UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant (Right to Buy) | 02/04/2016 | 02/04/2019 | Common Stock | 5,556 | $ 5.4 | D | |
Warrant (Right to Buy) | 02/09/2016 | 02/09/2019 | Common Stock | 22,223 | $ 4.5 | D | |
Warrant (Right to Buy) | (2) | 03/31/2021 | Common Stock | 3,102 | $ 4.5 | D | |
Warrant (Right to Buy) | 04/11/2016 | 04/11/2019 | Common Stock | 4,745 | $ 5.4 | D | |
Warrant (Right to Buy) | 06/09/2016 | 06/09/2019 | Common Stock | 4,778 | $ 5.4 | D | |
Warrant (Right to Buy) | (2) | 06/30/2021 | Common Stock | 3,102 | $ 4.5 | D | |
Warrant (Right to Buy) | 12/23/2016 | 12/23/2021 | Common Stock | 9,058 | $ 5.4 | D | |
Warrant (Right to Buy) | 02/28/2018 | 02/28/2023 | Common Stock | 9,058 | $ 5.4 | D | |
Warrant (Right to Buy) | 04/23/2018 | 04/23/2023 | Common Stock | 4,630 | $ 3 | D | |
Warrant (Right to Buy) | 06/28/2018 | 06/28/2023 | Common Stock | 13,889 | $ 3 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MOYER BRETT C/O SUMMIT SEMICONDUCTOR, INC. 6840 VIA DEL ORO STE. 280 SAN JOSE, CA 95119 |
X | See Remarks |
/s/ Brett Moyer | 07/29/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 90,188 shares of restricted common stock which will be released on September 1, 2018 and 179,836 shares of restricted common stock which will be released in two equal tranches on March 1, 2019 and September 1, 2019. |
(2) | Represents warrants that are exercisable beginning on the date of the issuer's initial public offering. |
Remarks: Chief Executive Officer, President and Chairman of the Board |