Form 4 SOROS ROBERT For: Sep 08 Filed by: SIGMA DESIGNS INC
September 12, 2017 4:32 PM EDT
| FORM
4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities
Exchange Act of 1934
or Section 30(h) of the Investment Company Act of
1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
|
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue.
See
Instruction 1(b).
|
1. Name and Address of Reporting Person
*
| 250 WEST 55TH STREET, 38TH FLOOR |
|
(Street)
|
2. Issuer Name
and
Ticker or Trading Symbol
SIGMA DESIGNS INC
[
SIGM
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
3. Date of Earliest Transaction
(Month/Day/Year)
09/08/2017
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check
Applicable Line)
|
Form filed by One Reporting Person |
| X |
Form filed by More than One Reporting
Person |
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned |
|---|
| 1.
Title of Security (Instr.
3)
|
2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction Code (Instr.
8)
|
4.
Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
|
5.
Amount of Securities Beneficially Owned Following Reported
Transaction(s) (Instr.
3 and 4)
|
6.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
7.
Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock, no par value per share
|
09/08/2017 |
|
P |
|
7,210
|
A
|
$
5.8292
|
5,021,041
|
I
|
See Footnote
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
|
5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
|
6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
|
8. Price of Derivative Security (Instr.
5)
|
9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
|
10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
11. Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
|
|
|
| Remarks: |
| The filing of this statement shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of any securities not held directly for its account for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. |
|
/s/ Regan O'Neill, as Assistant General Counsel |
09/12/2017 |
|
** Signature of Reporting Person |
Date |
|
/s/ Regan O'Neill, as Attorney-in-Fact for George Soros |
09/12/2017 |
|
** Signature of Reporting Person |
Date |
|
/s/ Regan O'Neill, as Attorney-in-Fact for Robert Soros |
09/12/2017 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(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). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| 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 Number. |
JOINT FILING INFORMATION
Reporting Person: SOROS FUND MANAGEMENT LLC
Address: 250 WEST 55TH STREET
38TH FLOOR
NEW YORK, NY 10019
Designated Filer: SOROS FUND MANAGEMENT LLC
Issuer and Symbol: SIGMA DESIGNS, INC. [ SIGM ]
Date of Event
Requiring Statement: 9/08/2017
Signature: /s/ Regan O'Neill
-----------------
Regan O'Neill, as Assistant General Counsel
Reporting Person: GEORGE SOROS
Address: 250 WEST 55TH STREET
38TH FLOOR
NEW YORK, NY 10019
Designated Filer: SOROS FUND MANAGEMENT LLC
Issuer and Symbol: SIGMA DESIGNS, INC. [ SIGM ]
Date of Event
Requiring Statement: 9/08/2017
Signature: /s/ Regan O'Neill
-----------------
Regan O'Neill, as Attorney-in-Fact
Reporting Person: ROBERT SOROS
Address: 250 WEST 55TH STREET
38TH FLOOR
NEW YORK, NY 10019
Designated Filer: SOROS FUND MANAGEMENT LLC
Issuer and Symbol: SIGMA DESIGNS, INC. [ SIGM ]
Date of Event
Requiring Statement: 9/08/2017
Signature: /s/ Regan O'Neill
-----------------
Regan O'Neill, as Attorney-in-Fact
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