SEC Form 4 · accession 0001437749-18-000232
LIQTECH INTERNATIONAL INC · LIQT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Vernon
Director
Period of report
Nov 9, 2017
Accepted (ET)
Jan 4, 2018 · 12:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001307579
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 2, 2018 | A | 52,798 | $0.57 | A | 295,831 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF2 | $0.30 | Nov 9, 2017 | A | 83,334 | A | Nov 9, 2017 | May 14, 2018 | Common Stock | 333,336 | 83,334 | D |
Explanation of responses
- F1On January 2, 2018, 52,798 restricted shares of Common Stock were granted to Mr. Vernon for Board service, which shall vest on January 1, 2019.
- F2On November 9, 2017, Mr. Vernon purchased 83,334 shares of Series A Convertible Preferred Stock in a private placement transaction.