Filing Details
- Accession Number:
- 0001140361-16-088509
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-02 12:52:57
- Reporting Period:
- 2016-11-30
- Filing Date:
- 2016-12-02
- Accepted Time:
- 2016-12-02 12:52:57
- 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 | 2016-11-30 | 959,290 | $0.19 | 3,503,111 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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
- The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.18 to $0.187. 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.