CONSIDERATION of the mutual covenants contained in this Agreement, and for other good and valuable c...",
"W I T N E S S E T H: WHEREAS, pursuant to that certain Securities Purchase Agreement, dated as of even date herewith, by and among the Company and the purchasers signatory thereto , the Secured Lender has agreed to fund the Company with respect to the issuance of that certain Senior Secured Convertible Note due on the Maturity Date set forth therein, issued by the Company to the Secured Lender ; and together with the Note, any other securities that may be issued from time-to-time . WHEREAS, in order to induce the Secured Lender to fund the Company, each Debtor has agreed to execute and deliver to the Secured Lender this Agreement and to grant the Secured Lender a security interest in certain property of such Debtor to secure the prompt payment, performance and discharge in full of all of t...",
"1. Definitions. Capitalized terms used and not otherwise defined herein that are defined in the Purchase Agreement shall have the meanings given such terms in the Purchase Agreement. As used in this Agreement, the following terms shall have the following meanings: “Advice” shall have the meaning set forth in Section 6. “Conversion Date” means the earlier of the date that the Purchaser voluntarily elects to convert the Note pursuant to its Section 4, or the Note is converted pursuant to its Section 4 but only is such conversion occurs upon the closing of a Non-Qualified Offering. “Effectiveness Date” means, with respect to the Initial Registration Statement required to be filed hereunder, the sixtieth calendar day following the Filing Date, provided...",
"GIGA-TRONICS INCORPORATED PREFERRED SHARE REPURCHASE AGREEMENT This Preferred Share Repurchase Agreement is entered into as of _____ __, 2022 by and between Giga-tronics Incorporated, a California corporation , and the holder of the Company’s preferred shares named on the signature page to this Agreement with respect to the following facts: A. Shareholder currently owns the shares of preferred stock of the Company listed on the signature page to this Agreement , which constitute all of the shares of preferred stock of the Company owned by Shareholder. B. The Company, BitNile Holdings, Inc., a Delaware corporation and Gresham Worldwide, Inc., Delaware corporation , have entered a Share Exchange Agreement, dated as of December 27, 2021, as amended providing, among other things, the Company w..." |
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| 09/12/2022 |
4
| BitNile Holdings, Inc. (10% Owner) has filed a Form 4 on GIGA TRONICS INC|
Txns:
| Acquired 2,920,085 shares
@ $0
Sold 300 shares
@ $1.7733, valued at
$532
Acquired 515 convertible preferred
@ $0
Acquired 4,250,000 options to buy
@ $4250000, valued at
$18062500M
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| 09/12/2022 |
3
| BitNile Holdings, Inc. (10% Owner) has filed a Form 3 on GIGA TRONICS INC |
| 09/12/2022 |
4
| Long Timothy (COO) has filed a Form 4 on GIGA TRONICS INC|
Txns:
| Granted 99,950 shares
@ $0
Granted 199,900 options to buy
@ $2.93, valued at
$585.7k
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| 09/12/2022 |
3
| Long Timothy (COO) has filed a Form 3 on GIGA TRONICS INC |
| 09/12/2022 |
4
| READ JONATHAN R (CEO) has filed a Form 4 on GIGA TRONICS INC|
Txns:
| Granted 149,925 shares
@ $0
Granted 299,851 options to buy
@ $2.93, valued at
$878.6k
|
|
| 09/12/2022 |
3
| READ JONATHAN R (CEO) has filed a Form 3 on GIGA TRONICS INC |
| 09/12/2022 |
4
| WIT CORNELIS F (10% Owner) has filed a Form 4 on GIGA TRONICS INC|
Txns:
| Disposed/sold 8,231 options to buy
@ $231, valued at
$1.9M
Disposed/sold 3,071 options to buy
@ $146, valued at
$448.3k
Disposed/sold 4,583 options to buy
@ $143, valued at
$655.3k
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| 09/12/2022 |
4
| Vickers Thomas E (Director) has filed a Form 4 on GIGA TRONICS INC|
Txns:
| Disposed/sold 317 options to buy
@ $231, valued at
$73.2k
Disposed/sold 118 options to buy
@ $146, valued at
$17.2k
Disposed/sold 176 options to buy
@ $143, valued at
$25.2k
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