UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 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): September 15, 2022 |
Giga-tronics Incorporated
(Exact name of Registrant as Specified in Its Charter)
California | 001-14605 | 94-2656341 | ||
(State or Other Jurisdiction | (Commission File Number) | (IRS Employer | ||
|
|
|
|
|
7272 E. Indian School Rd, Suite 540 |
| |||
Scottsdale, Arizona |
| 85251 | ||
(Address of Principal Executive Offices) |
| (Zip Code) |
Registrant’s Telephone Number, Including Area Code: (833) 457 6667 |
|
5990 Gleason Drive |
Dublin, California 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:
Securities registered pursuant to Section 12(b) of the Act:
|
| Trading |
|
|
Common Stock, No par value |
| GIGA |
| OTCQB Market |
Preferred Share Purchase Rights |
| 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 ☐
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 |