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