0001140361-16-054381.txt : 20160222 0001140361-16-054381.hdr.sgml : 20160222 20160222163955 ACCESSION NUMBER: 0001140361-16-054381 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: Mahamedi Abdi CENTRAL INDEX KEY: 0001463988 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31332 FILM NUMBER: 161445504 MAIL ADDRESS: STREET 1: 2 GANNETT DRIVE STREET 2: SUITE 201 CITY: WHITE PLAINS STATE: NY ZIP: 10604 4 1 doc1.xml FORM 4 X0306 4 2015-01-27 0 0001141240 LIQUIDMETAL TECHNOLOGIES INC LQMT 0001463988 Mahamedi Abdi LIQUIDMETAL TECHNOLOGIES, INC. 30452 ESPERANZA RANCHO SANTA MARGARITA CA 92688 1 0 0 0 Common Stock 13858908 I See Footnote Common Stock 759428 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 Shares indirectly held in the name of Carlyle Holdings, LLC. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of the reporting person's pecuniary interest in such securities. 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 Abdi Mahamedi 2016-02-22