Yeung Tak Lugee Li - Dec 15, 2021 Form 4 Insider Report for LIQUIDMETAL TECHNOLOGIES INC (LQMT)

Role
Director, 10%+ Owner
Signature
/s/ Tony Chung, as Attorney-in-Fact for Yeung Tak Lugee Li
Stock symbol
LQMT
Transactions as of
Dec 15, 2021
Transactions value $
$0
Form type
4
Date filed
10/15/2024, 04:21 PM
Next filing
Oct 15, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding LQMT Common Stock, $0.001 par value per share 405M Dec 15, 2021 By Liquidmetal Technology Limited F1
holding LQMT Common Stock, $0.001 par value per share 1.36M Dec 15, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction LQMT Stock Option (right-to-buy) Award $0 +200K $0.00 200K Dec 15, 2021 Common Stock Par Value $0.001 200K $0.09 Direct F2
holding LQMT Stock Option (right-to-buy) 7M Dec 15, 2021 Common Stock Par Value $0.001 700K $0.13 Direct F3
holding LQMT Common Stock Purchase Warrant 10.1M Dec 15, 2021 Common Stock Par Value $0.001 10.1M $0.07 By Liquidmetal Technology Limited F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Liquidmetal Technology Limited, a Hong Kong corporation, holds such shares of common stock. Mr. Li is the sole shareholder, executive officer and director of Liquidmetal Technology Limited.
F2 Represents an option granted under the Company's 2015 Equity Incentive Plan. The shares covered by the option vest monthly over three years with the option being 100% vested on the third anniversary of the date of grant.
F3 Represents an option granted under the Company's 2015 Equity Incentive Plan. The shares covered by the option will vest 20% on the first year anniversary date from the date of grant. Thereafter, the shares covered by the option will vest monthly over 4 years with the option being 100% vested on the fifth anniversary of the date of grant.
F4 Liquidmetal Technology Limited holds such common stock purchase warrant. Mr. Li is the sole shareholder, executive officer and director of Liquidmetal Technology Limited.

Remarks:

See Exhibit 24 - Power of Attorney.