SEC Form 4 · accession 0001140361-17-043378
LIQUIDMETAL TECHNOLOGIES INC · LQMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tony Chung
Director
Period of report
Nov 16, 2017
Accepted (ET)
Nov 20, 2017 · 4:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001141240
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 16, 2017 | S | 3,417,861 | $0.2038 | D | 85,250 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $0.124 | holding | — | — | — | — | Aug 16, 2018 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF2 | $0.08 | holding | — | — | — | — | Aug 16, 2018 | Common Stock | 732,374 | 732,374 | D |
| Stock OptionF2 | $0.29 | holding | — | — | — | — | Aug 16, 2018 | Common Stock | 732,375 | 732,375 | D |
| Stock OptionF2 | $0.14 | holding | — | — | — | — | Aug 16, 2018 | Common Stock | 825,000 | 825,000 | D |
| Stock OptionF2 | $0.07 | holding | — | — | — | — | Aug 16, 2018 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.2015 to $0.2090. 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.
- F2The shares covered by the option are now vested and exercisable until August 16, 2018 due to the separation of the reporting person as an employee of the issuer and his new status as a director.