0001179110-15-013748.txt : 20151002 0001179110-15-013748.hdr.sgml : 20151002 20151002200045 ACCESSION NUMBER: 0001179110-15-013748 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151002 FILED AS OF DATE: 20151002 DATE AS OF CHANGE: 20151002 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: Williams James Edwin CENTRAL INDEX KEY: 0001352872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51813 FILM NUMBER: 151141886 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 2015-10-02 0 0001235468 LIQUIDITY SERVICES INC LQDT 0001352872 Williams James Edwin C/O LIQUIDITY SERVICES, INC. 1920 L STREET, N.W., 6TH FLOOR WASHINGTON DC 20036 0 1 0 0 VP, Gen. Counsel & Secretary Common Stock 2015-10-02 4 S 0 6409 7.23 D 700 D Employee Stock Option 9.05 2019-10-01 Common Stock 508 508 D Employee Stock Option 15.47 2020-10-01 Common Stock 2706 2706 D Employee Stock Grant 15.47 2020-10-01 Common Stock 2765 2765 D Employee Stock Option 31.11 2021-10-01 Common Stock 5950 5950 D Employee Stock Grant 38.09 2022-10-01 Common Stock 689 689 D Employee Stock Option 38.09 2022-10-01 Common Stock 1835 1835 D Employee Stock Grant 21.99 2023-10-01 Common Stock 1885 1885 D Employee Stock Grant 21.99 2023-10-01 Common Stock 3769 3769 D Employee Stock Option 21.99 2023-10-01 Common Stock 7985 7985 D Employee Stock Option 21.99 2023-10-01 Common Stock 7985 7985 D Employee Stock Grant 10.41 2024-10-01 Common Stock 11642 11642 D Employee Stock Grant 10.41 2024-10-01 Common Stock 3881 3881 D Employee Stock Option 10.41 2024-10-01 Common Stock 9053 9053 D Employee Stock Option 10.41 2024-10-01 Common Stock 2263 2263 D These options became fully vested on October 1, 2013. These options became fully vested on October 1, 2014. These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones. These options became fully vested on October 1, 2015. 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. 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. Twenty-five percent of this restricted stock grant vested 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 vested 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. Twenty-five percent of this restricted stock grant vested on October 1, 2015 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, 2015 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 2015-10-02