Filing Details
- Accession Number:
- 0001179110-15-003701
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-27 17:09:26
- Reporting Period:
- 2015-02-25
- Filing Date:
- 2015-02-27
- Accepted Time:
- 2015-02-27 17:09:26
- 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 | Disposition | 2015-02-25 | 10,014 | $10.00 | 1,497 | No | 4 | S | Direct | |
Common Stock | Disposition | 2015-02-26 | 1,497 | $10.00 | 0 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 15,039 | Indirect | By James M. Rallo 401k |
Common Stock | 8,000 | Indirect | By James M. Rallo IRA |
Common Stock | 7,885 | Indirect | By Kimberly Rallo IRA |
Common Stock | 4,625 | Indirect | By Kimberly Rallo SIMPLE IRA |
Common Stock | 685 | Indirect | By James M. Rallo Cust. Michael Rallo MD UTMA |
Common Stock | 460 | Indirect | By James M. Rallo Cust. Melissa Rallo MD UTMA |
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 Option | $15.47 | 2020-10-01 | 6,678 | 6,678 | Direct | |
Common Stock | Employee Stock Grant | $15.47 | 2020-10-01 | 5,527 | 5,527 | Direct | |
Common Stock | Employee Stock Grant | $31.11 | 2021-10-01 | 1,862 | 1,862 | 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 | 2,502 | 2,502 | 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 | 9,162 | 9,162 | Direct | |
Common Stock | Employee Stock Option | $29.47 | 2023-07-18 | 24,871 | 24,871 | Direct | |
Common Stock | Employee Stock Grant | $21.99 | 2023-10-01 | 3,519 | 3,519 | 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 | |
Common Stock | Employee Stock Grant | $13.57 | 2024-05-14 | 44,215 | 44,215 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2018-10-01 | 2,338 | 2,338 | Direct |
2020-10-01 | 6,678 | 6,678 | Direct |
2020-10-01 | 5,527 | 5,527 | Direct |
2021-10-01 | 1,862 | 1,862 | Direct |
2021-10-01 | 12,358 | 12,358 | Direct |
2022-10-01 | 2,502 | 2,502 | Direct |
2022-10-01 | 3,335 | 3,335 | Direct |
2023-07-18 | 9,162 | 9,162 | Direct |
2023-07-18 | 24,871 | 24,871 | Direct |
2023-10-01 | 3,519 | 3,519 | 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 |
2024-05-14 | 44,215 | 44,215 | Direct |
Footnotes
- The number of securities shown as being held in Issuer's 401(k) account for the Reporting Person's benefit is the approximate number of shares of common stock. De minimis fractional interests reported by the Issuer's 401(k) Plan trustee/administrator and held indirectly through the Plan's stock purchase account are not reflected.
- Mr. Rallo disclaims beneficial ownership of these shares.
- These options became fully vested on October 1, 2013.
- These options became fully vested on October 1, 2014.
- These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
- 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.
- 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.
- 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.
- 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.
- Twenty-five percent of this restricted stock grant vested on July 1, 2014 and thereafter 1/4th of the restricted stock grant will vest on July 1 of each year for three years.
- Twenty-five percent of this option grant vested on July 18, 2014 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
- Twenty-five percent of this restricted stock grant vested on October 1, 2014 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.
- These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
- Twenty-five percent of this option grant vested on October 1, 2014 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
- This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones.
- Fifty percent of this restricted stock grant will vest on November 1, 2015 and thereafter 1/4th of the restricted stock grant will vest on November 1 of each year for two years.