Form D · Other
GIGA TRONICS INC
Scottsdale, AZ · CIK 0000719274
Offering snapshot reported Jan 24, 2023 · SEC filing
- Reported sold
- $3.3M Offering amount: $3.3M
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jan 11, 2023 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jan 24, 2023 | Initial | $3,300,000 | No comparison | 2 | SEC filing |
| Apr 30, 2021 | Initial | $1,500,000 | No comparison | Not reported | SEC filing |
| Mar 19, 2020 | Initial | $550,000 | No comparison | 2 | SEC filing |
| Dec 9, 2019 | Initial | $3,362,390 | No comparison | 38 | SEC filing |
| Jan 18, 2019 | Amendment | $2,010,000 | $633,000vs Apr 25, 2018 | 41 | SEC filing |
| Apr 25, 2018 | Initial | $1,377,000 | No comparison | 14 | SEC filing |
| May 12, 2017 | Initial | $205,000 | No comparison | 1 | SEC filing |
| Feb 10, 2016 | Initial | $3,467,415 | No comparison | 18 | SEC filing |
| Feb 27, 2015 | Amendment | $1,570,634 | $279,305vs Feb 20, 2015 | 1 | SEC filing |
| Feb 20, 2015 | Initial | $1,291,329 | No comparison | 1 | SEC filing |
| Mar 4, 2013 | Initial | $500,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Debt, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $240K
- Finders' fees
- $0
- Form D file number
- 021-471646
Placement Agent received a cash commission in the amount of 8% of the gross proceeds and five-year warrants to purchase 1,200,000 shares of common stock.
Placement Agent received a cash commission in the amount of 8% of the gross proceeds.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Spartan Capital Securities, LLC | 146251 |
Source: Form D, filed Jan 24, 2023. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Gordon L. Almquist | Director |
| Jeffrey Bentz | Director |
| James A. Cole | Director |
| Mark A. Elo | Executive |
| Garrett A. Garrettson | Director |
| Kenneth A. Harvey | Director |
| Lutz Henckels | Executive |
| William Horne | Director |
| Steven D. Lance | Executive |
| Timothy Long | Executive |
| Jeffrey T. Lum | Executive |
| Temi Oduozor | Executive |
| Michael R. Penta | Executive |
| Jonathan Read | Director, Executive |
| John Regazzi | Director |
| Robert Smith | Director |
| William Thompson | Director |
| Thomas Vickers | Director |
| Jaime R. Weston | Director |
| Jamie R. Weston | Director |
Issuer details
Industry: Other (See others in industry)
Address:
7272 E. Indian School Rd. Suite 540
Scottsdale, AZ, 85251
Scottsdale, AZ, 85251