GIGA SEC-arkiveringar - Gresham Worldwide, Inc.- Årsredovisning, Fullmaktsutlåtande, prospekt

Grundläggande statistik

LEI	549300ZC8V7CRDX5FH47
CIK	719274

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Gresham Worldwide, Inc.

SEC Filings (Chronological Order)

Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.

November 14, 2024	SC 13G/A	GIGAQ / Gresham Worldwide, Inc. / LYTTON LAURENCE W Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Gresham Worldwide, Inc. (Name of Issuer) Common Stock, No par value (Title of Class of Securities) 375175106 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan
August 16, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Termination of a Material Definitive Agreement, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement, Bankruptcy or Receivership UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2024 Gresham Worldwide, Inc. (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commissi
August 15, 2024	NT 10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-14605 CUSIP NUMBER 375175106 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2024 ☐Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transiti
June 27, 2024	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2024 Gresham Worldwide, Inc. (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission
June 27, 2024	EX-10.1	AGREEMENT AND PLAN OF MERGER by and among AULT DISRUPTIVE TECHNOLOGIES CORPORATION, ADRT MERGER SUB, INC., GRESHAM WORLDWIDE, INC. dated as of June 23, 2024 TABLE OF CONTENTS Exhibit 10.1 AGREEMENT AND PLAN OF MERGER by and among AULT DISRUPTIVE TECHNOLOGIES CORPORATION, ADRT MERGER SUB, INC., AND GRESHAM WORLDWIDE, INC. dated as of June 23, 2024 TABLE OF CONTENTS Page ARTICLE I. CERTAIN DEFINITIONS 2 Section 1.01 Definitions. 2 Section 1.02 Construction. 17 Section 1.03 Knowledge. 18 Section 1.04 Equitable Adjustments. 19 ARTICLE II. THE MERGER 19 Section 2.01 The Mer
May 17, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GRESHAM WORLDWIDE, INC.
May 17, 2024	EX-3.1	Certificate of Amendment of Articles of incorporation Certificate of Amendment of Articles of Incorporation Jonathan Read and Lutz Henckels certify that: 1.
May 16, 2024	NT 10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-14605 CUSIP NUMBER 375175106 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2023 ☐Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transit
May 16, 2024	NT 10-Q/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-14605 CUSIP NUMBER 375175106 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2024 ☐Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transit
May 8, 2024	RW	Gresham Worldwide, Inc. 7272 E. Indian School Rd., Suite 540 Scottsdale, AZ 85251 May 8, 2024 Gresham Worldwide, Inc. 7272 E. Indian School Rd., Suite 540 Scottsdale, AZ 85251 May 8, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Real Estate and Construction Re: Gresham Worldwide, Inc. Registration Statement on Form S-1 Filed February 13, 2023 File No. 333-269737 Ladies and Gentlemen: Pursuant to Rule 477 promulgated under the Securities Act of
May 1, 2024	8-K	Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2024 Gresham Worldwide, Inc. (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commissio
April 15, 2024	10-K	Fiscal Year 2023 to Fiscal Year 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Fiscal Year 2023 to Fiscal Year 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 15, 2024	EX-10.16	Lease Agreement between the Company and Ferrotec (USA) Corporation, a Massachusetts corporation dated February 27, 2024
April 2, 2024	NT 10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-14605 CUSIP NUMBER 375175106 (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2023 ☐Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tran
March 8, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 1, 2024 Gresham Worldwide, Inc. (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission
March 8, 2024	EX-3.1	Certificate of Amendment of Articles of Incorporation
February 14, 2024	SC 13G/A	GIGA / Giga-tronics Incorporated / LYTTON LAURENCE W Passive Investment SC 13G/A 1 giga13ga5.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Giga-tronics Incorporated (Name of Issuer) Common Stock, No par value (Title of Class of Securities) 375175106 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to
December 19, 2023	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2023 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Comm
November 14, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPO
November 6, 2023	EX-4.1	Form of 12% Senior Secured Subordinated Promissory Note issued to Ault Lending, LLC EXHIBIT 4.1 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST
November 6, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2023 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commi
November 6, 2023	DEF 14C	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement GIGA-TRONICS INCORP
November 1, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2023 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commi
October 20, 2023	PRE 14C	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement GIGA-TRONICS INCORP
October 17, 2023	EX-4.1	Form of Note Exhibit 4.1 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR T
October 17, 2023	EX-10.2	Waiver Agreement dated as of October 11, 2023 by and among Giga-tronics Incorporated, Ault Alliance, Inc. and Ault Lending, LLC Exhibit 10.2 GIGA-TRONICS INCORPORATED. 7272 E. Indian School Rd, Suite 540 Scottsdale, Arizona October 11, 2023 Sent Via Email Only: [] [] Attention: [] Attention: Gentlemen: Reference is made to that certain Senior Secured Convertible Promissory Note in the original principal amount of $4,382,740 and that certain 10% Senior Secured Convertible Promissory Note in the original principal amount of
October 17, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 11, 2023 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commi
October 17, 2023	EX-10.1	Exchange and Waiver Agreement dated as of October 11, 2023 Exhibit 10.1 GIGA-TRONICS INCORPORATED. 7272 E. Indian School Rd, Suite 540 Scottsdale, Arizona October 11, 2023 Sent Via Email Only: [] [] Attention: , [] Ladies and Gentlemen: Reference is made to that certain Senior Secured Convertible Promissory Note in the original principal amount of $1,666,666.67 (each a “Prior Note” and collectively the “Prior Notes”) issued to each of and , (each, a “Hold
October 17, 2023	EX-4.2	Form of Warrant Exhibit 4.2 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR T
October 4, 2023	8-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Co
October 4, 2023	EX-99.2	GRESHAM WORLDWIDE, INC. AND SUBSIDIARIES TABLE OF CONTENTS Exhibit 99.2 GRESHAM WORLDWIDE, INC. AND SUBSIDIARIES TABLE OF CONTENTS (Unaudited) Condensed Consolidated Balance Sheets as of June 30, 2022 and December 31, 2021 2 Condensed Consolidated Statements of Operations and Comprehensive Loss for the three and six months ended June 30, 2022 and 2021 3 Condensed Consolidated Statements of Changes in Stockholders’ Equity for the three and six months ended
October 4, 2023	EX-99.1	GRESHAM WORLDWIDE, INC. AND SUBSIDIARIES INDEX TO FINANCIAL STATEMENTS EX-99.1 2 giga-ex991.htm EX-99.1 Exhibit 99.1 GRESHAM WORLDWIDE, INC. AND SUBSIDIARIES INDEX TO FINANCIAL STATEMENTS Reports of Independent Registered Public Accounting Firm – Marcum LLP 2 Report of Independent Registered Public Accounting Firm – Ziv Haft 3 Consolidated Balance Sheets as of December 31, 2021 and 2020 5 Consolidated Statements of Operations and Comprehensive Loss for the Years Ende
October 4, 2023	EX-99.3	Unaudited Pro Forma Condensed Consolidated Balance Sheets As of June 30, 2022 (In thousands) Exhibit 99.3 Unaudited Pro Forma Condensed Consolidated Balance Sheets As of June 30, 2022 (In thousands) Gresham Giga-tronics Pro Forma 30-Jun 25-Jun Transaction Pro Forma 2022 2022 Adjustments Notes Combined ASSETS CURRENT ASSETS Cash and cash equivalents $ 1,686 $ 400 $ 598 A,G $ 2,684 Marketable equity securities — - Accounts receivable 5,503 1,510 — 7,013 Accrued revenue 2,177 609 — 2,786 Inv
October 4, 2023	EX-99.4	Unaudited Pro Forma Condensed Consolidated Balance Sheets As of December 31, 2021 (In thousands) Exhibit 99.4 Unaudited Pro Forma Condensed Consolidated Balance Sheets As of December 31, 2021 (In thousands) Gresham Giga-tronics Pro Forma December 31, December 25, Transaction Pro Forma 2021 2021 Adjustments Notes Combined ASSETS CURRENT ASSETS Cash and cash equivalents $ 1,599 $ 316 $ 598 A,G $ 2,513 Accounts receivable 4,554 223 — 4,777 Accrued revenue 2,283 1,620 — 3,903 Inventories, net 4,2
August 14, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPORATED
August 1, 2023	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Giga-tronics Incorporated (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to Be Paid Equity Common Stock, par value $0.
August 1, 2023	S-1/A	As filed with the Securities and Exchange Commission on July 31, 2023 As filed with the Securities and Exchange Commission on July 31, 2023 Registration No.
July 6, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPORATE
May 15, 2023	NT 10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-14605 CUSIP NUMBER 375175106 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2023 ☐Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transit
May 11, 2023	EX-10.45	Form of Secured Convertible Note Execution Copy Exhibit 10.45 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN
May 11, 2023	EX-19.1	Insider Trading Policy Exhibit 19.1 GIGA-TRONICS INCORPORATED CORPORATE POLICY Title: Insider Trading Issue Date: 02/26/2019 Page 1 of 2 This insider trading policy applies to employees, officers and directors of Giga-tronics Incorporated and its subsidiaries (collectively, the "Company"), including their family members. Some portions of the policy apply only to officers and directors and persons deemed to be "Insiders.
May 11, 2023	EX-10.52	Employment Agreement – Timothy Long++ Exhibit 10.52 EXECUTIVE EMPLOYMENT AGREEMENT This EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into as of this 24th day of June 2021, but effective as of April 1, 2021 ("Effective Date”), by and between Gresham Worldwide, Inc., a Delaware corporation and wholly owned subsidiary of Ault Global Holdings, Inc., a Delaware corporation (“AGH”), with an address of 7690 East Came
May 11, 2023	EX-10.38	Form of Exchange Agreement Execution Copy Exhibit 10.38 EXCHANGE AGREEMENT This EXCHANGE AGREEMENT (this “Agreement”), is dated as of December 31, 2022, by and between Giga-tronics Incorporated, a California corporation (the “Company”), and BitNile Holdings, Inc., a Delaware corporation (the “Holder”). WHEREAS: A. The Holder is the owner, beneficially and of record, a Senior Secured Convertible Promissory Note due February
May 11, 2023	EX-10.54	Note – Microphase and GWW Exhibit 10.54 CONVERTIBLE TERM NOTE $1,500,000.00 June 29, 2021 (the “Issuance Date”) FOR VALUE RECEIVED, the undersigned Microphase Corporation (hereinafter sometimes called the “Maker”) promises to pay, on or before June 30, 2024 (the “Maturity Date”), to Gresham Worldwide, Inc., or its assigns (hereinafter called the “Lender” or the “Holder”) ), at 7960 East Camelback Road, Suite 511, Scottsdal
May 11, 2023	EX-10.53	Form of Warrant – Zvika Avni Exhibit 10.53 THIS WARRANT HAS BEEN, AND THE WARRANT SHARES OF COMMON STOCK WHICH MAY BE PURCHASED PURSUANT TO THE EXERCISE OF THIS WARRANT (THE "WARRANT SHARES") WILL BE, ACQUIRED SOLELY FOR INVESTMENT AND NOT WITH A VIEW TO, OR FOR RESA LE IN CONNECTION WITH, ANY DISTRIBUTION THEREOF. NEITHER THIS WARRANT NOR THE WARRANT SHARES (TOGETHER, THE "SECURITIES") HAVE BEEN REGISTERED UNDER THE SECURITI
May 11, 2023	EX-10.46	Form of Security Agreement Execution Copy Exhibit 10.46 SECURITY AGREEMENT This SECURITY AGREEMENT, dated as of December 31, 2022 (this “Agreement”), is by and among Giga-tronics, Incorporated, a California corporation (the “Company”), Microsource, Inc, a California company and a wholly owned subsidiary of the Company and Gresham Worldwide, Inc., a Delaware company and a wholly owned subsidiary of the Company (each, a “Guar
May 11, 2023	EX-10.44	Form of Registration Rights Agreement Execution Copy Exhibit 10.44 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of December 31, 2022, between Giga-tronics, Incorporated, a California corporation (the “Company”), and the holder signatory hereto (the “Holder”). WHEREAS, this Agreement is made and entered into pursuant to the Purchase Agreement, dated as of the date hereo
May 11, 2023	EX-10.55	Warrant – Microphase Exhibit 10.55 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR
May 11, 2023	EX-10.50	Form of Restricted Stock Unit Agreement – Jonathan Read and Timothy Long DATE \@ "M/d/yyyy h:mm am/pm" 4/15/2023 10:55 AM Exhibit 10.50 RESTRICTED STOCK UNIT AGREEMENT NON-PLAN This RESTRICTED STOCK UNIT AGREEMENT (this “Agreement”), entered into as of September 8, 2022 (the “Grant Date”), sets forth the terms and conditions of an award (this “Award”) of restricted stock units (“RSUs”) granted by Giga-tronics, Inc., a California corporation (the “Company”), to (the “Re
May 11, 2023	EX-10.56	Stock Purchase Agreement – Relec Electronics Ltd. Exhibit 10.56 Execution Copy STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”) is made and entered into as of the 9th day of November, 2020 (the “Execution Date”), by and among: Tabard Holdings Inc., a Delaware corporation (the “Purchaser”), Gresham Worldwide, Inc., a Delaware corporation (the ”Guarantor”), solely for the purposes of Article IX and guaranteeing the Earn-out
May 11, 2023	EX-10.49	Form of Stock Option Agreement – Jonathan Read and Tim Long Exhibit 10.49 NON-QUALIFIED STOCK OPTION AGREEMENT THIS NON-QUALIFIED STOCK OPTION AGREEMENT (the “Agreement”) is entered into as of September 8, 2022 (the “Grant Date”) between Giga-tronics, Inc. (the “Company”) and (the “Optionee”). WHEREAS, by action taken by the Board of Directors (the “Board”) it has adopted the 2018 Equity Incentive Plan (the “Plan”); and WHEREAS, pursuant to the Securities
May 11, 2023	EX-10.5	2023 Equity Incentive Plan++ Exhibit 10.5 GIGA-TRONICS INCORPORATED 2023 EQUITY INCENTIVE PLAN, as Amended 1. Scope of Plan; Definitions. (a) This 2023 Equity Incentive Plan (the “Plan”) is intended to advance the interests of Giga-Tronics Incorporated (the “Company”) and its Related Corporations by enhancing the ability of the Company to attract and retain qualified employees, consultants, Officers and directors, by creating
May 11, 2023	EX-10.58	Note - Michrophase and DPL Exhibit 10.58 AMENDED AND RESTATED PROMISSORY NOTE Principal Amount: $4,462,925.67 January 1, 2020 (the “Issuance Date”) FOR VALUE RECEIVED, the undersigned Microphase Corporation , a Delaware corporation, maintaining an address at 100 Trap Falls Extension, Suite 400, Shelton, CT 06484 (hereinafter sometimes called the “Maker”) promises to pay, on or before December 31, 2021 (the “Maturity Date”),
May 11, 2023	EX-10.39	Form of Exchange Note Execution Copy Exhibit 10.39 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN
May 11, 2023	EX-10.48	Form of Letter Agreement BitNile Holdings, Inc. Ault Lending, LLC January 3, 2023 Page 1 Exhibit 10.48 Giga-tronics, Incorporated 5990 Gleason Drive, Dublin, CA 94568 January 3, 2023 BitNile Holdings, Inc. 11411 Southern Highlands Parkway, Suite 330, Las Vegas, NV 89141 Attention: William Horne, CEO Ault Lending, LLC 11411 Southern Highlands Parkway, Suite 330, Las Vegas, NV 89141 Attention: David J. Katzoff, Manager Re:
May 11, 2023	EX-10.47	Form of Guaranty Execution Copy Exhibit 10.47 GUARANTY GUARANTY, dated as of December 31, 2022 (this “Guaranty”), entered into by the guarantors signatory hereto (together with any other entity that may become a party hereto as provided herein, the “Guarantors”), in favor of the purchaser signatory (together with its permitted assigns, the “Purchaser” or “Purchasers,” as the case may be) to that certain Securities
May 11, 2023	EX-10.57	Email extending November 12, 2022 Note due date Exhibit 10.57 1 Annick Conway Subject: FW: subsequent event items From: Will Horne Date: Sunday, November 20, 2022 at 10:10 AM To: Lutz Henckels , J Read , Rishi Mehta Cc: Ken Cragun , David Katzoff , Jean Ho Subject: RE: subsequent event items Lutz, I confirm that Ault Lending agreed to extend the $1.3 million loan to February 14, 2023. David or Jean, please provide the requested information to L
May 11, 2023	EX-10.40	Form of Exchange Security Agreement Execution Copy Exhibit 10.40 SECURITY AGREEMENT This SECURITY AGREEMENT, dated as of December 31, 2022 (this “Agreement”), is by and among Giga-tronics Incorporated, a California corporation (the “Company”), any subsidiary of the Company that is a signatory hereto either now joined or joined in the future (such subsidiaries, the “Guarantors” and, together with the Company, the “Debtors”) and the h
May 11, 2023	EX-10.41	Form of Exchange Registration Rights Agreement Execution Copy Exhibit 10.41 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of December 31, 2022, between Giga-tronics Incorporated, a California corporation (the “Company”), and the purchaser signatory hereto (the “Purchaser”). This Agreement is made pursuant to the Exchange Agreement, dated as of the date hereof, between the Compan
May 11, 2023	EX-10.42	Form of Warrant Exhibit 10.42 COMMON STOCK PURCHASE WARRANT GIGA-TRONICS INCORPORATED Warrant Shares: 2,000,000 Issuance Date: December 31, 2022 This COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, Ault Lending, LLC or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after
May 11, 2023	EX-10.43	Form of Securities Purchase Agreement Execution Copy Exhibit 10.43 SECURITIES PURCHASE AGREEMENT SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of December 31, 2022, by and between Giga-tronics, Incorporated, a California corporation, with offices located at 5990 Gleason Drive, Dublin, CA 94568 (the “Company”), and Ault Lending, LLC., a California company with an address in 11411 Southern Highlands Parkway, Suite 330, Las
May 11, 2023	EX-10.51	Employment Agreement – Jonathan Read++ Exhibit 10.51 EXECUTIVE EMPLOYMENT AGREEMENT This EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into as of this September 15, 2020 (“Effective Date”), by and between Gresham Worldwide, Inc., a Delaware corporation and wholly owned subsidiary of DPW Holdings, Inc., a Delaware corporation (“DPW”),with an address of 201 Shipyard Way, Newport Beach, California 92663 (the “Compa
May 11, 2023	10-K	Fiscal Year 2021 to Fiscal Year 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Fiscal Year 2021 to Fiscal Year 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 3, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2023 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commiss
April 3, 2023	EX-99	Gresham Worldwide Fourth Quarter 2022 Bookings Exceed $8 Million Gresham ended fiscal year 2022 with approximately $30 million in backlog, a year-over-year increase as compared to $25 million at the end of fiscal year 2021 After closing the share exc Exhibt 99.1 Gresham Worldwide Fourth Quarter 2022 Bookings Exceed $8 Million Gresham ended fiscal year 2022 with approximately $30 million in backlog, a year-over-year increase as compared to $25 million at the end of fiscal year 2021 After closing the share exchange in September 2022, Gresham remains focused on executing backlog orders and increasing new business bookings with a 2023 revenue targ
April 3, 2023	NT 10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-14605 CUSIP NUMBER 375175106 (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2022 ☐Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tran
February 13, 2023	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Giga-tronics I (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to Be Paid Equity Common Stock, no par value per share (2) Other (2) 6,880,128 $0.
February 13, 2023	EX-21.1	List of Subsidiaries Exhibit 21.1 SUBSIDIARIES OF GIGA TRONICS INCORPORATED Name of Subsidiary Jurisdiction of Organization Gresham Holdings, Inc. Delaware Microsource Inc. California Enertec Systems 2001 Ltd. * Israel Microphase Corporation Delaware Tabard Holdings Inc. * Delaware Gresham Power Electronics Ltd. * England and Wales Relec Electronics Ltd. * England and Wales * Indirect subsidiary ** 63.07% owned a
February 13, 2023	S-1	As filed with the Securities and Exchange Commission on February 13, 2023 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GIGA-TRONICS INCO Table of Contents As filed with the Securities and Exchange Commission on February 13, 2023 Registration No.
February 13, 2023	SC 13G/A	GIGA / Giga-tronics, Incorporated / LYTTON LAURENCE W Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Giga-tronics Incorporated (Name of Issuer) Common Stock, No par value (Title of Class of Securities) 375175106 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua
February 7, 2023	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2023 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commi
February 7, 2023	EX-10.1	Form of Termination and Release Agreement - Regazzi TERMINATION AND RELEASE AGREEMENT THIS TERMINATION AND RELEASE AGREEMENT (the “Agreement”) is made and entered into as of January 30, 2023 (the “Effective Date”), by and between John Regazzi (the “Employee”) and Giga-tronics, Incorporated (the “Employer” or the “Company”).
January 11, 2023	EX-4.2	Form of Warrant* Exhibit 4.2 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR T
January 11, 2023	EX-10.4	Form of Registration Rights Agreement Exhibit 10.4 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of January 10, 2023, is by and among Giga-tronics Incorporated, a company organized under the laws of the state of California with offices located at 7272 E. Indian School Road, Suite 540, Scottsdale, Arizona 85251 (the “Company”), and the undersigned buyers (each, a “Buyer,” and collectively
January 11, 2023	EX-10.3	Form of Subordination Agreement+ Exhibit 10.3 SUBORDINATION AGREEMENT THIS SUBORDINATION AGREEMENT (“Agreement”), dated as of January 6, 2023, is made and given by AULT ALLIANCE, Inc., a Delaware corporation formerly known as BitNile Holdings, Inc. (“Junior Creditor”), in favor of (collectively, the “Senior Creditors”). A. Giga-tronics Incorporated, a company organized under the laws of the state of California (“Borrower”), is in
January 11, 2023	EX-10.1	Form of Securities Purchase Agreement+ Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of January 10, 2023, is by and among Giga-tronics Incorporated, a company organized under the laws of the State of California with offices located at 7272 E. Indian School Road, Suite 540, Scottsdale, Arizona 85251 (the “Company”), and each of the investors listed on the Schedule of Buyers att
January 11, 2023	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 11, 2023 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commi
January 11, 2023	EX-4.1	Form of Note* EX-4.1 2 giga-ex41.htm EX-4.1 Exhibit 4.1 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIV
January 11, 2023	EX-10.2	Form of Security Agreement+ Exhibit 10.2 SECURITY AGREEMENT This Security Agreement (as amended, modified or otherwise supplemented from time to time, the “Security Agreement”), dated as of January 10, 2023, by and between Giga-tronics Incorporated, a company organized under the laws of the state of California (the “Grantor”) and (collectively, “Secured Party”). RECITALS WHEREAS, pursuant to that certain Securities Purchase
January 6, 2023	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Comm
November 25, 2022	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 20, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Comm
November 23, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPO
November 21, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 18, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Comm
November 21, 2022	EX-99.1	GRESHAM WORLDWIDE, INC. AND SUBSIDIARIES TABLE OF CONTENTS Condensed Consolidated Balance Sheets as of June 30, 2022 and December 31, 2021 2 Condensed Consolidated Statements of Operations and Comprehensive Loss for the three and six months ended Jun Exhibit 99.1 GRESHAM WORLDWIDE, INC. AND SUBSIDIARIES TABLE OF CONTENTS (Unaudited) Condensed Consolidated Balance Sheets as of June 30, 2022 and December 31, 2021 2 Condensed Consolidated Statements of Operations and Comprehensive Loss for the three and six months ended June 30, 2022 and 2021 3 Condensed Consolidated Statements of Changes in Stockholders? Equity for the three and six months ended
November 15, 2022	NT 10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-14605 CUSIP NUMBER 375175106 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: September 30, 2022 ☐Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tra
October 26, 2022	8-K	Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commi
October 18, 2022	8-K	Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 13, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commi
September 27, 2022	EX-3.1	Certificate of Amendment of the Articles of Incorporation Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE ARTICLES OF INCORPORATION OF GIGA-TRONICS INCORPORATED The undersigned certify that: 1. They are the President and Chief Executive Officer and the Chief Financial Officer of Giga-tronics Incorporated, a California corporation, California Entity Number C0976644. 2. Article IV of the Articles of Incorporation of this corporation is amended to read as follo
September 27, 2022	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 22, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Com
September 19, 2022	EX-99.1	JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, no par value, of Giga-tronics Incorporated, a California corporation. This
September 19, 2022	SC 13D	GIGA / Giga-tronics, Incorporated / Ault Global Holdings, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. )1 Giga-tronics Incorporated (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 375175106 (CUSIP Number) Milton C, Ault, III BITNIL
September 16, 2022	8-K	Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Com
September 14, 2022	8-K	Regulation FD Disclosure, Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 08, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Com
September 14, 2022	EX-10.4	Security Agreement+ Exhibit 10.4 SECURITY AGREEMENT This SECURITY AGREEMENT, dated as of September 8, 2022 (this ?Agreement?), is by and among Giga-tronics Incorporated, a California corporation (the ?Company?), any subsidiary of the Company that is a signatory hereto either now joined or joined in the future (such subsidiaries, the ?Guarantors? and, together with the Company, the ?Debtors?) and the holder of the Com
September 14, 2022	EX-10.5	Registration Rights Agreement+ Exhibit 10.5 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this ?Agreement?) is made and entered into as of September 8, 2022, between Giga-tronics Incorporated, a California corporation (the ?Company?), and the purchaser signatory hereto (the ?Purchaser?). This Agreement is made pursuant to the Securities Purchase Agreement, dated as of the date hereof, between the Company and
September 14, 2022	EX-10.7	Form of Preferred Share Repurchase Agreement+ Exhibit 10.7 GIGA-TRONICS INCORPORATED PREFERRED SHARE REPURCHASE AGREEMENT This Preferred Share Repurchase Agreement (this ?Agreement?) is entered into as of , 2022 by and between Giga-tronics Incorporated, a California corporation (the ?Company?), and the holder of the Company?s preferred shares named on the signature page to this Agreement (?Shareholder?) with respect to the following facts: A.
September 14, 2022	EX-10.2	Convertible Note Exhibit 10.2 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS
September 14, 2022	EX-10.3	Securities Purchase Agreement+ Exhibit 10.3 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of September 8, 2022 by and between Giga-tronics Incorporated, a California corporation (the ?Company?), and the purchaser identified on the Purchaser signature page hereto (including its successors and permitted assigns, the ?Purchaser?). WHEREAS, the Company desires to issue and sell to t
September 7, 2022	8-K	Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 06, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Com
September 7, 2022	EX-4.2	Amendment to Rights Agreement dated as of September 6, 2022 between Giga-tronics Incorporated and American Stock Transfer & Trust Company, LLC (incorporated by reference to Exhibit 4.2 to the Company’s Form 8-K filed on September 7, 2022) Exhibit 4.2 AMENDMENT TO RIGHTS AGREEMENT This Amendment to Rights Agreement dated as September 6, 2022 (this ?Amendment?) is made by and between Giga-tronics Incorporated, a California corporation (the ?Company?), and American Stock Transfer & Trust Company, LLC, a New York limited liability company, as Rights Agent (the ?Rights Agent?), and amends the Rights Agreement dated as of October 12, 202
August 31, 2022	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT GIGA-TRONICS INCORPORATED (Exact name of the registrant as specified in its charter) California 001-14605 (State or other jurisdiction of (C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT GIGA-TRONICS INCORPORATED (Exact name of the registrant as specified in its charter) California 001-14605 (State or other jurisdiction of (Commission incorporation or organization) file number) 5990 Gleason Drive, Dublin, CA 94568 (Address of principal executive offices) (Zip code) Lutz P.
August 31, 2022	EX-1.01	Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. Conflict Minerals Report of Giga-tronics Incorporated. In Accordance with Rule 13p-1 under the Securities Exchange Act of 1934 This is the Conflict Minerals Report of Giga-tronics Incorporated. (the ?Company?) for calendar year 2021 in accordance with Rule 13p-1 (?Rule 13p-1?) under the Securities Exchange Act of 1934 (the ?1934 Act?). Please refer to Rule 13p-1, Form SD and the 1934 Act Release N
August 29, 2022	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 23, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commis
August 29, 2022	EX-3.1	Certificate of Determination of Series F Convertible Redeemable Preferred Stock (incorporated by reference to Exhibit 3.1 to the Company’s Form 8-K filed on August 29, 2022) Exhibit 3.1 CERTIFICATE OF DETERMINATION OF SERIES F CONVERTIBLE REDEEMABLE PREFERRED STOCK OF GIGA-TRONICS INCORPORATED, a California corporation Pursuant to Section 401 of the Corporations Code of the State of California, the undersigned, John Regazzi and Lutz P. Henckels, DO HEREBY CERTIFY as follows: A. That they are the duly elected and acting Chief Executive Officer and Chief Financial Offic
August 23, 2022	8-K	Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 17, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commis
August 23, 2022	EX-16.1	Letter from Armamino LLP dated August 23, 2022 Exhibit 16.1 Armanino LLP 155 108th Ave NE Suite 820 Bellevue, WA 98004-5948 925 790 2600 main armaninoLLP.com August 23, 2022 Securities and Exchange Commission 100 F Street N.E. Washington D.C. 20549-7561 We have read Giga-tronics lncorporated's statements included in Item 4.01 of its Form 8-K dated August 23, 2022 and agree with those statements concerning our firm. /s/ Armanino LLP
August 17, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State
August 11, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2022 Giga-tronics Incorporated (Exact name of Registrant as Specified in Its Charter) California 001-14605 94-2656341 (State or Other Jurisdiction of Incorporation) (Commis
August 11, 2022	EX-99.1	Giga-tronics Incorporated Reports First Quarter Fiscal 2023 Results Exhibit 99.1 NEWS RELEASE Contact: Lutz Henckels Executive Vice President, CFO, COO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Incorporated Reports First Quarter Fiscal 2023 Results DUBLIN, Calif., August 11, 2022 (OTCQB: GIGA) ? Giga-tronics Incorporated (?Giga-tronics? or the ?Company?) today reported results for the first quarter of fiscal 2023, which ended June 25, 2022: F
August 9, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 25, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPORATED
August 2, 2022	DEFM14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi
July 21, 2022	PREM14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi
July 21, 2022	EX-FILING FEES	CALCULATION OF FILING FEE TABLES Schedule 14A (Form Type) Giga-tronics Incorporated (Exact Name of Registrant as Specified in Its Charter) Table 1 – Transaction Value Proposed Maximum Aggregate Value of Transaction(1)(2)(3) Fee Rate Amount of Filing Exhibit 107 CALCULATION OF FILING FEE TABLES Schedule 14A (Form Type) Giga-tronics Incorporated (Exact Name of Registrant as Specified in Its Charter) Table 1 ? Transaction Value Proposed Maximum Aggregate Value of Transaction(1)(2)(3) Fee Rate Amount of Filing Fee Fees to Be Paid $16,082,094 0.
July 5, 2022	EX-99.1	Giga-tronics Reports Fiscal 2022 Fourth Quarter and Year End Results Exhibit 99.1 NEWS RELEASE Contact: Lutz Henckels Executive Vice President, CFO, COO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Reports Fiscal 2022 Fourth Quarter and Year End Results DUBLIN, Calif., June 29, 2022 (OTCQB: GIGA) ? Giga-tronics Incorporated (?Giga-tronics? or the ?Company?) today reported results for the fourth fiscal quarter and year ended March 26, 2022: Fourth
July 5, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 29, 2022 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
June 24, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 26, 2022 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 001-14605 GIGA-TRONICS INCORPORATED (Exa
June 24, 2022	EX-21	Significant Subsidiaries Exhibit 21 Subsidiaries of the Company Name Jurisdiction of Incorporation Microsource, Inc. California
April 11, 2022	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 5, 2022 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
April 11, 2022	EX-4.1	Common Stock Purchase Warrant issued to Gresham Worldwide, Inc. Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR
April 11, 2022	EX-10.3	Amended and Restated Secured Promissory Note dates as of April 5, 2022 Exhibit 10.3 THIS AMENDED AND RESTATED SECURED PROMISSORY NOTE IS SUBJECT TO THE TERMS AND CONDITIONS OF THAT CERTAIN SUBORDINATION AGREEMENT DATED AS OF NOVEMBER 12, 2021 BY AND AMONG WESTERN ALLIANCE BANK AND THE PARTIES HERETO. THE SUBORDINATION AGREEMENT CONTAINS PROVISIONS RESTRICTING, AMONG OTHER THINGS, CERTAIN PAYMENTS AND THE EXERCISE OF CERTAIN RIGHTS AND REMEDIES BY THE PARTIES HERETO.
April 11, 2022	EX-2.2	Amendment No. 1 to Share Exchange Agreement by and among Giga-tronics Incorporated, BitNile Holdings, Inc. and Gresham Worldwide, Inc. dated as of April 5, 2022 (incorporated by reference to Exhibit 2.2 to the Company’s Current Report on Form 8-K filed on April 11, 2022) Exhibit 2.2 AMENDMENT NO. 1 TO SHARE EXCHANGE AGREEMENT This AMENDMENT NO. 1 TO SHARE EXCHANGE AGREEMENT (this ?Amendment?), dated April 5, 2022, is by and between Giga-tronics Incorporated, a California corporation ( ?Giga?), BitNile Holdings, Inc., a Delaware corporation (?BitNile?), and Gresham Worldwide, Inc., a Delaware corporation and a direct wholly-owned subsidiary of BitNile (?Gresham?, a
April 11, 2022	EX-10.4	Amendment to Security and Pledge Agreement dated April 5, 2022 Exhibit 10.4 AMENDMENT NO. 2 TO SECURITY AND PLEDGE AGREEMENT This AMENDMENT NO. 2 TO SECURITY AND PLEDGE AGREEMENT (this ?Amendment?), dated April 5, 2022, is by and between Giga-tronics Incorporated, a California corporation (the ?Debtor?) and Digital Power Lending, LLC, a California limited liability company (the ?Secured Party?). WHEREAS, the Debtor and the Secured Party entered into a Securit
April 8, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 4, 2022 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
March 14, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported):March 14, 2022 Giga-tronics Incorpor UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported):March 14, 2022 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
March 14, 2022	EX-99.1	Investor Presentation dated March 14, 2022 Exhibit 99.1
March 14, 2022	EX-99.1	Investor Presentation dated March 14, 2022 Exhibit 99.1
March 14, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported):March 14, 2022 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
February 16, 2022	SC 13G/A	GIGA / Giga-tronics, Incorporated / WIT CORNELIS F - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Giga-tronics Incorporated (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 375175106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r
February 15, 2022	SC 13G/A	GIGA / Giga-tronics, Incorporated / LYTTON LAURENCE W Passive Investment SC 13G/A 1 giga-tronics13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Giga-tronics Incorporated (Name of Issuer) Common Stock, No par value (Title of Class of Securities) 375175106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate
February 11, 2022	SC 13G/A	GIGA / Giga-tronics, Incorporated / AWM Investment Company, Inc. - GIGA 13G/A Passive Investment THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Giga-tronics Incorporated (Name of Issuer) Common Stock, No Par Value (Title of Class of Securities) 375175304 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p
February 8, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 25, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPOR
January 13, 2022	EX-99.1	Presentation for January 13, 2022 Investor Call Exhibit 99.1
January 13, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported):January 13. 2022 Giga-tronics Incorp UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported):January 13.
January 13, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported):January 13.
January 13, 2022	EX-99.1	Presentation for January 13, 2022 Investor Call Exhibit 99.1
December 29, 2021	EX-99.2	Investor Presentation dated as of December 27, 2021* EX-99.2 9 ex319485.htm EXHIBIT 99.2 Exhibit 99.2
December 29, 2021	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported):December 24, 2021 Giga-tronics Incor UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported):December 24, 2021 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
December 29, 2021	EX-99.1	Giga-tronics Incorporated Signs Share Exchange Agreement With BitNile Holdings and Gresham Worldwide EX-99.1 8 ex319793.htm EXHIBIT 99.1 Exhibit 99.1 Giga-tronics Incorporated Signs Share Exchange Agreement With BitNile Holdings and Gresham Worldwide Agreement provides for combination between Gresham Worldwide and Giga-tronics, which is expected to increase Giga-tronics revenue more than 250% and create strong provider of bespoke electronic solutions for the global defense industry DUBLIN, Califo
December 29, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported):December 24, 2021 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
December 29, 2021	EX-10.8	Management Change in Control Cash Incentive Opportunity Exhibit 10.8 Giga-tronics Incorporated Management Change in Control Cash Incentive Opportunity 1. Purposes (a) Purpose. It is expected that the Company from time to time will consider the possibility of a Change of Control. The Board recognizes that such possibilities can cause members of management of the Company to consider alternative employment opportunities. The purpose of this document is to
December 29, 2021	EX-10.5	Waiver letter agreement concerning Severance Agreement between Giga-tronics and Lutz P. Henckels dated as of December 22, 2021 Exhibit 10.5 December 22, 2021 Giga-tronics Incorporated 5990 Gleason Drive Dublin, CA 94568 Ladies and Gentlemen: Reference is made to that certain Severance Agreement dated June 23, 2020 (?Severance Agreement?) by and between the undersigned and Giga-tronics Incorporated, a California corporation (the ?Company?). The Company expects to enter into a Share Exchange Agreement (the ?SEA?) with Ault
December 29, 2021	EX-10.6	Wavier letter agreement concerning Severance Agreement between Giga-tronics and Armand Pantalone dated as of December 21, 2021 Exhibit 10.6 December 21, 2021 Giga-tronics Incorporated 5990 Gleason Drive Dublin, CA 94568 Ladies and Gentlemen: Reference is made to that certain Severance Agreement dated March 19, 2019 (?Severance Agreement?) by and between the undersigned and Giga-tronics Incorporated, a California corporation (the ?Company?). The Company expects to enter into a Share Exchange Agreement (the ?SEA?) with Ault
December 29, 2021	EX-10.7	Wavier letter agreement concerning Severance Agreement between Giga-tronics and Daniel Kirby dated as of December 19, 2021 Exhibit 10.7 December 19, 2021 Giga-tronics Incorporated 5990 Gleason Drive Dublin, CA 94568 Ladies and Gentlemen: Reference is made to that certain Severance Agreement dated November 26, 2019 (?Severance Agreement?) by and between the undersigned and Giga-tronics Incorporated, a California corporation (the ?Company?). The Company expects to enter into a Share Exchange Agreement (the ?SEA?) with A
December 29, 2021	EX-10.4	Wavier letter agreement concerning Severance Agreement between Giga-tronics and John Regazzi dated as of December 26, 2021 Exhibit 10.4 December 24, 2021 Giga-tronics Incorporated 5990 Gleason Drive Dublin, CA 94568 Ladies and Gentlemen: Reference is made to that certain Severance Agreement dated June 23, 2020 (?Severance Agreement?) by and between the undersigned and Giga-tronics Incorporated, a California corporation (the ?Company?). The Company expects to enter into a Share Exchange Agreement (the ?SEA?) with BitNi
December 29, 2021	EX-10.8	Management Change in Control Cash Incentive Opportunity Exhibit 10.8 Giga-tronics Incorporated Management Change in Control Cash Incentive Opportunity 1. Purposes (a) Purpose. It is expected that the Company from time to time will consider the possibility of a Change of Control. The Board recognizes that such possibilities can cause members of management of the Company to consider alternative employment opportunities. The purpose of this document is to
December 29, 2021	EX-10.7	Waiver letter agreement concerning Severance Agreement between Giga-tronics and Daniel Kirby dated as of December 19, 2021 Exhibit 10.7 December 19, 2021 Giga-tronics Incorporated 5990 Gleason Drive Dublin, CA 94568 Ladies and Gentlemen: Reference is made to that certain Severance Agreement dated November 26, 2019 (?Severance Agreement?) by and between the undersigned and Giga-tronics Incorporated, a California corporation (the ?Company?). The Company expects to enter into a Share Exchange Agreement (the ?SEA?) with A
December 29, 2021	EX-10.6	Waiver letter agreement concerning Severance Agreement between Giga-tronics and Armand Pantalone dated as of December 21, 2021 EX-10.6 5 ex319483.htm EXHIBIT 10.6 Exhibit 10.6 December 21, 2021 Giga-tronics Incorporated 5990 Gleason Drive Dublin, CA 94568 Ladies and Gentlemen: Reference is made to that certain Severance Agreement dated March 19, 2019 (“Severance Agreement”) by and between the undersigned and Giga-tronics Incorporated, a California corporation (the “Company”). The Company expects to enter into a Share Exch
December 29, 2021	EX-10.4	Waiver letter agreement concerning Severance Agreement between Giga-tronics and John Regazzi dated as of December 26, 2021 EX-10.4 3 ex319481.htm EXHIBIT 10.4 Exhibit 10.4 December 24, 2021 Giga-tronics Incorporated 5990 Gleason Drive Dublin, CA 94568 Ladies and Gentlemen: Reference is made to that certain Severance Agreement dated June 23, 2020 (“Severance Agreement”) by and between the undersigned and Giga-tronics Incorporated, a California corporation (the “Company”). The Company expects to enter into a Share Excha
December 29, 2021	EX-10.1	Share Exchange Agreement dated as of December 27, 2021 by and among Giga-tronics Incorporated, BitNile Holdings, Inc. and Gresham Worldwide, Inc. (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on From 8-K filed on December 29, 2021) EX-10.1 2 ex319486.htm EXHIBIT 10.1 Exhibit 10.1 SHARE EXCHANGE AGREEMENT THIS SHARE EXCHANGE AGREEMENT (this “Agreement”), is entered into as of December 27, 2021 (the “Effective Date”), among GRESHAM WORLDWIDE, INC., a Delaware corporation (the “GWW”), BITNILE HOLDINGS, INC., a Delaware corporation (“BitNile”) and GIGA-TRONICS INCORPORATED, a California corporation (“Giga”). Capitalized terms us
December 29, 2021	EX-10.1	Form of Securities Purchase Agreement to be entered into by and between Giga-tronics Incorporated and BitNile Holdings, Inc. (included as Exhibit A to the agreement filed as Exhibit 10.1 of this report) Exhibit 10.1 SHARE EXCHANGE AGREEMENT THIS SHARE EXCHANGE AGREEMENT (this ?Agreement?), is entered into as of December 27, 2021 (the ?Effective Date?), among GRESHAM WORLDWIDE, INC., a Delaware corporation (the ?GWW?), BITNILE HOLDINGS, INC., a Delaware corporation (?BitNile?) and GIGA-TRONICS INCORPORATED, a California corporation (?Giga?). Capitalized terms used in this Agreement and not otherwi
December 29, 2021	EX-10.5	Wavier letter agreement concerning Severance Agreement between Giga-tronics and Lutz P. Henckels dated as of December 22, 2021 Exhibit 10.5 December 22, 2021 Giga-tronics Incorporated 5990 Gleason Drive Dublin, CA 94568 Ladies and Gentlemen: Reference is made to that certain Severance Agreement dated June 23, 2020 (?Severance Agreement?) by and between the undersigned and Giga-tronics Incorporated, a California corporation (the ?Company?). The Company expects to enter into a Share Exchange Agreement (the ?SEA?) with Ault
December 29, 2021	EX-99.2	Investor Presentation dated as of December 27, 2021* Exhibit 99.2
December 29, 2021	EX-99.1	News Release issued by Giga-tronics Incorporated on December 28, 2021* EX-99.1 8 ex319802.htm EXHIBIT 99.1 Exhibit 99.1 Giga-tronics Incorporated Signs Share Exchange Agreement With BitNile Holdings and Gresham Worldwide Agreement provides for combination between Gresham Worldwide and Giga-tronics, which is expected to increase Giga-tronics revenue more than 250% and create strong provider of bespoke electronic solutions for the global defense industry DUBLIN, Califo
November 18, 2021	EX-10.1	Secured Promissory Note dated November 12, 2021 Exhibit 10.1 THIS SECURED PROMISSORY NOTE IS SUBJECT TO THE TERMS AND CONDITIONS OF THAT CERTAIN SUBORDINATION AGREEMENT DATED AS OF NOVEMBER 12, 2021 BY AND AMONG WESTERN ALLIANCE BANK AND THE PARTIES HERETO. THE SUBORDINATION AGREEMENT CONTAINS PROVISIONS RESTRICTING, AMONG OTHER THINGS, CERTAIN PAYMENTS AND THE EXERCISE OF CERTAIN RIGHTS AND REMEDIES BY THE PARTIES HERETO. SECURED PROMISSORY NO
November 18, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 12, 2021 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
November 18, 2021	EX-10.2	Security and Pledge Agreement dated November 12, 2021 Exhibit 10.2 THIS SECURITY AND PLEDGE AGREEMENT IS SUBJECT TO THE TERMS AND CONDITIONS OF THAT CERTAIN SUBORDINATION AGREEMENT DATED AS OF NOVEMBER 12, 2021 BY AND AMONG WESTERN ALLIANCE BANK AND THE PARTIES HERETO. THE SUBORDINATION AGREEMENT CONTAINS PROVISIONS RESTRICTING, AMONG OTHER THINGS, CERTAIN PAYMENTS AND THE EXERCISE OF CERTAIN RIGHTS AND REMEDIES BY THE PARTIES HERETO. SECURITY AND PL
November 10, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 9, 2021 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
November 10, 2021	EX-99.1	Giga-tronics Reports Fiscal 2022 Second Quarter Results Exhibit 99.1 NEWS RELEASE Contact: Lutz Henckels Executive Vice President, CFO, COO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Reports Fiscal 2022 Second Quarter Results Dublin, CA ? November 9, 2021 ? Giga-tronics Incorporated (OTCQB: GIGA) (the ?Company?) today reported results for the second fiscal quarter and six months ended September 25, 2021: Second Quarter Fiscal Year
November 9, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 25, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPO
August 12, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 10, 2021 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
August 12, 2021	EX-99.1	Giga-tronics Incorporated Reports Fiscal 2022 First Quarter Results Exhibit 99.1 NEWS RELEASE Contact: Lutz Henckels Executive Vice President, CFO, COO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Incorporated Reports Fiscal 2022 First Quarter Results Dublin, CA ? August 10, 2021 ? Giga-tronics Incorporated (OTCQB: GIGA) (the ?Company?) today reported results for the first quarter of fiscal 2022 which ended June 26, 2021: First Quarter Fiscal Ye
August 10, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 26, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPORATED
August 10, 2021	EX-10.1	Form of Amended and Restated Prefunded Warrant to Purchase Common Stock dated as of July 29, 2021 Exhibit 10.1 THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND, ACCORDINGLY, MAY NOT BE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE SECURITIES ACT OF 1933, AS AMENDED
July 26, 2021	10-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 27, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 001-14605 GIGA-TRONI
June 25, 2021	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 27, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 001-14605 GIGA-TRONICS INCORPORATED (Exa
June 25, 2021	EX-21	Significant Subsidiaries Exhibit 21 Subsidiaries of the Company Name Jurisdiction of Incorporation Microsource, Inc. California
April 30, 2021	EX-10.1	Securities Purchase Agreement by and among the Company and Certain Investors dated as of April 29, 2021 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of April 27, 2021, between Giga-tronics Incorporated, a California corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?Purchasers?). WHEREAS, subject to the terms and condi
April 30, 2021	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 27, 2021 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
April 30, 2021	EX-4.1	Form of Pre-Funded Warrant Exhibit 4.1 THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND, ACCORDINGLY, MAY NOT BE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE SECURITIES ACT OF 1933, AS AMENDED,
April 30, 2021	EX-99.1	Giga-tronics Announces $1.5 Million Private Placement And Preliminary Unaudited Fourth Quarter and Fiscal Year 2021 Results Exhibit 99.1 NEWS RELEASE For Release on April 29, 2021 Contact: Lutz Henckels 4:02 PM (ET) Executive Vice President, CFO, COO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Announces $1.5 Million Private Placement And Preliminary Unaudited Fourth Quarter and Fiscal Year 2021 Results Dublin, CA ? April 29, 2021 ? Giga-tronics Incorporated (OTCQB: GIGA) (the ?Company?) announced a
April 30, 2021	EX-10.2	Registration Rights Agreement by and among the Company and Certain Investors dated as of April 29, 2021 Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is made and entered into as of April 27, 2021, between Giga-tronics Incorporated, a California corporation (the ?Company?), and each of the several purchasers signatory hereto (each such purchaser, a ?Purchaser? and, collectively, the ?Purchasers?). This Agreement is made pursuant to the Securities Pur
April 20, 2021	EX-1.01	Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. Exhibit 1.01 Conflict Minerals Report of Giga-tronics Incorporated. In Accordance with Rule 13p-1 under the Securities Exchange Act of 1934 This is the Conflict Minerals Report of Giga-tronics Incorporated. (the ?Company?) for calendar year 2020 in accordance with Rule 13p-1 (?Rule 13p-1?) under the Securities Exchange Act of 1934 (the ?1934 Act?). Please refer to Rule 13p-1, Form SD and the 1934
April 20, 2021	SD	- FORM SD THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report Giga-tronics Incorporated (Exact name of registrant as specified in its charter) California (State or other jurisdiction of incorporation) 0-12719 (Commission File No.) 94-2656341 (IRS Employer Identification Number) 5990 Gleason Drive, Dublin, CA (Address of principal executive office
February 16, 2021	SC 13G/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Giga-tronics Incorporated (Name of Issuer) Common Stock, No par value (Title of Class of Securities) (CU UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Giga-tronics Incorporated (Name of Issuer) Common Stock, No par value (Title of Class of Securities) 375175106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua
February 8, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 4, 2021 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
February 4, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 4, 2021 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
February 4, 2021	10-Q	Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 26, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPOR
February 4, 2021	EX-99.1	Giga-tronics Reports 55% Increase in Fiscal 2021 Third Quarter Revenue Exhibit 99.1 NEWS RELEASE For Release on February 4, 2021 Contact: Lutz Henckels 4:02 PM (ET) Executive Vice President, CFO, COO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Reports 55% Increase in Fiscal 2021 Third Quarter Revenue Dublin, CA – February 4, 2021 – Giga-tronics Incorporated (OTCQB: GIGA) (the “Company”) reported results for the third fiscal quarter and nine months
January 19, 2021	S-8	- FORM S-8 Registration No. 333- As filed with the Securities and Exchange Commission on January 15, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GIGA-TRONICS INCORPORATED (Exact name of registrant as specified in its charter) California 94-2656341 (State or other jurisdiction (IRS Employer Identification No.) of
December 31, 2020	EX-10.2	Form of Option Agreement under the 2018 Equity Incentive Plan (one year vesting) Exhibit 10.2 Stock Option Award Agreement Giga-tronics Incorporated, a California corporation, and the undersigned person (“Optionee”) are entering into this Stock Option Agreement effective as of the Grant Date set forth below. The Company has granted to Optionee the option (the “Option”) to purchase the number of shares (the “Shares”) of common stock, no par value, of the Company (“Stock”) set f
December 31, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 29, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
December 31, 2020	EX-10.1	Form of Option Agreement for Certain Grants to executive Officers under the 2018 Equity Incentive Plan (one year vesting) Exhibit 10.1 Stock Option Award Agreement Giga-tronics Incorporated, a California corporation, and the undersigned person (“Optionee”) are entering into this Stock Option Agreement effective as of the Grant Date set forth below. The Company has granted to Optionee the option (the “Option”) to purchase the number of shares (the “Shares”) of common stock, no par value, of the Company (“Stock”) set f
December 14, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 11, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
December 14, 2020	EX-99.1	Investor Presentation dated December 11, 2020 Exhibit 99.1
November 5, 2020	10-Q	Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 26, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPO
November 5, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 5, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
November 5, 2020	EX-99.1	Giga-tronics Reports Fiscal 2021 Second Quarter And Six Months Results Exhibit 99.1 NEWS RELEASE For Release on November 5, 2020 Contact: Lutz Henckels 4:02 PM (ET) Executive Vice President & CFO, COO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Reports Fiscal 2021 Second Quarter And Six Months Results Dublin, CA – November 5, 2020 – Giga-tronics Incorporated (OTCQB: GIGA) (the “Company”) reported results for the second quarter and six months ended
October 13, 2020	EX-99.1	Giga-tronics Announces Receipt of Orders Totaling $4.96 Million, Preliminary Operating Results for Second Quarter Fiscal 2021 and Adoption of Shareholder Rights Plan Exhibit 99.1 Giga-tronics Announces Receipt of Orders Totaling $4.96 Million, Preliminary Operating Results for Second Quarter Fiscal 2021 and Adoption of Shareholder Rights Plan Dublin, CA – October 13, 2020 – Giga-tronics Incorporated (OTCQB: GIGA) (the “Company”) today announced that it has received orders from Boeing totaling $4.96 million for custom microwave filters for the F-15 aircraft. Th
October 13, 2020	8-A12G	- FORM 8-A12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 GIGA-TRONICS INCORPORATED (Exact name of registrant as specified in its charter) California 94-2656341 (State of incorporation or organization) (I.R.S. Employer Identification No.) 4650 Norris Cany
October 13, 2020	8-K	Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 8, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
October 13, 2020	EX-4.1	Rights Agreement between the Company and American Stock Transfer & Trust Company, LLC dated as of October 12, 2020 (incorporated by reference to Exhibit 4.1 to the Company’s Form 8-K filed on October 13, 2020) Exhibit 4.1 RIGHTS AGREEMENT This Rights Agreement (the “Agreement”) is made and entered into as of October 12, 2020, by and between GIGA-TRONICS INCORPORATED, a California corporation (the “Company”), and American Stock Transfer & Trust Company, LLC, a New York limited liability company (the “Rights Agent”). WHEREAS, the Board of Directors of the Company has authorized and declared a dividend of
September 25, 2020	8-K	Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 21, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
September 23, 2020	8-K	Submission of Matters to a Vote of Security Holders - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 17, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
September 3, 2020	SC 13G/A	GIGA / Giga-tronics Inc. / WIT CORNELIS F - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Giga-tronics Incorporated (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 375175106 (CUSIP Number) August 27, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rul
September 2, 2020	SC 13G/A	GIGA / Giga-tronics Inc. / WIT CORNELIS F - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Giga-tronics Incorporated (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 375175106 (CUSIP Number) August 27, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rul
September 1, 2020	SC 13D/A	GIGA / Giga-tronics Inc. / Spring Mountain Capital, LLC - SC 13D/A Activist Investment CUSIP No. 375175106 SCHEDULE 13D Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) GIGA-TRONICS INCORPORATED (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 375175106 (CUSIP Number) Mr. John L. Steffens c/o Spring Mountain Capital, LP 650 Madison Avenue,
August 6, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 6, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
August 6, 2020	EX-99.1	Giga-tronics Reports Results for First Quarter FY 2021 Exhibit 99.1 NEWS RELEASE For Release on August 6, 2020 Contact: Lutz Henckels 4:02 PM (ET) Executive Vice President, CFO, COO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Reports Results for First Quarter FY 2021 Dublin, CA – August 6, 2020 – Giga-tronics Incorporated (OTCQB: GIGA) (the “Company”) today reported results for its first fiscal quarter ended June 27, 2020. Revenue
August 6, 2020	10-Q	Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 27, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPORATED
July 23, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 20, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
July 23, 2020	DEF 14A	Giga-tronics Incorporated Amended and Restated 2018 Equity Incentive Plan (incorporated herein by reference to the Appendix the Registrant’s Proxy Statement on Schedule 14A for its 2020 Annual Meeting of Shareholders filed with the Commission on July 23, 2020). UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☒ Definitive Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
July 23, 2020	EX-99.1	Giga-tronics Names Lutz P. Henckels Chief Operating Officer Exhibit 99.1 NEWS RELEASE Giga-tronics Names Lutz P. Henckels Chief Operating Officer Dublin, CA – July 23, 2020 – Giga-tronics Incorporated (OTCQB: GIGA) (the “Company”) today announced that its Board Of Directors has appointed Lutz P. Henckels Chief Operating Officer. With this new appointment, Dr. Henckels now serves as the Company’s Executive Vice President, Chief Financial Officer and Chief O
July 21, 2020	8-K/A	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 23, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
June 24, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 23, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
June 24, 2020	EX-10.1	Severance Agreement between the Company and John Regazzi dated June 23, 2020 Exhibit 10.1 GIGA-TRONICS INCORPORATED SEVERANCE AGREEMENT This Severance Agreement (the “Agreement”) is made and entered into by and between John Regazzi (“Employee”) and Giga-tronics Incorporated, a California corporation (the “Company”), effective as of June 23, 2020 (the “Effective Date”). This Agreement amends and restates in its entirety the Severance Agreement dated June 3, 2010 by Employee
June 24, 2020	EX-10.2	Severance Agreement between the Company and Lutz Henckels dated June 23, 2020 Exhibit 10.2 GIGA-TRONICS INCORPORATED SEVERANCE AGREEMENT This Severance Agreement (the “Agreement”) is made and entered into by and between Lutz P. Henckels (“Employee”) and Giga-tronics Incorporated, a California corporation (the “Company”), effective as of May , 2020 (the “Effective Date”). This Agreement amends and restates in its entirety the Severance Agreement dated April 11, 2019 by Emplo
May 28, 2020	EX-21	Significant Subsidiaries Exhibit 21 Significant Subsidiaries Name Jurisdiction of Incorporation Microsource, Inc. California
May 28, 2020	10-K	Annual Report - FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 28, 2020 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 001-14605 GIGA-TRONICS INCORPORATED (Exa
May 28, 2020	EX-99.1	Giga-tronics Reports Results for Q4 FY 2020 and FY 2020 Exhibit 99.1 NEWS RELEASE For Release on May 28, 2020 Contact: Lutz Henckels 4:02 PM (ET) Executive Vice President & CFO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Reports Results for Q4 FY 2020 and FY 2020 - Fourth Quarter 2020 Revenue and Profitability Impacted by Temporary Closure Due to California Shelter-in-Place Order; Company Resumed Full Production in April - Solid Sal
May 28, 2020	EX-10.7	Severance Agreement between the Company and Daniel Kirby dated November 26, 2019 Exhibit 10.7 GIGA-TRONICS INCORPORATED SEVERANCE AGREEMENT This Severance Agreement (the “Agreement”) is made and entered into by and between DANIEL DIRBY (“Employee”) and Giga-tronics Incorporated, a California Corporation (the “Company”), effective as of November 26, 2019 (the “Effective Date”). This Agreement supersedes any existing Severance Agreement or other agreement providing similar benef
May 28, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 28, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
May 28, 2020	EX-4.1	Description of Capital Stock Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of March 28, 2020, Giga-tronics Incorporated (the “Company,” “we,” “us,” and “our”) had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), Common Stock, without par value (“Common Stock”). DESCRI
April 27, 2020	EX-10.1	Promissory Note dated April 21, 2020 between the Company and Western Alliance Bank Exhibit 10.1
April 27, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 23, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
April 15, 2020	EX-1.01	Conflict Minerals Report of Giga-tronics Incorporated. In Accordance with Rule 13p-1 under the Securities Exchange Act of 1934 Exhibit 1.01 Conflict Minerals Report of Giga-tronics Incorporated. In Accordance with Rule 13p-1 under the Securities Exchange Act of 1934 This is the Conflict Minerals Report of Giga-tronics Incorporated. (the “Company”) for calendar year 2019 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “1934 Act”). Please refer to Rule 13p-1, Form SD and the 1934
April 15, 2020	SD	GIGA / Giga-tronics Inc. SD - - FORM SD THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report Giga-tronics Incorporated (Exact name of registrant as specified in its charter) California (State or other jurisdiction of incorporation) 0-12719 (Commission File No.) 94-2656341 (IRS Employer Identification Number) 5990 Gleason Drive, Dublin, CA (Address of principal executive office
March 20, 2020	SC 13G	GIGA / Giga-tronics Inc. / WIT CORNELIS F - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Giga-tronics Incorporated (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 375175106 (CUSIP Number) March 11, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule
March 13, 2020	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 11, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
March 13, 2020	EX-10.1	Form of Securities Purchase Agreement Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) dated as of March 11, 2020 is made by and between Giga-tronics Incorporated, a corporation organized in the State of California (the “Company”), and the purchaser identified on the signature page hereto ( “Purchaser”). RECITALS A Purchaser wishes to purchase, and the Company wishes to sell, at the Purc
March 13, 2020	EX-10.2	Form of Investor Rights Agreement Exhibit 10.2 Investor rights agreement This Investor Rights Agreement (this “Agreement”) is made and entered into as of March 11, 2020, by and between Giga-tronics Incorporated, a corporation organized in the State of California (the “Company”), and the purchaser identified on the signature page hereto (the “Purchaser”). This Agreement is made pursuant to the Securities Purchase Agreement, dated a
February 6, 2020	EX-99.1	Giga-tronics Reports 39% Year-Over-Year Revenue Growth in Third Quarter Fiscal Year 2020 Exhibit 99.1 NEWS RELEASE For Release on February 6, 2020 Contact: Lutz Henckels 4:02 PM (ET) Executive Vice President & CFO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Reports 39% Year-Over-Year Revenue Growth in Third Quarter Fiscal Year 2020 Dublin, CA – February 6, 2020 – Giga-tronics Incorporated (OTCQB: GIGA) (the “Company”) reported results for the third quarter and nine
February 6, 2020	10-Q	GIGA / Giga-tronics Inc. 10-Q - Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 28, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS INCORPOR
February 6, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 6, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
February 4, 2020	EX-10.1	Modification No. 5 to Loan and Security Agreement dated January 31, 2020 between the Company and Partners for Growth V. L.P. (incorporated by reference to Exhibit 10.1 to the Company’s Form 8-K filed on February 4, 2020). Exhibit 10.1 MODIFICATION NO. 5 TO LOAN AND SECURITY AGREEMENT This Fifth Modification No. 5 to Loan and Security Agreement (this “Fifth Modification”) is entered into as of January 31, 2020 (the “Fifth Modification Effective Date”), by and between Partners for Growth V, L.P. (“PFG”), Giga-tronics Incorporated, a California corporation, and Microsource, Inc., a California corporation (individually
February 4, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 1, 2020 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
December 13, 2019	EX-3.1	Amendment to Articles of Incorporation of the Company (incorporated by reference to Exhibit 3.1 to the Company’s Form 8-K filed on December 13, 2019) Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE ARTICLES OF INCORPORATION OF GIGA-TRONICS INCORPORATED The undersigned certify that: 1. They are the President and Chief Executive Officer and the Chief Financial Officer of Giga-tronics Incorporated, a California corporation. 2. Article IV of the Articles of Incorporation of this corporation is amended to read as follows: “IV. This Corporation is author
December 13, 2019	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 12, 2019 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
December 13, 2019	EX-99.1	Giga-tronics Incorporated Announces Completion of Previously Announced Reverse Split of Common Stock Exhibit 99.1 NEWS RELEASE For Release on December 12, 2019 Giga-tronics Incorporated Announces Completion of Previously Announced Reverse Split of Common Stock - Company undertakes reverse split with the intent to uplist - to a national securities exchange - DUBLIN, California, December 12, 2019 - (GLOBE NEWSWIRE) - (OTCQB: GIGA) Giga-tronics Incorporated (the “Company”) announced today that its p
December 6, 2019	8-K/A	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 6, 2019 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
December 2, 2019	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 2, 2019 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
December 2, 2019	EX-99.1	Giga-tronics Incorporated Announces Effective Date of Previously Announced Reverse Split of Common Stock Exhibit 99.1 NEWS RELEASE For Release on December 2, 2019 Giga-tronics Incorporated Announces Effective Date of Previously Announced Reverse Split of Common Stock DUBLIN, California, December 2, 2019 - (GLOBE NEWSWIRE) - (OTCQB: GIGA) Giga-tronics Incorporated (the “Company”) announced today that its previously announced 1-for-15 reverse split of its common stock will become effective as of Decemb
November 19, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 15, 2019 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
November 19, 2019	EX-99.1	Giga-tronics Names Daniel S. Kirby Vice President of Business Development Exhibit 99.1 NEWS RELEASE For Release on November 19, 2019 Giga-tronics Names Daniel S. Kirby Vice President of Business Development Dublin, CA – November 19, 2019 – Giga-tronics Incorporated (OTCQB: GIGA) (“the Company”), announced today the appointment of Daniel S. Kirby as the Vice President of Business Development. Mr. Kirby, currently the Director of Business Development, joined Giga-tronics
November 12, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 12, 2019 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
November 12, 2019	EX-99.1	Giga-tronics Reports 13% Revenue Growth and Third Consecutive Quarter of Net Profitability for the Second Quarter FY 2020 Exhibit 99.1 NEWS RELEASE For Release on November 12, 2019 Contact: Lutz Henckels 4:02 PM (ET) Executive Vice President & CFO [email protected] (925) 328-4650 ext. 4698 Giga-tronics Reports 13% Revenue Growth and Third Consecutive Quarter of Net Profitability for the Second Quarter FY 2020 Dublin, CA – November 12, 2019 – Giga-tronics Incorporated (OTCQB: GIGA) (the “Company”) reported res
November 12, 2019	10-Q	GIGA / Giga-tronics Inc. 10-Q - Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [ X ] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 28, 2019 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14605 GIGA-TRONICS I
November 8, 2019	EX-1.1	Underwriting Agreement dated November 6, 2019 EX-1.1 2 ex163605.htm EXHIBIT 1.1 Exhibit 1.1 GIGA-TRONICS INCORPORATED UNDERWRITING AGREEMENT 10,400,000 Shares of Common Stock November 6, 2019 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Giga-tronics Incorporated, a California corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell
November 8, 2019	EX-99.1	Giga-tronics Incorporated Announces Pricing of Public Offering and Planned Reverse Split of Common Stock Exhibit 99.1 Giga-tronics Incorporated Announces Pricing of Public Offering and Planned Reverse Split of Common Stock DUBLIN, California, November 6, 2019 - (GLOBE NEWSWIRE) - (OTCQB: GIGA) —Giga-tronics Incorporated (the “Company”) today announced that it has priced an underwritten public offering of 10,400,000 shares of its common stock at the price of $0.25 per share. The Company has granted th
November 8, 2019	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 6, 2019 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
November 7, 2019	424B4	10,400,000 Shares of Common Stock GIGA-TRONICS INCORPORATED Filed Pursuant to Rule 424(b)(4) Registration No. 333-233987 10,400,000 Shares of Common Stock GIGA-TRONICS INCORPORATED We are offering 10,400,000 shares of our common stock at an offering price of $0.25 per share. Our common stock is quoted on the OTCQB tier of the OTC Market under the symbol GIGA. The high and low trading prices for shares of our common stock on November 5, 2019, were $0.30 and
November 1, 2019	S-1/A	GIGA / Giga-tronics Inc. S-1/A - - FORM S-1/A As filed with the Securities and Exchange Commission on November 1, 2019 Registration Statement No.
November 1, 2019	EX-1.1	Form of Underwriting Agreement Exhibit 1.1 GIGA-TRONICS INCORPORATED UNDERWRITING AGREEMENT [●] Shares of Common Stock , 2019 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Giga-tronics Incorporated, a California corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC (the “Underwriter”)
November 1, 2019	CORRESP	GIGA / Giga-tronics Inc. CORRESP - - Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 November 1, 2019 VIA EDGAR CORRESPONDENCE U.
November 1, 2019	CORRESP	GIGA / Giga-tronics Inc. CORRESP - - Giga-tronics Incorporated 5990 Gleason Drive Dublin, California 94568 November 1, 2019 VIA EDGAR CORRESPONDENCE U.
October 28, 2019	S-1/A	GIGA / Giga-tronics Inc. S-1/A - - FORM S-1/A As filed with the Securities and Exchange Commission on October 28, 2019 Registration Statement No.
October 28, 2019	EX-4.1	Form of Underwriter’s Warrant (incorporated by reference to Exhibit 4.1 to the Amendment No. 1 to the Company’s Registration Statement on Form S-1 filed on October 29, 2019) Exhibit 4.1 [FORM OF UNDERWRITER WARRANT] PURSUANT TO THE TERMS OF SECTION 1 OF THIS WARRANT, ALL OR A PORTION OF THIS WARRANT MAY HAVE BEEN EXERCISED, AND THEREFORE THE ACTUAL NUMBER OF WARRANT SHARES REPRESENTED BY THIS WARRANT MAY BE LESS THAN THE AMOUNT SET FORTH ON THE FACE HEREOF. GIGA-TRONICS INCORPORATED Warrant To Purchase Common Stock Warrant No.: Number of Shares of Common Stock: Date o
September 27, 2019	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 27, 2019 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
September 27, 2019	S-1	GIGA / Giga-tronics Inc. S-1 - Registration Statement - FORM S-1 As filed with the Securities and Exchange Commission on September 27, 2019 Registration Statement No.
September 25, 2019	EX-3.1	Certificate of Amendment to Articles of Incorporation of the Company (incorporated by reference to Exhibit 3.1 to the Company’s Form 8-K filed on September 25, 2019) Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE ARTICLES OF INCORPORATION OF GIGA-TRONICS INCORPORATED The undersigned certify that: 1. They are the President and Chief Executive Officer and the Chief Financial Officer of Giga-tronics Incorporated, a California corporation. 2. Article IV of the Articles of Incorporation of this corporation is amended to read as follows: “IV. This corporation is author
September 25, 2019	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 19, 2019 Giga-tronics Incorporated (Exact Name of Registrant as Specified in Charter) California 0-12719 94-2656341 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

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