Laurence W. Lytton - 13 May 2022 Form 4 Insider Report for LIQTECH INTERNATIONAL INC (LIQT)

Role
10%+ Owner
Signature
Laurence W. Lytton
Issuer symbol
LIQT
Transactions as of
13 May 2022
Net transactions value
+$4,991,375
Form type
4
Filing time
13 May 2022, 20:15:35 UTC
Previous filing
25 Jan 2022
Next filing
23 Oct 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LIQT Common Stock Purchase $687,500 +1,375,000 +89% $0.5000 2,926,957 13 May 2022 Direct
holding LIQT Common Stock 717,891 13 May 2022 See Note 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
transaction LIQT Pre-Funded Common Stock Purchase Warrant Purchase $4,303,875 +8,625,000 +2156% $0.4990 9,025,000 13 May 2022 Common Stock 8,625,000 $0.001000 Direct F2, F3
holding LIQT Pre-Funded Common Stock Purchase Warrant 615,000 13 May 2022 Common Stock 615,000 $0.001000 See Note 1 F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Laurence W. Lytton is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

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.