Filing Details

Accession Number:
0001179110-14-008299
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-05-13 17:13:35
Reporting Period:
2014-05-09
Filing Date:
2014-05-13
Accepted Time:
2014-05-13 17:13:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1235468 Liquidity Services Inc LQDT Services-Business Services, Nec (7389) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1352659 M James Rallo C/o Liquidity Services, Inc.
1920 L Street, N.w., 6Th Floor
Washington DC 20036
Cfo, Treasurer, President Rscg No 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 2014-05-09 8,000 $12.20 8,000 No 4 P Indirect By James M. Rallo IRA
Common Stock Acquisiton 2014-05-09 7,885 $12.20 7,885 No 4 P Indirect By Kimberly Rallo IRA
Common Stock Acquisiton 2014-05-09 4,625 $12.20 4,625 No 4 P Indirect By Kimberly Rallo SIMPLE IRA
Common Stock Acquisiton 2014-05-09 685 $12.20 685 No 4 P Indirect By James M. Rallo Cust. Michael Rallo MD UTMA
Common Stock Acquisiton 2014-05-09 460 $12.20 460 No 4 P Indirect By James M. Rallo Cust. Melissa Rallo MD UTMA
Common Stock Acquisiton 2014-05-12 14,065 $13.06 14,065 No 4 P Indirect By James M. Rallo 401k
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By James M. Rallo IRA
No 4 P Indirect By Kimberly Rallo IRA
No 4 P Indirect By Kimberly Rallo SIMPLE IRA
No 4 P Indirect By James M. Rallo Cust. Michael Rallo MD UTMA
No 4 P Indirect By James M. Rallo Cust. Melissa Rallo MD UTMA
No 4 P Indirect By James M. Rallo 401k
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Employee Stock Option $7.48 2018-10-01 2,338 2,338 Direct
Common Stock Employee Stock Grant $15.47 2020-10-01 4,172 4,172 Direct
Common Stock Employee Stock Option $15.47 2020-10-01 6,678 6,678 Direct
Common Stock Employee Stock Grant $15.47 2020-10-01 5,526 5,526 Direct
Common Stock Employee Stock Grant $31.11 2021-10-01 3,723 3,723 Direct
Common Stock Employee Stock Option $31.11 2021-10-01 12,358 12,358 Direct
Common Stock Employee Stock Grant $38.09 2022-10-01 3,753 3,753 Direct
Common Stock Employee Stock Grant $38.09 2022-10-01 5,003 5,003 Direct
Common Stock Employee Stock Option $38.09 2022-10-01 3,335 3,335 Direct
Common Stock Employee Stock Option $38.09 2022-10-01 3,335 3,335 Direct
Common Stock Employee Stock Grant $29.47 2023-07-18 12,216 12,216 Direct
Common Stock Employee Stock Grant $29.47 2023-07-18 28,503 28,503 Direct
Common Stock Employee Stock Option $29.47 2023-07-18 24,871 24,871 Direct
Common Stock Employee Stock Option $29.47 2023-07-18 58,031 58,031 Direct
Common Stock Employee Stock Grant $21.99 2023-10-01 4,692 4,692 Direct
Common Stock Employee Stock Grant $21.99 2023-10-01 4,691 4,691 Direct
Common Stock Employee Stock Option $21.99 2023-10-01 9,938 9,938 Direct
Common Stock Employee Stock Option $21.99 2023-10-01 9,938 9,938 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-10-01 2,338 2,338 Direct
2020-10-01 4,172 4,172 Direct
2020-10-01 6,678 6,678 Direct
2020-10-01 5,526 5,526 Direct
2021-10-01 3,723 3,723 Direct
2021-10-01 12,358 12,358 Direct
2022-10-01 3,753 3,753 Direct
2022-10-01 5,003 5,003 Direct
2022-10-01 3,335 3,335 Direct
2022-10-01 3,335 3,335 Direct
2023-07-18 12,216 12,216 Direct
2023-07-18 28,503 28,503 Direct
2023-07-18 24,871 24,871 Direct
2023-07-18 58,031 58,031 Direct
2023-10-01 4,692 4,692 Direct
2023-10-01 4,691 4,691 Direct
2023-10-01 9,938 9,938 Direct
2023-10-01 9,938 9,938 Direct
Footnotes
  1. Twenty percent of this option grant vested on October 1, 2009 and thereafter 1/60th of the option grant will vest each month for forty-eight months.
  2. Twenty-five percent of this restricted stock grant vested on October 1, 2011 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.
  3. Twenty-five percent of this option grant vested on October 1, 2011 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
  4. These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
  5. Twenty-five percent of this restricted stock grant vested on October 1, 2012 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.
  6. Twenty-five percent of this option grant vested on October 1, 2012 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
  7. Twenty-five percent of this restricted stock grant vested on October 1, 2013 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.
  8. These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
  9. Twenty-five percent of this option grant vested on October 1, 2013 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
  10. This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones.
  11. Twenty-five percent of this restricted stock grant will vest on July 1, 2014 and thereafter 1/4th of the restricted stock grant will vest on July 1 of each year for three years.
  12. These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
  13. Twenty-five percent of this option grant will vest on July 18, 2014 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
  14. This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones.
  15. Twenty-five percent of this restricted stock grant will vest on October 1, 2014 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.
  16. These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
  17. Twenty-five percent of this option grant will vest on October 1, 2014 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
  18. This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones.