0001140361-16-088509.txt : 20161202 0001140361-16-088509.hdr.sgml : 20161202 20161202125257 ACCESSION NUMBER: 0001140361-16-088509 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161130 FILED AS OF DATE: 20161202 DATE AS OF CHANGE: 20161202 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: 162030454 MAIL ADDRESS: STREET 1: 25800 COMMERCENTRE DRIVE, SUITE 100 CITY: LAKE FOREST STATE: CA ZIP: 92630 4 1 doc1.xml FORM 4 X0306 4 2016-11-30 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 2016-11-30 4 P 0 959290 0.1869 A 3503111 D Stock Option .124 2020-07-11 Common Stock 100000 100000 D Stock Option .08 2023-02-06 Common Stock 781200 781200 D Stock Option .29 2024-02-05 Common Stock 976500 976500 D Stock Option .14 2025-01-27 Common Stock 1500000 1500000 D Stock Option .07 2026-02-17 Common Stock 1500000 1500000 D The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.18 to $0.187. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price. The shares covered by the Option vest in five equal annual installments of 20% beginning one year from the date of grant. The shares covered by the Option 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. The shares covered by the Option 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 Tony Chung 2016-12-02