SEC Form 4 · accession 0001179110-15-013747
LIQUIDITY SERVICES INC · LQDT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathryn Ann Domino
Officer — Chief Accounting Officer
Period of report
Oct 2, 2015
Accepted (ET)
Oct 2, 2015 · 7:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001235468
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 2, 2015 | S | 5,042 | $7.23 | D | 13,637 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF1 | $13.48 | holding | — | — | — | — | Oct 5, 2017 | Common Stock | 4,757 | 4,757 | D |
| Employee Stock OptionF2 | $7.48 | holding | — | — | — | — | Dec 29, 2018 | Common Stock | 5,417 | 5,417 | D |
| Employee Stock OptionF3 | $9.05 | holding | — | — | — | — | Dec 1, 2019 | Common Stock | 5,626 | 5,626 | D |
| Employee Stock GrantF4 | $15.47 | holding | — | — | — | — | Nov 30, 2020 | Common Stock | 2,765 | 2,765 | D |
| Employee Stock GrantF5 | $15.47 | holding | — | — | — | — | Nov 30, 2020 | Common Stock | 3,802 | 3,802 | D |
| Employee Stock OptionF6 | $15.47 | holding | — | — | — | — | Nov 30, 2020 | Common Stock | 1,198 | 1,198 | D |
| Employee Stock OptionF7 | $31.37 | holding | — | — | — | — | Nov 22, 2021 | Common Stock | 4,560 | 4,560 | D |
| Employee Stock OptionF8 | $31.37 | holding | — | — | — | — | Nov 22, 2021 | Common Stock | 750 | 750 | D |
| Employee Stock GrantF9 | $38.09 | holding | — | — | — | — | Nov 16, 2022 | Common Stock | 506 | 506 | D |
| Employee Stock GrantF10 | $21.99 | holding | — | — | — | — | Nov 27, 2023 | Common Stock | 1,750 | 1,750 | D |
| Employee Stock GrantF11 | $21.99 | holding | — | — | — | — | Nov 27, 2023 | Common Stock | 3,500 | 3,500 | D |
| Employee Stock OptionF12 | $21.99 | holding | — | — | — | — | Nov 27, 2023 | Common Stock | 3,519 | 3,519 | D |
| Employee Stock OptionF13 | $21.99 | holding | — | — | — | — | Nov 27, 2023 | Common Stock | 3,519 | 3,519 | D |
| Employee Stock GrantF14 | $18.00 | holding | — | — | — | — | Apr 17, 2024 | Common Stock | 3,000 | 3,000 | D |
| Employee Stock GrantF15 | $18.00 | holding | — | — | — | — | Apr 17, 2024 | Common Stock | 4,000 | 4,000 | D |
| Employee Stock GrantF16 | $9.35 | holding | — | — | — | — | Oct 1, 2024 | Common Stock | 8,684 | 8,684 | D |
| Employee Stock OptionF17 | $9.35 | holding | — | — | — | — | Oct 1, 2024 | Common Stock | 6,752 | 6,752 | D |
Explanation of responses
- F1These options became fully vested on October 1, 2011.
- F10Twenty-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.
- F11These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
- F12Twenty-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.
- F13This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones.
- F14Twenty-five percent of this restricted stock grant vested on April 1, 2015 and thereafter 1/4th of the restricted stock grant will vest on April 1 of each year for three years.
- F15These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
- F16Twenty-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.
- F17Twenty-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.
- F2These options became fully vested on October 1, 2012.
- F3These options became fully vested on October 1, 2013.
- F4These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
- F5These options became fully vested on October 1, 2014.
- F6These options became fully vested on December 1, 2011.
- F7These options became fully vested on October 1, 2015.
- F8These options became fully vested on December 1, 2012.
- F9Twenty-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.