IPO registrations (S-1, F-1) · Registrants
GRESHAM WORLDWIDE, INC.
- SEC CIK
- 719274 · filings on EDGAR ↗
- Name on the registration
- GIGA TRONICS INC
- Former names
- GIGA TRONICS INC (1995–2024)
- Registration
- Form S-1, first filed 2018-10-17, last 2023-08-01; 3 initial registrations, 4 amendments
- Outcome
- Final prospectus filed 2019-11-08; declared effective 2018-10-30; withdrawal requested 2024-05-08
- Industry (SIC)
- Instruments For Meas & Testing of Electricity & Elec Signals 3825
- Incorporated in
- CA
- Business address
- 5990 GLEASON DR, Dublin, CA 94568
- EIN
- 94-2656341
- EDGAR entity type
- operating
- Insiders and CEO pay
- GRESHAM WORLDWIDE, INC. on the corporate pages
Offering terms
- Final price
- $0.25 per share (424B4 filed 2019-11-08, an initial public offering)
- Shares sold
- 10,400,000
- Gross proceeds
- $2,600,000 before underwriting discounts and any over-allotment option
- Listing
- OTCQB under the symbol GIGA
- Lead underwriters
- Roth Capital Partners (10,400,000 shares)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Form 5500 plan sponsor: GIGA-TRONICS, INCORPORATED EXACT (EIN (EXACT))
- Federal award recipient: GRESHAM WORLDWIDE, INC. Fuzzy (name and state)
- Form D issuer: GIGA TRONICS INC EXACT (CIK (EXACT))
- SEC filer: GIGA TRONICS INC EXACT (CIK (EXACT))
- Person page: Gregory P Ho Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner))
- Person page: Robert O Smith Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 11
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2018-10-17 | S-1 | S-1 (registration) | GIGA TRONICS INC | 0001437749-18-018398 ↗ |
| 2018-10-19 | S-1/A | S-1/A (amendment) | GIGA TRONICS INC | 0001437749-18-018490 ↗ |
| 2018-10-30 | EFFECT | EFFECT (declared effective) | GIGA TRONICS INC | 9999999995-18-002759 ↗ |
| 2019-09-27 | S-1 | S-1 (registration) | GIGA TRONICS INC | 0001437749-19-019167 ↗ |
| 2019-10-29 | S-1/A | S-1/A (amendment) | GIGA TRONICS INC | 0001437749-19-020772 ↗ |
| 2019-11-04 | S-1/A | S-1/A (amendment) | GIGA TRONICS INC | 0001437749-19-021321 ↗ |
| 2019-11-05 | EFFECT | EFFECT (declared effective) | GIGA TRONICS INC | 9999999995-19-002480 ↗ |
| 2019-11-08 | 424B4 | 424B4 (final prospectus) | GIGA TRONICS INC | 0001437749-19-022009 ↗ |
| 2023-02-13 | S-1 | S-1 (registration) | GIGA TRONICS INC | 0001193125-23-035959 ↗ |
| 2023-08-01 | S-1/A | S-1/A (amendment) | GIGA TRONICS INC | 0001214659-23-010514 ↗ |
| 2024-05-08 | RW | RW (withdrawal request) | GRESHAM WORLDWIDE, INC. | 0001214659-24-008618 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2019-11-04 | S-1/A | registration statement | $0.29 | 8,700,000 | $2,523,000 | OTCQB GIGA | 1 | primary document; price table, shares headline, proceeds computed, underwriting table 1, cover names 1 | document ↗ | |
| 2019-11-08 | 424B4 | final prospectus | $0.25 | 10,400,000 | $2,600,000 | OTCQB GIGA | 1 | primary document; price sentence, shares headline, proceeds table, underwriting table 1, cover names 1 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| BRUNS GEORGE H JR | Director; Director,Officer,TenPercentOwner; Director,TenPercentOwner | Chairman of the Board | 10 | 2006–2011 | |
| GARRETTSON GARRETT A | Director | 24 | 2006–2016 | ||
| Regazzi John R | Director,Officer; Officer | CEO; Chief Executive Officer; President and CEO | 29 | 2006–2022 | |
| COLE JAMES A | Director | 11 | 2006–2015 | ||
| COSMEZ II MARK H | Officer | VP Finance/CFO and Secretary | 1 | 2006 | |
| HARVEY KEN A | Director | 9 | 2006–2015 | ||
| LUM JEFFREY T | Officer | Chief Technology Officer; President, ASCOR Division; President, ASCOR Inc. | 9 | 2006–2012 | |
| MARKOWITZ DANIEL S | Officer | President, Microsource Inc. | 1 | 2006 | |
| WILSON ROBERT C | Director | 6 | 2006–2011 | ||
| Lawlor Patrick J | Officer | VP Finance/CFO and Secretary; VP Finance/CFO & Secretary | 15 | 2007–2010 | |
| Cross Rodrick G | Officer | VP Sales & Marketing | 2 | 2008 | |
| Levy Malcolm E | Officer | VP Sales & Marketing | 8 | 2008–2009 | |
| ALARA CAPITAL AVI II, LLC | Director,TenPercentOwner; TenPercentOwner | 7 | 2011–2018 | ||
| HENCKELS LUTZ P | Director; Director,Officer; Officer | CFO and COO; COO, CFO, EVP; Interim Chief Fin. Officer | 32 | 2011–2022 | |
| THOMPSON W. JOSEPH | Director | 13 | 2011–2021 | ||
| Almquist Gordon | Director | 12 | 2012–2021 | ||
| Penta Michael | Officer | Vice President of Sales | 12 | 2012–2016 | |
| Elo Mark | Officer | Vice President of Marketing | 2 | 2012–2014 | |
| Lance Steve | Officer | CFO-Chief Financial Officer; Chief Financial Officer | 4 | 2013–2014 | |
| Oduozor Temi | Officer | Principal Acc. & Fin. Officer; Principal Accounting Officer | 2 | 2016–2017 | |
| NAIR SURESH SUKUMAR | Officer | CEO/VP of Operations | 1 | 2017 | |
| Ursprung Timothy Frederick | Officer | VP of Sales & Marketing | 2 | 2018–2019 | |
| Ho Gregory P. | TenPercentOwner | 3 | 2019–2020 | person page Fuzzy | |
| SMC Private Equity Holdings GP, LLC | TenPercentOwner | 3 | 2019–2020 | ||
| SMC Private Equity Holdings, LP | TenPercentOwner | 3 | 2019–2020 | ||
| SMC Reserve Fund II Offshore LP | TenPercentOwner | 2 | 2019 | ||
| SMC Select Co-Investment Fund I LP | TenPercentOwner | 3 | 2019–2020 | ||
| SMC Select Co-Investment I GP, LLC | TenPercentOwner | 3 | 2019–2020 | ||
| Spring Mountain Capital G.P., LLC | TenPercentOwner | 3 | 2019–2020 | ||
| Spring Mountain Capital, LLC | TenPercentOwner | 3 | 2019–2020 | ||
| Steffens John | TenPercentOwner | 3 | 2019–2020 | ||
| Weston Jamie | Director | 1 | 2019 | ||
| Mitchell Traci Keiko | Officer | Controller, Prin. Acct Officer | 5 | 2019–2020 | |
| Pantalone Armand D'Urso | Officer | Chief Technology Officer | 5 | 2019–2022 | |
| Kirby Daniel Scott | Officer | Chief Customer Officer; VP of Business Development | 3 | 2019–2021 | |
| WIT CORNELIS F | TenPercentOwner | 3 | 2020–2022 | ||
| Vickers Thomas E | Director | 3 | 2020–2022 | ||
| Ault Alliance, Inc. | TenPercentOwner | 4 | 2022–2024 | ||
| Long Timothy | Officer | Chief Operating Officer | 2 | 2022 | |
| READ JONATHAN R | Director,Officer | Chief Executive Officer | 3 | 2022–2024 | |
| Bentz Jeffrey Allen | Director | 1 | 2022 | ||
| Horne William B. | Director | 1 | 2022 | ||
| SMITH ROBERT O | Director | 1 | 2022 | person page Fuzzy | |
| Lyle Sean | Officer | CDO of Subsidiary | 1 | 2023 | |
| Shaffer Robin | Officer | Chief Operating Officer | 1 | 2023 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2023-01-24 | GIGA TRONICS INC | Other | $3,300,000 | $3,300,000 | 2 | 1 |
| 2021-04-30 | GIGA TRONICS INC | Other Technology | $1,500,000 | $1,500,000 | 2 | 1 |
| 2020-03-19 | GIGA TRONICS INC | Other Technology | $550,000 | $550,000 | 2 | 1 |
| 2019-12-09 | GIGA TRONICS INC | Other Technology | $3,362,390 | $3,362,390 | 38 | 1 |
| 2018-04-25 | GIGA TRONICS INC | Other Technology | $2,500,000 | $2,010,000 | 41 | 2 |
| 2017-05-12 | GIGA TRONICS INC | Other Technology | $205,000 | $205,000 | 1 | 1 |
| 2016-02-10 | GIGA TRONICS INC | Other Technology | $3,467,415 | $3,467,415 | 18 | 1 |
| 2015-02-20 | GIGA TRONICS INC | Other Technology | $1,570,634 | $1,570,634 | 1 | 2 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Federal award recipient | GRESHAM WORLDWIDE, INC. | CA | Federal spending (USAspending) | name and state |
| Form D issuer | GIGA TRONICS INC | AZ | Form D private offerings | CIK (EXACT) |
| SEC filer | GRESHAM WORLDWIDE, INC. | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | GIGA-TRONICS, INCORPORATED | EIN (EXACT) | ||
| Person page | Gregory P Ho | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner) | |
| Person page | Robert O Smith | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Instruments For Meas & Testing of Electricity & Elec Signals, CA first:
- PHOTON DYNAMICS INC CA
- AEHR TEST SYSTEMS CA
- ARTEST CORP CA
- COMPUTER ACCESS TECHNOLOGY CORP CA
- IXIA CA
- NEXTEST SYSTEMS CORP CA
- NPTEST INC CA
- ADEZA BIOMEDICAL CORP CA
- EXFO INC. A8
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In other datasets, the same topic (Technology) in CA:
- Lobbying client: 8X8, INC. (Federal lobbying (LDA))
Interests: Instruments For Meas & Testing of Electricity & Elec Signals · Technology