-----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, N7p61dS6MUyfd5fGyexe9rws6JAtOv0UHvcgUyZ0o5R87IcY/RExSZ8vbRkgZH+Q Z9AGAsy1Phjrh3Ah4q9WHQ== 0000790715-06-000024.txt : 20060818 0000790715-06-000024.hdr.sgml : 20060818 20060818170202 ACCESSION NUMBER: 0000790715-06-000024 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060817 FILED AS OF DATE: 20060818 DATE AS OF CHANGE: 20060818 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRAN THINH Q CENTRAL INDEX KEY: 0000903902 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32207 FILM NUMBER: 061044161 BUSINESS ADDRESS: STREET 1: SIGMA DESIGNS INC STREET 2: 46501 LANDING PARKWAY CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5107700100 ISSUER: 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 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2006-08-17 0 0000790715 SIGMA DESIGNS INC sigm 0000903902 TRAN THINH Q 1221 CALIFORNIA CIRCLE MILPITAS CA 95035 1 1 0 0 President & CEO Common Stock 2006-08-18 4 S 0 40000 11 D 160000 D Common Stock 2006-08-17 4 M 0 40000 2.31 A 200000 D Employee Stock Option (Right to Buy) 2.31 2006-08-17 4 M 0 40000 2.31 D 1998-04-22 2007-04-22 Common Stock 40000 1200001 D The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 23, 2005. 213,293 shares are held by Thinh Q Tran & Hanh Nguyen Tran UA Apr. 12 89 Tran Family Trust. Pursuant to 16a-1 (a)(4), reporting person disclaims beneficial ownership of these shares held by his family trust, except to the extent of his direct pecuniary interest therein. There are also 38,000 shares held by four irrevocable trusts (9,500 shares each), which named the reporting person's children as beneficiaries and sister as a trustee. Persuant to 16a-1 (a)(4), reporting person disclaims beneficial ownership of 38,000 shares held by these irrevocable trusts. /s/Thinh Tran 2006-08-18 -----END PRIVACY-ENHANCED MESSAGE-----