0001179110-14-008299.txt : 20140513 0001179110-14-008299.hdr.sgml : 20140513 20140513171335 ACCESSION NUMBER: 0001179110-14-008299 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140509 FILED AS OF DATE: 20140513 DATE AS OF CHANGE: 20140513 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LIQUIDITY SERVICES INC CENTRAL INDEX KEY: 0001235468 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 1920 L STREET, N.W. STREET 2: 6TH FLOOR CITY: WASHINGTON STATE: DC ZIP: 20036 BUSINESS PHONE: 2024676868 MAIL ADDRESS: STREET 1: 1920 L STREET, N.W. STREET 2: 6TH FLOOR CITY: WASHINGTON STATE: DC ZIP: 20036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rallo James M CENTRAL INDEX KEY: 0001352659 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51813 FILM NUMBER: 14838353 MAIL ADDRESS: STREET 1: C/O LIQUIDITY SERVICES INC. STREET 2: 1920 L STREET, N.W., 6TH FLOOR CITY: WASHINGTON STATE: DC ZIP: 20036 4 1 edgar.xml FORM 4 - X0306 4 2014-05-09 0 0001235468 LIQUIDITY SERVICES INC LQDT 0001352659 Rallo James M C/O LIQUIDITY SERVICES, INC. 1920 L STREET, N.W., 6TH FLOOR WASHINGTON DC 20036 0 1 0 0 CFO, Treasurer, President RSCG Common Stock 2014-05-09 4 P 0 8000 12.20 A 8000 I By James M. Rallo IRA Common Stock 2014-05-09 4 P 0 7885 12.20 A 7885 I By Kimberly Rallo IRA Common Stock 2014-05-09 4 P 0 4625 12.20 A 4625 I By Kimberly Rallo SIMPLE IRA Common Stock 2014-05-09 4 P 0 685 12.20 A 685 I By James M. Rallo Cust. Michael Rallo MD UTMA Common Stock 2014-05-09 4 P 0 460 12.20 A 460 I By James M. Rallo Cust. Melissa Rallo MD UTMA Common Stock 2014-05-12 4 P 0 14065 13.06 A 14065 I By James M. Rallo 401k Employee Stock Option 7.48 2018-10-01 Common Stock 2338 2338 D Employee Stock Grant 15.47 2020-10-01 Common Stock 4172 4172 D Employee Stock Option 15.47 2020-10-01 Common Stock 6678 6678 D Employee Stock Grant 15.47 2020-10-01 Common Stock 5526 5526 D Employee Stock Grant 31.11 2021-10-01 Common Stock 3723 3723 D Employee Stock Option 31.11 2021-10-01 Common Stock 12358 12358 D Employee Stock Grant 38.09 2022-10-01 Common Stock 3753 3753 D Employee Stock Grant 38.09 2022-10-01 Common Stock 5003 5003 D Employee Stock Option 38.09 2022-10-01 Common Stock 3335 3335 D Employee Stock Option 38.09 2022-10-01 Common Stock 3335 3335 D Employee Stock Grant 29.47 2023-07-18 Common Stock 12216 12216 D Employee Stock Grant 29.47 2023-07-18 Common Stock 28503 28503 D Employee Stock Option 29.47 2023-07-18 Common Stock 24871 24871 D Employee Stock Option 29.47 2023-07-18 Common Stock 58031 58031 D Employee Stock Grant 21.99 2023-10-01 Common Stock 4692 4692 D Employee Stock Grant 21.99 2023-10-01 Common Stock 4691 4691 D Employee Stock Option 21.99 2023-10-01 Common Stock 9938 9938 D Employee Stock Option 21.99 2023-10-01 Common Stock 9938 9938 D Twenty percent of this option grant vested on October 1, 2009 and thereafter 1/60th of the option grant will vest each month for forty-eight months. Twenty-five percent of this restricted stock grant vested on October 1, 2011 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years. Twenty-five percent of this option grant vested on October 1, 2011 and thereafter 1/48th of the option grant will vest each month for thirty-six months. These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones. Twenty-five percent of this restricted stock grant vested on October 1, 2012 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years. Twenty-five percent of this option grant vested on October 1, 2012 and thereafter 1/48th of the option grant will vest each month for thirty-six months. Twenty-five percent of this restricted stock grant vested on October 1, 2013 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years. These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones. Twenty-five percent of this option grant vested on October 1, 2013 and thereafter 1/48th of the option grant will vest each month for thirty-six months. This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones. Twenty-five percent of this restricted stock grant will vest on July 1, 2014 and thereafter 1/4th of the restricted stock grant will vest on July 1 of each year for three years. These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones. Twenty-five percent of this option grant will vest on July 18, 2014 and thereafter 1/48th of the option grant will vest each month for thirty-six months. This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones. Twenty-five percent of this restricted stock grant will vest on October 1, 2014 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years. These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones. Twenty-five percent of this option grant will vest on October 1, 2014 and thereafter 1/48th of the option grant will vest each month for thirty-six months. This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones. /s/ James E. Williams, by power of attorney 2014-05-13