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4//SEC Filing

LLC Carlyle Liquid Holdings 4

Accession 0001140361-11-032727

CIK 0001141240other
View on SEC.govCompany Profile

Filed

Jun 12, 8:00 PM ET

Accepted

Jun 13, 7:32 PM ET

Size

16.5 KB

Accession

0001140361-11-032727

Insider Transaction Report

Form 4
Period: 2011-04-29
LIQUIDMETAL TECHNOLOGIES INCLQMT
LLC Carlyle Liquid Holdings
10% Owner
Transactions
  • Exercise/Conversion

    Common Stock

    2011-04-29$0.22/sh+2,747,762$604,508→ 2,747,762 total
  • Other

    Warrant (right to buy)

    2011-04-29$0.50/sh−4,002,341$2,001,171→ 18,071,878 total
    Exercise: $0.49From: 2009-05-01Exp: 2015-07-31→ Common Stock (4,002,341 underlying)
  • Other

    Common Stock

    2011-04-29$0.10/sh−3,400,845$340,085→ 0 total
  • Exercise/Conversion

    Common Stock

    2011-04-29$0.10/sh+3,400,845$340,085→ 3,400,845 total
  • Other

    Series A-1 Preferred Stock

    2011-04-29$5.00/sh−86,785$433,925→ 391,829 total
    Exercise: $0.10→ Common Stock (4,339,250 underlying)
  • Other

    Series A-2 Preferred Stock

    2011-04-29$5.00/sh−154,261$771,305→ 696,469 total
    Exercise: $0.22→ Common Stock (3,505,931 underlying)
  • Other

    Common Stock

    2011-04-29$0.22/sh−2,746,988$604,337→ 774 total
Footnotes (6)
  • [F1]Acquisition of Common Stock pursuant to conversion of Series A-1 Preferred Stock.
  • [F2]Shares of the issuer's Common Stock were distribution to a member of Carlyle Liquid Holdings, LLC in a pro-rata distribution according to its respective ownership percentage.
  • [F3]Acquisition of Common Stock pursuant to conversion of Series A-2 Preferred Stock.
  • [F4]Each share of the Series A Preferred Stock is convertible into shares of common stock at the time and under the circumstances described in the Amended Certificate of Designations, Preferences and Rights for Series A Preferred Stock. The Series A Preferred Stock has no expiration date.
  • [F5]Shares of Series A Preferred Stock were converted and/or transferred to the members of Carlyle Liquid Holdings, LLC in a pro-rata distribution.
  • [F6]Warrants were transferred to the members of Carlyle Liquid Holdings, LLC in a pro-rata distribution.

Documents

1 file

Issuer

LIQUIDMETAL TECHNOLOGIES INC

CIK 0001141240

→
Entity typeother

Related Parties

1
  • filerCIK 0001501407

Filing Metadata

Form type
4
Filed
Jun 12, 8:00 PM ET
Accepted
Jun 13, 7:32 PM ET
Size
16.5 KB
View on SEC.gov