4//SEC Filing
HAUCK PAUL A 4
Accession 0001140361-17-032357
CIK 0001141240other
Filed
Aug 14, 8:00 PM ET
Accepted
Aug 15, 6:00 PM ET
Size
18.3 KB
Accession
0001140361-17-032357
Insider Transaction Report
Form 4
HAUCK PAUL A
VP-Worldwide Sales & Marketing
Transactions
- Exercise/Conversion
Common Stock
2017-08-11$0.14/sh+1,000,000$140,000→ 1,000,000 total - Exercise/Conversion
Common Stock
2017-08-11$0.07/sh+566,667$39,667→ 1,566,667 total - Sale
Common Stock
2017-08-11$0.30/sh−450,000$135,000→ 1,116,667 total - Sale
Common Stock
2017-08-14$0.31/sh−971,177$301,065→ 145,490 total - Sale
Common Stock
2017-08-15$0.31/sh−140,490$43,552→ 5,000 total - Exercise/Conversion
Stock Option
2017-08-11−1,000,000→ 1,000,000 totalExercise: $0.14Exp: 2025-03-03→ Common Stock (1,000,000 underlying) - Exercise/Conversion
Stock Option
2017-08-11−566,667→ 1,433,333 totalExercise: $0.07Exp: 2026-02-27→ Common Stock (566,667 underlying)
Holdings
- 2,282,000
Stock Option
Exercise: $0.27Exp: 2024-02-17→ Common Stock (2,282,000 underlying)
Footnotes (6)
- [F1]The option, representing a right to purchase a total of 2,000,000 shares, became exercisable on the first year anniversary of the date of grant, with 20% vesting on such first anniversary. Thereafter, the shares shall vest monthly over 4 years, in equal monthly installments, with the option being 100% vested on the fifth anniversary of such first anniversary.
- [F2]The option, representing a right to purchase a total of 2,000,000 shares, became exercisable on the first year anniversary of the date of grant, with 20% vesting on such first anniversary. Thereafter, the shares shall vest monthly over 4 years, in equal monthly amounts, with the option being 100% vested on the fifth anniversary of such first anniversary.
- [F3]Shares commence vesting on the on the first year anniversary of the date of grant, with 20% vesting on such first anniversary. Thereafter, the shares shall vest monthly over 4 years, in equal monthly amounts, with the option being 100% vested on the fifth anniversary of such first anniversary.
- [F4]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.30 to $0.305, inclusive. The Reporting Person undertakes to provide Liquidmetal Technologies Inc. ("the Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- [F5]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.305 to $0.316, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- [F6]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.30 to $0.315, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
Documents
Issuer
LIQUIDMETAL TECHNOLOGIES INC
CIK 0001141240
Entity typeother
Related Parties
1- filerCIK 0001667923
Filing Metadata
- Form type
- 4
- Filed
- Aug 14, 8:00 PM ET
- Accepted
- Aug 15, 6:00 PM ET
- Size
- 18.3 KB