SEC Form 4 · accession 0001179110-17-001699
LIQUIDITY SERVICES INC · LQDT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jaime Mateus-Tique
Director
Period of report
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 6:08 pm EST
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 | Feb 1, 2017 | J | 6,041 | $9.75 | A | 63,709 | D | |
| Common Stock | holding | — | — | — | 468,262 | I | By the Em El 2007 Irrevocable Trust | |
| Common Stock | holding | — | — | — | 163,208 | I | By the Jaime Mateus-Tique 2005 Irrevocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock GrantF1 | $9.75 | Feb 1, 2017 | A | 9,744 | A | — | Feb 1, 2027 | Common Stock | 9,744 | 9,744 | D |
| Restricted Stock GrantF3 | $6.29 | Feb 1, 2017 | J | 6,041 | D | — | Feb 1, 2026 | Common Stock | 6,041 | 0 | D |
| Employee Stock OptionF2 | $6.29 | holding | — | — | — | — | Feb 1, 2026 | Common Stock | 79,082 | 79,082 | D |
| Employee Stock OptionF4 | $21.53 | holding | — | — | — | — | Feb 1, 2024 | Common Stock | 20,061 | 20,061 | D |
| Employee Stock OptionF5 | $40.11 | holding | — | — | — | — | Feb 1, 2023 | Common Stock | 5,954 | 5,954 | D |
| Employee Stock OptionF6 | $42.31 | holding | — | — | — | — | Feb 1, 2022 | Common Stock | 5,328 | 5,328 | D |
| Employee Stock OptionF7 | $14.30 | holding | — | — | — | — | Feb 1, 2021 | Common Stock | 15,012 | 15,012 | D |
| Employee Stock OptionF8 | $11.77 | holding | — | — | — | — | Feb 1, 2020 | Common Stock | 18,612 | 18,612 | D |
| Employee Stock OptionF9 | $12.02 | holding | — | — | — | — | Oct 1, 2017 | Common Stock | 76,000 | 76,000 | D |
| Employee Stock OptionF10 | $17.63 | holding | — | — | — | — | Sep 21, 2016 | Common Stock | 47,500 | 0 | D |
Explanation of responses
- F1These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2018.
- F10These options expired on September 21, 2016 without being exercised.
- F11Represents the vesting of restricted stock
- F2These options became fully vested on February 1, 2017.
- F3These restricted shares became fully vested on February 1, 2017.
- F4These options became fully vested on February 1, 2015.
- F5These options became fully vested on February 1, 2014.
- F6These options became fully vested on February 1, 2013.
- F7These options became fully vested on February 1, 2012.
- F8These options became fully vested on February 1, 2011.
- F9These options became fully vested on October 1, 2012.