UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
______________________
FORM 10-K /A
(Amendment No. 1)
| [ X ] | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
| | For the fiscal year ended March 29, 2008 , |
or
| [ ] | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
| | For the transition period from ____________ to ____________. |
| | Commission File No. 0-12719 |
| GIGA-TRONICS INCORPORATED |
| (Exact name of registrant as specified in its charter) |
| California | | 94-2656341 |
| (State or other jurisdiction of incorporation or organization) | | (I.R.S. Employer Identification No.) |
| | | |
| 4650 Norris Canyon Road, San Ramon, CA | | 94583 |
| (Address of principal executive offices) | | (Zip Code) |
| | Registrant’s telephone number, including area code: (925) 328-4650 |
| | Securities registered pursuant to Section 12(b) of the Act: |
| Title of each class | | Name of each exchange on which registered |
| Common Stock, No par value | | The NASDAQ Stock Market LLC |
Securities registered pursuant to Section 12(g) of the Act: None.
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.
Yes [ ] No [ X ]
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act.
Yes [ ] No [ X ]
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days:
Yes [ X ] No [ ]
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.
[ X ]
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):
| Large accelerated filer | [ ] | | Accelerated filer | [ ] |
| | | | | |
| Non-accelerated filer | [ ] | | Smaller reporting company | [ X ] |
| (Do not check if a smaller reporting company) | | | |
Indicate by check mark whether the registrant is a shell company (as defined in Exchange Act Rule 12b-2).
Yes [ ] No [ X ]
The aggregate market value of voting and non-voting common equity held by non-affiliates of the Registrant computed by reference to the price at which the common equity was sold or the average bid and asked prices as of September 28, 2007 was $9,058,171.
There were a total of 4,824,021 shares of the Registrant’s Common Stock outstanding as of June 11, 2008.
EXPLANATORY NOTE
This abbreviated amendment on Form 10-K/A contains only the cover page, this Explanatory Note, the Signature Page and Exhibits 31.1 and 31.2. This amendment is being filed solely to correct the deficiency in Exhibit 31.1 and 31.2, both of which inadvertently omitted certain language required to be included in paragraph 4.
This Form 10-K/A is limited in scope to the foregoing, and should be read in conjunction with the original Form 10-K and our other filings with the SEC. Except as described above, we have not modified or updated other disclosures or information presented in the original Form 10-K.
SIGNATURES
In accordance with the requirements of Section 13 or 15(d) of the Securities Exchange Act, the Registrant caused this Amendment No. 1 on Form 10-K/A to be signed on its behalf by the undersigned, thereunto duly authorized.
| | GIGA-TRONICS INCORPORATED |
| | |
| | /s/ JOHN R. REGAZZI |
| | Chief Executive Officer |
In accordance with the requirements of the Securities Exchange Act, this Amendment No. 1 on Form 10-K/A has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.
| /s/ GARRETT A. GARRETTSON | | Chairman of the Board | | 1/09/2009 |
| Garrett A. Garrettson | | of Directors | | Date |
| | | | | |
| /s/ JOHN R. REGAZZI | | Chief Executive Officer | | 1/08/2009 |
| John R. Regazzi | | (Principal Executive Officer) | | Date |
| | | and Director | | |
| | | | | |
| /s/ PATRICK J. LAWLOR | | Vice President, Finance/ | | 1/08/2009 |
| Patrick J. Lawlor | | Chief Financial Officer & Secretary | | Date |
| | | (Principal Financial Officer) | | |
| | | | | |
| /s/ GEORGE H. BRUNS, JR. | | Director | | 1/08/2009 |
| George H. Bruns, Jr. | | | | Date |
| | | | | |
| /s/ JAMES A. COLE | | Director | | 1/08/2009 |
| James A. Cole | | | | Date |
| | | | | |
| /s/ KENNETH A. HARVEY | | Director | | 1/09/2009 |
| Kenneth A. Harvey | | | | Date |
| | | | | |
| /s/ ROBERT C. WILSON | | Director | | 1/20/2009 |
| Robert C. Wilson | | | | Date |
