Filing Details
- Accession Number:
- 0001140361-17-032357
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-15 18:00:02
- Reporting Period:
- 2017-08-11
- Filing Date:
- 2017-08-15
- Accepted Time:
- 2017-08-15 18:00:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1141240 | Liquidmetal Technologies Inc | LQMT | Chemicals & Allied Products (2800) | 330264467 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1667923 | A Paul Hauck | Liquidmetal Technologies, Inc. 30452 Esperanza Rancho Santa Margarita CA 92688 | Vp-Worldwide Sales & Marketing | 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 | 2017-08-11 | 1,000,000 | $0.14 | 1,000,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-08-11 | 566,667 | $0.07 | 1,566,667 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-11 | 450,000 | $0.30 | 1,116,667 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-08-14 | 971,177 | $0.31 | 145,490 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-08-15 | 140,490 | $0.31 | 5,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | Disposition | 2017-08-11 | 1,000,000 | $0.00 | 1,000,000 | $0.14 |
| Common Stock | Stock Option | Disposition | 2017-08-11 | 566,667 | $0.00 | 566,667 | $0.07 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,000,000 | 2025-03-03 | No | 4 | M | Direct | |
| 1,433,333 | 2026-02-27 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $0.27 | 2024-02-17 | 2,282,000 | 2,282,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-02-17 | 2,282,000 | 2,282,000 | Direct |
Footnotes
- The option, representing a right to purchase a total of 2,000,000 shares, became exercisable on the first year anniversary of the date of grant, with 20% vesting on such first anniversary. Thereafter, the shares shall vest monthly over 4 years, in equal monthly installments, with the option being 100% vested on the fifth anniversary of such first anniversary.
- The option, representing a right to purchase a total of 2,000,000 shares, became exercisable on the first year anniversary of the date of grant, with 20% vesting on such first anniversary. Thereafter, the shares shall vest monthly over 4 years, in equal monthly amounts, with the option being 100% vested on the fifth anniversary of such first anniversary.
- Shares commence vesting on the on the first year anniversary of the date of grant, with 20% vesting on such first anniversary. Thereafter, the shares shall vest monthly over 4 years, in equal monthly amounts, with the option being 100% vested on the fifth anniversary of such first anniversary.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.30 to $0.305, inclusive. The Reporting Person undertakes to provide Liquidmetal Technologies Inc. ("the Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.305 to $0.316, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.30 to $0.315, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
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