0001209191-21-007577.txt : 20210203
0001209191-21-007577.hdr.sgml : 20210203
20210203203656
ACCESSION NUMBER: 0001209191-21-007577
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210201
FILED AS OF DATE: 20210203
DATE AS OF CHANGE: 20210203
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SIMS JAMES K
CENTRAL INDEX KEY: 0001208317
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37851
FILM NUMBER: 21588348
MAIL ADDRESS:
STREET 1: 5400 LEGACY DRIVE, H3-3A-05
CITY: PLANO
STATE: TX
ZIP: 75024
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AIRGAIN INC
CENTRAL INDEX KEY: 0001272842
STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663]
IRS NUMBER: 954523882
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3611 VALLEY CENTRE DRIVE
STREET 2: SUITE 150
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
BUSINESS PHONE: (760) 579-0200
MAIL ADDRESS:
STREET 1: 3611 VALLEY CENTRE DRIVE
STREET 2: SUITE 150
CITY: SAN DIEGO
STATE: CA
ZIP: 92130
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-02-01
0
0001272842
AIRGAIN INC
AIRG
0001208317
SIMS JAMES K
C/O AIRGAIN, INC.
3611 VALLEY CENTRE DRIVE, SUITE 150
SAN DIEGO
CA
92130
1
0
0
0
Common Stock
2021-02-01
4
A
0
2172
0.00
A
301399
D
Common Stock
7534
I
See footnotes
Stock Option (Right to Buy)
23.91
2021-02-01
4
A
0
4559
0.00
A
2031-01-31
Common Stock
4559
4559
D
Represents restricted stock units (RSU); each unit constituting a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest on February 1, 2022, subject to the Reporting Person's continued service with the Issuer through such vesting date. Vested shares will be delivered pursuant to the terms and conditions set forth in the applicable grant notice for such RSUs.
Includes (A) the 2,172 RSUs reported above and (B) an additional 15,244 RSUs previously issued to the Reporting Person by the Issuer, which vest in substantially equal installments on each of the March 1, 2021, March 1, 2022 and March 1, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.
Represents 7,529 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 5 shares of common stock held by Gen 3 Partners, Inc. ("Gen 3 Partners").
The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC") and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares of common stock held by GEN3 Capital. Mr. Sims may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in his capacity as a director of Gen 3 Partners. Mr. Sims disclaims such beneficial ownership to the extent of his pecuniary interest therein.
The option is exercisable as it vests. 100% of the shares subject to the option vest on February 1, 2022, subject to the Reporting Person's continued service with the Issuer through such vesting date.
/s/ James K. Sims
2021-02-03