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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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
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
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	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

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.
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.
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.
The shares covered by the Option vest in five equal annual installments of 20% beginning one year from the date of grant.
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.
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.
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.
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.