Filing Details

Accession Number:
0001140361-16-088273
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-30 17:41:26
Reporting Period:
2016-11-28
Filing Date:
2016-11-30
Accepted Time:
2016-11-30 17:41:26
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
1305945 Tony Chung Liquidmetal Technologies, Inc.
30452 Esperanza
Rancho Santa Margarita CA 92688
Chief Financial Officer 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 2016-11-28 47,563 $0.17 2,003,112 No 4 P Direct
Common Stock Acquisiton 2016-11-29 23,191 $0.17 2,026,303 No 4 P Direct
Common Stock Acquisiton 2016-11-30 517,518 $0.18 2,543,821 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option $0.12 2020-07-11 100,000 100,000 Direct
Common Stock Stock Option $0.08 2023-02-06 781,200 781,200 Direct
Common Stock Stock Option $0.29 2024-02-05 976,500 976,500 Direct
Common Stock Stock Option $0.14 2025-01-27 1,500,000 1,500,000 Direct
Common Stock Stock Option $0.07 2026-02-17 1,500,000 1,500,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-07-11 100,000 100,000 Direct
2023-02-06 781,200 781,200 Direct
2024-02-05 976,500 976,500 Direct
2025-01-27 1,500,000 1,500,000 Direct
2026-02-17 1,500,000 1,500,000 Direct
Footnotes
  1. The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.164 to $0.167. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
  2. The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.166 to $0.17. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
  3. The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.175 to $0.18. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
  4. The shares covered by the Option vest in five equal annual installments of 20% beginning one year from the date of grant.
  5. The shares covered by the Option vest over a 5-year period on the following schedule: the shares vest 20% on the first anniversary date of grant, with the remaining 80% vesting at 1.666% per consecutive calendar month thereafter through and including the fifth anniversary of the date of grant.
  6. The shares covered by the Option will vest over a 5-year period on the following schedule: the shares vest 20% on the first anniversary of the date of grant; with the remaining 80% vesting at 1.666% per consecutive calendar month thereafter through and including the fifth anniversary of the date of grant.
  7. The shares covered by the Option shall vest 20% on the first year anniversary date from the date of grant. Thereafter, the shares covered by the Option shall vest monthly over 4 years with the Option being 100% vested on the fifth anniversary of the date of grant. Form 4 for option grant was inadvertently not timely filed, but grant was reported on Form 8-K filed by issuer on February 9, 2015.
  8. The shares covered by the Option shall vest 20% on the first year anniversary date from the date of grant. Thereafter, the shares covered by the Option shall vest monthly over 4 years with the Option being 100% vested on the fifth anniversary of the date of grant.