0001140361-14-013670.txt : 20140320 0001140361-14-013670.hdr.sgml : 20140320 20140320155503 ACCESSION NUMBER: 0001140361-14-013670 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140318 FILED AS OF DATE: 20140320 DATE AS OF CHANGE: 20140320 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: Chung Tony CENTRAL INDEX KEY: 0001305945 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31332 FILM NUMBER: 14706805 MAIL ADDRESS: STREET 1: 25800 COMMERCENTRE DRIVE, SUITE 100 CITY: LAKE FOREST STATE: CA ZIP: 92630 4 1 doc1.xml FORM 4 X0306 4 2014-03-18 0 0001141240 LIQUIDMETAL TECHNOLOGIES INC LQMT 0001305945 Chung Tony LIQUIDMETAL TECHNOLOGIES, INC. 30452 ESPERANZA RANCHO SANTA MARGARITA CA 92688 0 1 0 0 Chief Financial Officer Common Stock 2014-03-18 4 S 0 70566 0.2866 D 1819777 D Common Stock 2014-03-19 4 S 0 494778 0.2770 D 1324999 D Common Stock 2014-03-20 4 M 0 200000 0.086 A 1524999 D Common Stock 2014-03-20 4 M 0 150000 0.124 A 1674999 D Common Stock 2014-03-20 4 M 0 195300 0.08 A 1870299 D Options to Purchase Common Stock 0.086 2014-03-20 4 M 0 200000 0 D 2019-12-01 Common Stock 200000 0 D Options to Purchase Common Stock 0.124 2014-03-20 4 M 0 150000 0 D 2020-07-11 Common Stock 150000 100000 D Options to Purchase Common Stock 0.08 2014-03-20 4 M 0 195300 0 D 2023-02-06 Common Stock 195300 781200 D The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.275 to $0.30, inclusive. The reporting person undertakes to provide to Liquidmetal Technologies, Inc., any security holder of Liquidmetal Technologies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.275 to $0.28, inclusive. The reporting person undertakes to provide to Liquidmetal Technologies, Inc., any security holder of Liquidmetal Technologies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein. Options were granted pursuant to the 2002 Equity Incentive Plan and vest in five equal annual installments of 20% beginning one year from the date of grant. Options 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. /s/ Tony Chung 2014-03-20