Filing Details
- Accession Number:
- 0001179110-10-014403
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-09-30 18:02:34
- Reporting Period:
- 2010-09-28
- Filing Date:
- 2010-09-30
- Accepted Time:
- 2010-09-30 18:02:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1352656 | Jaime Mateus-Tique | C/O Liquidity Services, Inc. 1920 L Street, N.w., 6Th Floor Washington DC 20036 | Yes | No | 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 | Disposition | 2010-09-28 | 25,000 | $15.67 | 235,262 | No | 4 | S | Indirect | By the Em El 2007 Irrevocable Trust |
| Common Stock | Disposition | 2010-09-29 | 25,000 | $16.01 | 210,262 | No | 4 | S | Indirect | By the Em El 2007 Irrevocable Trust |
| Common Stock | Disposition | 2010-09-30 | 25,000 | $15.97 | 185,262 | No | 4 | S | Indirect | By the Em El 2007 Irrevocable Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By the Em El 2007 Irrevocable Trust |
| No | 4 | S | Indirect | By the Em El 2007 Irrevocable Trust |
| No | 4 | S | Indirect | By the Em El 2007 Irrevocable Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 737,345 | Direct | |
| Common Stock | 700,000 | Indirect | By the Jaime Mateus-Tique 2009 GRAT |
| Common Stock | 20,400 | Indirect | By the Mateus-Tique Foundation |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option | $11.77 | 2020-02-01 | 18,612 | 18,612 | Direct | |
| Common Stock | Employee Stock Grant | $10.70 | 2020-02-01 | 3,364 | 3,364 | Direct | |
| Common Stock | Employee Stock Option | $12.02 | 2017-10-01 | 76,000 | 76,000 | Direct | |
| Common Stock | Employee Stock Option | $17.63 | 2016-09-21 | 75,000 | 75,000 | Direct | |
| Common Stock | Employee Stock Option | $7.00 | 2015-12-21 | 30,000 | 30,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-02-01 | 18,612 | 18,612 | Direct |
| 2020-02-01 | 3,364 | 3,364 | Direct |
| 2017-10-01 | 76,000 | 76,000 | Direct |
| 2016-09-21 | 75,000 | 75,000 | Direct |
| 2015-12-21 | 30,000 | 30,000 | Direct |
Footnotes
- The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2007.
- The reporting person transferred 257,311 shares from the Jaime Mateus-Tique 2005 Qualified Grantor Retained Annuity Trust to the Em El 2007 Irrevocable Trust on September 28, 2010.
- These options have a one-year vesting period such that 100% of this option grant will vest on February 1, 2011.
- These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2011.
- Twenty-five percent of this option grant vested on October 1, 2008 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
- These options became fully vested on September 21, 2010.
- These options became fully vested on April 19, 2006.
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