HAUCK PAUL A 4
4 · LIQUIDMETAL TECHNOLOGIES INC · Filed Aug 15, 2017
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.