Filing Details
- Accession Number:
- 0001140361-12-008035
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2012-02-14 15:27:50
- Reporting Period:
- 2011-10-26
- Filing Date:
- 2012-02-14
- Accepted Time:
- 2012-02-14 15:27:50
- 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 |
---|---|---|---|---|---|---|---|
1201414 | W Thomas Steipp | Liquidmetal Technologies, Inc. 30452 Esperanza Rancho Santa Margarita CA 92688 | President And Ceo | Yes | 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 | 2011-10-26 | 15,000 | $0.20 | 7,625,893 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-10-31 | 15,000 | $0.20 | 7,610,893 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants (right to buy) | Acquisiton | 2009-10-30 | 510,205 | $0.00 | 510,205 | $0.49 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
510,205 | 2009-10-30 | 2015-07-31 | No | 4 | P | Direct |
Footnotes
- Sale of common stock was done under a plan of sale under Rule 10B5-1 of the Securities Exchange Act of 1934 that Mr. Steipp had adopted, as announced by the Company on September 12, 2011.
- These warrants were acquired by the reporting person in connection with the reporting person's purchase of shares of the issuer's Series A Preferred Stock in October 2009. While the reporting person's ownership of the Series A Preferred Stock has been previously reported, the associated warrants were inadvertently omitted from the reporting person's original Form 3.