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*
WIT CORNELIS F

(Last) (First) (Middle)
2101 WEST COMMERCIAL BLVD
SUITE 3500

(Street)
FORT LAUDERDALE FL 33309

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
08/27/2020
3. Issuer Name and Ticker or Trading Symbol
GIGA TRONICS INC [ GIGA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 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 309,561 I By self as Trustee for the Cornelis F. Wit Revocable Trust
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 54,873 (1) I By self as Trustee for the Cornelis F. Wit Revocable Trust
Series C Convertible Voting Perpetual Preferred Shares 08/27/2020 (1) Common Stock 20,473 (1) I By self as Trustee for the Cornelis F. Wit Revocable Trust
Series D Convertible Voting Perpetual Preferred Shares 08/27/2020 (1) Common Stock 30,553 (1) I By self as Trustee for the Cornelis F. Wit Revocable Trust
Explanation of Responses:
1. On August 27, 2020, the Reporting Person acquired 56,227 shares of Common Stock, 8,231 Series B Convertible Voting Perpetual Preferred Shares of the Issuer, 3,071 Series C Convertible Voting Perpetual Preferred Shares of the Issuer and 4,583 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/ Cornelis F. Wit 09/01/2020
** 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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