0001105806-19-000027.txt : 20191114
0001105806-19-000027.hdr.sgml : 20191114
20191113205442
ACCESSION NUMBER: 0001105806-19-000027
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20191114
DATE AS OF CHANGE: 20191113
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: GIGA TRONICS INC
CENTRAL INDEX KEY: 0000719274
STANDARD INDUSTRIAL CLASSIFICATION: INSTRUMENTS FOR MEAS & TESTING OF ELECTRICITY & ELEC SIGNALS [3825]
IRS NUMBER: 942656341
STATE OF INCORPORATION: CA
FISCAL YEAR END: 0328
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-35652
FILM NUMBER: 191215988
BUSINESS ADDRESS:
STREET 1: 5990 GLEASON DR
CITY: DUBLIN
STATE: CA
ZIP: 94568
BUSINESS PHONE: 9253294650
MAIL ADDRESS:
STREET 1: 5990 GLEASON DR
CITY: DUBLIN
STATE: CA
ZIP: 94568
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: LYTTON LAURENCE W
CENTRAL INDEX KEY: 0001105806
FILING VALUES:
FORM TYPE: SC 13G
MAIL ADDRESS:
STREET 1: 467 CPW
CITY: NY
STATE: NY
ZIP: 10025
SC 13G
1
giga.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
GIGA-TRONICS INCORPORATED
(Name of Issuer)
Common Stock
(Title of Class of Securities)
375175106
(CUSIP Number)
November 6, 2019
(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)
[X] Rule 13d-1(c)
[ ] 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.
1. Names of Reporting Persons.
Laurence W. Lytton
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 USA
Number of shares Beneficially Owned By
Each Reporting Person With
5. Sole Voting Power 3,680,000
6. Shared Voting Power 0
7. Sole Dispositive Power 3,680,000
8. Shared Dispositive Power 0
9. Aggregate Amount Beneficially Owned by Each Reporting Person 3,680,000
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
11. Percent of Class Represented by Amount in Row (9) 9.5%
Based on 38,624,750 shares of Common Stock outstanding as of November 8, 2019
as described in the Giga Tronics 10-Q filed November 11, 2019.
12. Type of Reporting Person (See Instructions)
IN
Item 1.
(a) Name of Issuer
GIGA-TRONICS INCORPORATED
(b) Address of Issuer's Principal Executive Offices
5990 Gleason Drive, Dublin CA 94568
Item 2.
(a) The names of the persons filing this statement are:
Laurence W. Lytton
(b) The principal business office of the Filers is located at:
467 Central Park West New York, NY 10025
(c) For citizenship of Filers, see Item 4 of the cover sheet for each Filer.
(d) This statement relates to shares of Common Stock of the Issuer.
(e) The CUSIP number of the Issuer is: 375175106
Item 3. If this statement is filed pursuant to rule 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ] Insurance company as defined in section 3(a)(19) of
the Act (15 U.S.C. 78c).
(d) [ ] Investment company registered under section 8 of the Investment Company
Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E).
(f) [ ] An employee benefit plan or endowment fund in accordance with
section 240.13d-1(b)(1)(ii)(F).
(g) [ ] A parent holding company or control person in accordance with
240.13d- 1(b)(1)(ii)(G)
(h) [ ] A savings association as defined in section 3(b) of the Federal Deposit
Insurance Act (12 U.S.C. 1813).
(i) [ ] A church plan that is excluded from the definition
of an investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a- 3).
(j) [ ] A non-U.S. institution in accordance with 240.13d-1(b)(ii)(J).
(k) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
If filing as a non-U.S. institution in accordance with
240.13d-1(b)(1)(ii)(J), please specify the type of institution .
Item 4. Ownership.
See Items 5-9 and 11 of the cover page. The percentage ownership report
in Item 11 is based on the issuer having 38,624,750 shares outstanding
as described in the Giga Tronics 10-Q filed November 11, 2019.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities, check the following [ ].
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.
By signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were not acquired and are not held for the purpose
of or with the effect of changing or influencing the control of the issuer of
the securities and were not acquired and are not held in connection with or
as a participant in any transaction having that purpose or effect.
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.
Dated: November 12, 2019
Laurence W. Lytton