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OMB APPROVAL
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OMB Number: 3235-0145
Expires: August 31, 1999
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 12)*
Sigma Designs, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
82656 10 3
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(CUSIP Number)
December 31, 1999
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[_] Rule 13d-1(b)
[_] Rule 13d-1(c)
[X] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
Potential persons who are to 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.
Page 1 of 4 pages
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CUSIP NO. 82656 10 3
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NAME OF REPORTING PERSONS.
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Thinh Q. Tran
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
2 (a) [_]
(b) [_]
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SEC USE ONLY
3
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CITIZENSHIP OR PLACE OF ORGANIZATION
4
UNITED STATES OF AMERICA
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SOLE VOTING POWER
5
NUMBER OF 1,120,381**
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
-0-
OWNED BY
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EACH SOLE DISPOSITIVE POWER
7
REPORTING 1,120,381**
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
-0-
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,120,381**
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (SEE INSTRUCTIONS)
[_]
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11
7%
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12
IN
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** Includes 671,290 shares underlying stock options exercisable within 60 days
of December 31, 1999.
Page 2 of 4 pages
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Item 1.
(a) Name of Issuer
Sigma Designs, Inc.
(b) Address of Issuer's Principal Executive Offices
355 Fairview Way
Milpitas, CA 95035
Item 2.
(a) Name of Person Filing
Thinh Q. Tran
(b) Address of Principal Business Office or, if none, Residence
c/o Sigma Designs, Inc.
355 Fairview Way
Milpitas, CA 95035
(c) Citizenship
United States of America
(d) Title of Class of Securities
Common Stock
(e) CUSIP Number
Not Applicable
Item 3. Not Applicable
Item 4. Ownership
(a) Amount of beneficially owed: 1,120,381**
(b) Percent of class: 7%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote. 1,120,381**
(ii) Shared power to vote or to direct the vote. -0-
(iii) Sole power to dispose or to direct the disposition of 1,120,381**
(iv) Shared power to dispose or to direct the disposition of -0-
Item 5. Ownership of Five Percent or Less of a Class
Not Applicable
Item 6. Ownership of More than Five Percent on Behalf of Another Person
Not Applicable
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on By the Parent Holding Company
Not Applicable
Item 8. Identification and Classification of Members of the Group
Not Applicable
** Includes 671,290 shares underlying stock options exercisable within 60 days
of December 31, 1999.
Page 3 of 4 pages
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Item 9. Notice of Dissolution of Group
Not Applicable
Item 10. Certification
Not Applicable
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set in this statement is true, complete and
correct.
2/14/2000
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Date
/s/ Thinh Q. Tran
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Signature
Thinh Q. Tran, President and Chief Executive Officer
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Name/Title
Page 4 of 4 pages
