SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Katz Avi S

(Last) (First) (Middle)
C/O GIGCAPITAL, INC.
2479 E. BAYSHORE RD., SUITE 200

(Street)
PALO ALTO CA 94303

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GigCapital, Inc. [ GIG.U ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
CEO, Pres, Exec Chairman
3. Date of Earliest Transaction (Month/Day/Year)
08/09/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/09/2019 J(1) 799,600 D (1) 2,413,007 I By GigAcquisitions, LLC (see note below)(2)
Common Stock 08/09/2019 J(1) 607,056 A (1) 607,056 I By GigFounders, LLC (see note below)(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
Katz Avi S

(Last) (First) (Middle)
C/O GIGCAPITAL, INC.
2479 E. BAYSHORE RD., SUITE 200

(Street)
PALO ALTO CA 94303

(City) (State) (Zip)
1. Name and Address of Reporting Person*
GigAcquisitions, LLC

(Last) (First) (Middle)
C/O GIGCAPITAL, INC.
2479 E. BAYSHORE RD., SUITE 200

(Street)
PALO ALTO CA 94303

(City) (State) (Zip)
Explanation of Responses:
1. As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on August 12, 2019 (the "Form 8-K"), in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by GigAcquisitions, LLC were transferred to the three other Founders (as defined in the Form 8-K), GigFounders, LLC, and certain other members of GigAcquisitions, LLC.
2. The Common Stock is held directly by GigAcquisitions, LLC (the "Sponsor"). The Common Stock held by the Sponsor is beneficially owned by Dr. Avi S. Katz, GigCapital, Inc.'s Chief Executive Officer, President, Executive Chairman of the Board of Directors, and Secretary. Dr. Katz is also the Manager of the Sponsor, who has sole voting and dispositive power over all securities held by the Sponsor.
3. The Common Stock is held directly by GigFounders, LLC ("GigFounders"). The Common Stock held by GigFounders is beneficially owned by Dr. Avi S. Katz. Dr. Katz is also the Managing Member of GigFounders, who has sole voting and dispositive power over all securities held by GigFounders.
Remarks:
/s/ Avi S. Katz, individually 08/12/2019
Avi S. Katz, as Manager of GigAcquisitions, LLC 08/12/2019
** 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 4 (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).
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