Gresham Worldwide (GIGAQ) Form 3 GIGA TRONICS / Thomas E Vickers ownership change

SEC Form 3

FORM 3

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

INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person^*

Vickers Thomas E

(Last) (First) (Middle)

PO BOX 1715

(Street)

BOCA RATON FL 33429

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/24/2020

3. Issuer Name and Ticker or Trading Symbol
GIGA TRONICS INC [ GIGA ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	15,497	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Series B Convertible Voting Perpetual Preferred Shares	08/27/2020	(1)	Common Stock	2,114	(1)	D
Series C Convertible Voting Perpetual Preferred Shares	08/27/2020	(1)	Common Stock	787	(1)	D
Series D Convertible Voting Perpetual Preferred Shares	08/27/2020	(1)	Common Stock	1,174	(1)	D

Explanation of Responses:

1. On August 27, 2020, the Reporting Person acquired 2,163 shares of Common Stock, 317 Series B Convertible Voting Perpetual Preferred Shares of the Issuer, 118 Series C Convertible Voting Perpetual Preferred Shares of the Issuer and 176 Series D Convertible Voting Perpetual Preferred Shares of the Issuer. Each share of preferred stock is convertible at any time upon request into shares of common stock on a 1:6.67 basis. Such preferred stock has no expiration date.

	/s/ Thomas E Vickers	09/30/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
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