Statement of Changes in Beneficial Ownership (4)

Date : 10/15/2019 @ 9:21PM
Source : Edgar (US Regulatory)
Stock : GigCapital Inc (GIG)
Quote : 11.15  0.0 (0.00%) @ 12:00AM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Katz Avi S
2. Issuer Name and Ticker or Trading Symbol

GigCapital, Inc. [ GIG.U ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    __X__ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
CEO, Pres, Exec Chairman
(Last)          (First)          (Middle)

C/O GIGCAPITAL, INC., 2479 E. BAYSHORE RD., SUITE 200
3. Date of Earliest Transaction (MM/DD/YYYY)

10/11/2019
(Street)

PALO ALTO, CA 94303
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock  10/11/2019    J(1)    91347  D  (1) 2321660  I  By GigAcquisitions, LLC (see note below) (2)
Common Stock  10/11/2019    J(1)    69352  A  (1) 676408  I  By GigFounders, LLC (see note below) (3)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
(1)  As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on October 15, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC.
(2)  The Common Stock is held directly by GigAcquisitions, LLC (the "Sponsor"). The Common Stock held by the Sponsor is beneficially owned by Dr. Avi S. Katz, GigCapital, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor.
(3)  The Common Stock is held directly by GigFounders, LLC ("GigFounders"). The Common Stock held by GigFounders is beneficially owned by Dr. Avi S. Katz. Dr. Katz is also the Managing Member of GigFounders, who has sole voting and dispositive power over all securities held by GigFounders.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Katz Avi S
C/O GIGCAPITAL, INC.
2479 E. BAYSHORE RD., SUITE 200
PALO ALTO, CA 94303
X X CEO, Pres, Exec Chairman
GigAcquisitions, LLC
C/O GIGCAPITAL, INC.
2479 E. BAYSHORE RD., SUITE 200
PALO ALTO, CA 94303

X


Signatures
/s/ Avi S. Katz, individually 10/15/2019
**Signature of Reporting Person Date

Avi S. Katz, as Manager of GigAcquisitions, LLC 10/15/2019
**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 4(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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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