0001140361-16-054386.txt : 20160222 0001140361-16-054386.hdr.sgml : 20160222 20160222164156 ACCESSION NUMBER: 0001140361-16-054386 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150127 FILED AS OF DATE: 20160222 DATE AS OF CHANGE: 20160222 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LIQUIDMETAL TECHNOLOGIES INC CENTRAL INDEX KEY: 0001141240 STANDARD INDUSTRIAL CLASSIFICATION: CHEMICALS & ALLIED PRODUCTS [2800] IRS NUMBER: 330264467 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 30452 ESPERANZA CITY: RANCHO SANTA MARGARITA STATE: CA ZIP: 92688 BUSINESS PHONE: 800-511-3651 MAIL ADDRESS: STREET 1: 30452 ESPERANZA CITY: RANCHO SANTA MARGARITA STATE: CA ZIP: 92688 FORMER COMPANY: FORMER CONFORMED NAME: LIQUIDMETAL TECHNOLOGIES DATE OF NAME CHANGE: 20010523 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SEVCIK RICHARD W CENTRAL INDEX KEY: 0001232253 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31332 FILM NUMBER: 161445534 MAIL ADDRESS: STREET 1: C/O LIQUIDMETAL TECHNOLOGIES, INC. STREET 2: 30452 ESPERANZA CITY: RANCHO SANTA MARGARITA STATE: CA ZIP: 92688 4 1 doc1.xml FORM 4 X0306 4 2015-01-27 0 0001141240 LIQUIDMETAL TECHNOLOGIES INC LQMT 0001232253 SEVCIK RICHARD W C/O LIQUIDMETAL TECHNOLOGIES, INC. 30452 ESPERANZA RANCHO SANTA MARGARITA CA 92688 1 0 0 0 Options to Purchase Common Stock .29 2024-02-05 Common Stock 140000 140000 D Stock Option .14 2015-01-27 4 A 0 400000 .14 A 2025-01-27 Common Stock 400000 400000 D Stock Option .07 2016-02-17 4 A 0 400000 .07 A 2026-02-17 Common Stock 400000 400000 D The shares reported in column 7 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. /s/ Curt P. Creely, as Attorney-in-Fact for Richard W. Sevcik 2016-02-22