Laurence W. Lytton - Dec 20, 2021 Form 3 Insider Report for LIQTECH INTERNATIONAL INC (LIQT)

Role
10%+ Owner
Signature
Laurence W. Lytton
Stock symbol
LIQT
Transactions as of
Dec 20, 2021
Transactions value $
$0
Form type
3
Date filed
12/22/2021, 05:56 PM
Next filing
Jan 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding LIQT Common Stock 1.41M Dec 20, 2021 Direct
holding LIQT Common Stock 718K Dec 20, 2021 See Note 1 F1

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
holding LIQT Pre-Funded Common Stock Purchase Warrant Dec 20, 2021 Common Stock 400K $0.00 Direct F2, F3
holding LIQT Pre-Funded Common Stock Purchase Warrant Dec 20, 2021 Common Stock 615K $0.00 See Note 1 F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Mr. Lytton may be deemed to beneficially own these securities indirectly because he has investment discretion over the securities accounts of certain of his family members and their trusts, investment entities and foundations in which these securities are held. Mr. Lytton disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F2 The pre-funded warrants do not have an expiration date.
F3 The pre-funded warrants may be exercised to purchase shares of common stock of the issuer, subject to a 9.99% beneficial ownership limitation.