Statement of Changes in Beneficial Ownership (4)
March 20 2014 - 3:55PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Chung Tony
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2. Issuer Name
and
Ticker or Trading Symbol
LIQUIDMETAL TECHNOLOGIES INC
[
LQMT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer
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(Last)
(First)
(Middle)
LIQUIDMETAL TECHNOLOGIES, INC., 30452 ESPERANZA
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/18/2014
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(Street)
RANCHO SANTA MARGARITA, CA 92688
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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3/18/2014
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S
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70566
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D
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$0.2866
(1)
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1819777
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D
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Common Stock
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3/19/2014
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S
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494778
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D
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$0.2770
(2)
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1324999
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D
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Common Stock
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3/20/2014
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M
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200000
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A
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$0.086
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1524999
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D
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Common Stock
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3/20/2014
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M
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150000
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A
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$0.124
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1674999
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D
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Common Stock
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3/20/2014
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M
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195300
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A
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$0.08
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1870299
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Options to Purchase Common Stock
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$0.086
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3/20/2014
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M
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200000
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(3)
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12/1/2019
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Common Stock
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200000
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$0
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0
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D
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Options to Purchase Common Stock
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$0.124
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3/20/2014
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M
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150000
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(3)
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7/11/2020
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Common Stock
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150000
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$0
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100000
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D
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Options to Purchase Common Stock
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$0.08
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3/20/2014
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M
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195300
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(4)
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2/6/2023
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Common Stock
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195300
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$0
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781200
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D
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Explanation of Responses:
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(
1)
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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.
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(
2)
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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.
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(
3)
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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.
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(
4)
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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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Chung Tony
LIQUIDMETAL TECHNOLOGIES, INC.
30452 ESPERANZA
RANCHO SANTA MARGARITA, CA 92688
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Chief Financial Officer
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Signatures
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/s/ Tony Chung
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3/20/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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