Filing Details
- Accession Number:
- 0001394413-13-000007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-05 19:01:47
- Reporting Period:
- 2013-06-03
- Filing Date:
- 2013-06-05
- Accepted Time:
- 2013-06-05 19:01:47
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1126741 | Gsi Technology Inc | GSIT | Semiconductors & Related Devices (3674) | 770398779 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1394413 | Lee-Lean Shu | Gsi Technology, Inc. 1213 Elko Drive Sunnyvale CA 94089 | President, Ceo And Chairman | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-06-03 | 47,619 | $2.10 | 1,761,911 | No | 4 | M | Direct | |
Common Stock | Disposition | 2013-06-03 | 47,619 | $5.66 | 1,714,292 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2013-06-03 | 9,844 | $2.10 | 1,724,136 | No | 4 | M | Direct | |
Common Stock | Disposition | 2013-06-03 | 9,844 | $5.66 | 1,714,292 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2013-06-04 | 1,036 | $2.10 | 1,719,328 | No | 4 | M | Direct | |
Common Stock | Disposition | 2013-06-04 | 1,036 | $5.65 | 1,714,292 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (right to buy) | Disposition | 2013-06-03 | 47,619 | $0.00 | 47,619 | $2.10 |
Common Stock | Stock Option (right to buy) | Disposition | 2013-06-30 | 9,844 | $0.00 | 9,844 | $2.10 |
Common Stock | Stock Option (right to buy) | Disposition | 2013-06-04 | 1,036 | $0.00 | 1,036 | $2.10 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2013-07-15 | No | 4 | M | Direct | |
37,775 | 2013-07-15 | No | 4 | M | Direct | |
36,739 | 2013-07-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 100,000 | Indirect | By Spouse |
Common Stock | 400,000 | Indirect | By GoodFortune GSI Inc. |
Common Stock | 6,800 | Indirect | By Child |
Common Stock | 6,800 | Indirect | By Child |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 17, 2013.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.65 to $5.68, inclusive. The reporting person undertakes to provide to GSI Technology, Inc., any security holder of GSI Technology, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this form 4.
- Mr. Shu, along with his spouse, transferred these shares to his mother- and father-in-law who then transferred them to GoodFortune GSI Inc. Mr. Shu disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.
- Stock option was granted to reporting person on July 15, 2003 and is fully vested.