-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GcgL2POp6QyZzArnEiD8NgHNGMahB/U5tk52ZDVj4wKfxRmhgURfV5KCybDMqVtO fYQm2oD2rVOFoX60uVTiBg== 0001012870-00-000701.txt : 20000215 0001012870-00-000701.hdr.sgml : 20000215 ACCESSION NUMBER: 0001012870-00-000701 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SIGMA DESIGNS INC CENTRAL INDEX KEY: 0000790715 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577] IRS NUMBER: 942848099 STATE OF INCORPORATION: CA FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-37977 FILM NUMBER: 540369 BUSINESS ADDRESS: STREET 1: 355 FAIRVIEW WAY CITY: MILPITA STATE: CA ZIP: 95035-3024 BUSINESS PHONE: 4082629003 MAIL ADDRESS: STREET 1: 355 FAIRVIEW WAY CITY: MILPITA STATE: CA ZIP: 95035-3024 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRAN THINH Q CENTRAL INDEX KEY: 0000903902 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: SIGMA DESIGNS INC STREET 2: 46501 LANDING PARKWAY CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5107700100 SC 13G/A 1 AMENDMENT NO. 12 TO SCHEDULE 13G ---------------------------- OMB APPROVAL ---------------------------- OMB Number: 3235-0145 Expires: August 31, 1999 Estimated average burden Hours per response...14.90 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 12)* Sigma Designs, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 82656 10 3 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 1999 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [_] Rule 13d-1(c) [X] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Potential persons who are to 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. Page 1 of 4 pages CUSIP NO. 82656 10 3 - ------------------------------------------------------------------------------ NAME OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Thinh Q. Tran - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 UNITED STATES OF AMERICA - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 1,120,381** SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 -0- OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 1,120,381** PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 -0- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,120,381** - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 7% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ ** Includes 671,290 shares underlying stock options exercisable within 60 days of December 31, 1999. Page 2 of 4 pages Item 1. (a) Name of Issuer Sigma Designs, Inc. (b) Address of Issuer's Principal Executive Offices 355 Fairview Way Milpitas, CA 95035 Item 2. (a) Name of Person Filing Thinh Q. Tran (b) Address of Principal Business Office or, if none, Residence c/o Sigma Designs, Inc. 355 Fairview Way Milpitas, CA 95035 (c) Citizenship United States of America (d) Title of Class of Securities Common Stock (e) CUSIP Number Not Applicable Item 3. Not Applicable Item 4. Ownership (a) Amount of beneficially owed: 1,120,381** (b) Percent of class: 7% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote. 1,120,381** (ii) Shared power to vote or to direct the vote. -0- (iii) Sole power to dispose or to direct the disposition of 1,120,381** (iv) Shared power to dispose or to direct the disposition of -0- Item 5. Ownership of Five Percent or Less of a Class Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not Applicable Item 8. Identification and Classification of Members of the Group Not Applicable ** Includes 671,290 shares underlying stock options exercisable within 60 days of December 31, 1999. Page 3 of 4 pages Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification Not Applicable SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set in this statement is true, complete and correct. 2/14/2000 ------------------------------- Date /s/ Thinh Q. Tran ------------------------------- Signature Thinh Q. Tran, President and Chief Executive Officer ---------------------------------------------------- Name/Title Page 4 of 4 pages -----END PRIVACY-ENHANCED MESSAGE-----