-----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, F7WRAO3agQ8kegtBevGCSWLxdLvl4GIL+hnvFzcafmckD1wq4stO+uHCOweNlshJ S3EEOEcNyc6fJOe2vAiHeA== 0001012870-03-000773.txt : 20030214 0001012870-03-000773.hdr.sgml : 20030214 20030214164936 ACCESSION NUMBER: 0001012870-03-000773 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030214 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 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: 1934 Act SEC FILE NUMBER: 005-37977 FILM NUMBER: 03568342 BUSINESS ADDRESS: STREET 1: 1221 CALIFORNIA CIRCLE CITY: MILPITAS STATE: CA ZIP: 95035 BUSINESS PHONE: 4082629003 MAIL ADDRESS: STREET 1: 1221 CALIFORNIA CIRCLE CITY: MILPITAS STATE: CA ZIP: 95035 SC 13G/A 1 dsc13ga.htm FORM SC13G/AMENDMENT NO.15 Form SC13G/Amendment No.15

 

13G/A

 

Page 1 of 4

 


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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No. 15)*

 

 

 

 

Sigma Designs, Inc.


(Name of Issuer)

 

 

Common Stock


(Title of Class of Securities)

 

 

82656 10 3


                                (CUSIP Number)                                

 

 

December 31, 2002


(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)

 


 

Schedule 13 G/A

 

Page 2 of 5

 

CUSIP No. 82656 10 3

 


  1.


 

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only).

 

Thinh Q. Tran            

   

  2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)   ¨

(b)   ¨

   

  3.


 

SEC Use Only

 

   

  4.


 

Citizenship or Place of Organization

 

United States of America            

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5.    Sole Voting Power

 

        1,472,006**        


  6.    Shared Voting Power

 

        -0-        


  7.    Sole Dispositive Power

 

        1,472,006**        


  8.    Shared Dispositive Power

 

        -0-        


  9.


 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

1,472,006**            

   

10.


 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨

   

11.


 

Percent of Class Represented by Amount in Row (9)

 

8.16%            

   

12.


 

Type of Reporting Person (See Instructions)

 

IN            

   

 

**Includes 1,015,713 shares underlying stock options exercisable within 60 days of December 31, 2002.


 

Schedule 13G/A

  

Page 3 of 5

 

Item 1.

 

  (a)   Name of Issuer

 

Sigma Designs, Inc.

 

  (b)   Address of Issuer’s Principal Executive Offices

 

1221 California Circle

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.

1221 California Circle

Milpitas, CA 95035

 

  (c)   Citizenship

 

United States of America

 

  (d)   Title of Class of Securities

 

Common Stock

 

  (e)   CUSIP Number

 

82656 10 3

 

Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

Not Applicable

 

Item 4. Ownership

 

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

  (a)   Amount beneficially owed: 1,472,006**

 

  (b)   Percent of class: 8.16%

 

  (c)   Number of shares as to which the person has:

 

  (i)   Sole power to vote or to direct the vote 1,472,006**

 

  (ii)   Shared power to vote or to direct the vote -0-

 

  (iii)   Sole power to dispose or to direct the disposition of 1,472,006**

 

  (iv)   Shared power to dispose or to direct the disposition of -0-

 

**Includes 1,015,713 shares underlying stock options exercisable within 60 days of December 31, 2002.

 

Item 5. Ownership of Five Percent or Less of a Class

 

Not Applicable

 


 

Schedule 13G/A

  

Page 4 of 5

 

 

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

Item 9.

  

Notice of Dissolution of Group

    

Not Applicable

Item 10.

  

Certification

    

Not Applicable

 

 

 

 

 

 

 

 

 

 


 

Schedule 13G/A

 

Page 5 of 5

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

2/14/03


Date

/s/ Thinh Q. Tran


Signature

Thinh Q. Tran


Name/Title

 

 

 

 

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