FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Chung Tony
2. Issuer Name and Ticker or Trading Symbol

LIQUIDMETAL TECHNOLOGIES INC [ LQMT ]
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
(Last)          (First)          (Middle)

LIQUIDMETAL TECHNOLOGIES, INC., 30452 ESPERANZA
3. Date of Earliest Transaction (MM/DD/YYYY)

11/28/2016
(Street)

RANCHO SANTA MARGARITA, CA 92688
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   11/28/2016     P    47563   A $0.1657   (1) 2003112   D    
Common Stock   11/29/2016     P    23191   A $0.1691   (2) 2026303   D    
Common Stock   11/30/2016     P    517518   A $0.1795   (3) 2543821   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option   $.124                      (4) 7/11/2020   Common Stock   100000     100000   D    
Stock Option   $.08                      (5) 2/6/2023   Common Stock   781200     781200   D    
Stock Option   $.29                      (6) 2/5/2024   Common Stock   976500     976500   D    
Stock Option   $.14                      (7) 1/27/2025   Common Stock   1500000     1500000   D    
Stock Option   $.07                      (8) 2/17/2026   Common Stock   1500000     1500000   D    

Explanation of Responses:
( 1)  The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.164 to $0.167. 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.
( 2)  The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.166 to $0.17. 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.
( 3)  The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.175 to $0.18. 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.
( 4)  The shares covered by the Option vest in five equal annual installments of 20% beginning one year from the date of grant.
( 5)  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.
( 6)  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.
( 7)  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.
( 8)  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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Chung Tony
LIQUIDMETAL TECHNOLOGIES, INC.
30452 ESPERANZA
RANCHO SANTA MARGARITA, CA 92688


Chief Financial Officer

Signatures
/s/ Curt P. Creely as Attorney-in-Fact for Tony Chung 11/30/2016
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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.
Liquidmetal Technologies (QB) (USOTC:LQMT)
Historical Stock Chart
From Feb 2024 to Mar 2024 Click Here for more Liquidmetal Technologies (QB) Charts.
Liquidmetal Technologies (QB) (USOTC:LQMT)
Historical Stock Chart
From Mar 2023 to Mar 2024 Click Here for more Liquidmetal Technologies (QB) Charts.