LLC Carlyle Liquid Holdings 4

4 · LIQUIDMETAL TECHNOLOGIES INC · Filed Aug 26, 2011

Form 4

Period: 2011-08-22

10% Owner

Transactions

Other
Series A-2 Preferred Stock
2011-08-22−579,232→ 0 total
Exercise: $0.22→ Common Stock (13,164,364 underlying)
Other
Common Stock
2011-08-22−774→ 0 total
Other
Series A-1 Preferred Stock
2011-08-22−325,873→ 0 total
Exercise: $0.10→ Common Stock (16,293,650 underlying)
Other
Warrant (right to buy)
2011-08-22−15,029,820→ 0 total
Exercise: $0.49From: 2009-05-01Exp: 2015-07-31→ Common Stock (15,029,820 underlying)

Footnotes (4)

[F1]Each share of the Series A Preferred Stock is convertible into shares of common stock at the time and under the circumstances described in the Certificate of Designations, Preferences and Rights of Series A Preferred Stock, as amended. The Series A Preferred Stock has no expiration date.
[F2]Shares of Series A Preferred Stock were distributed to the members of Carlyle Liquid Holdings, LLC in redemption of a pro-rata portion of the member's equity interest in Carlyle Liquid Holdings, LLC.
[F3]Warrants were distributed to members of Carlyle Liquid Holdings, LLC in redemption of a pro-rata portion of the member's equity interest in Carlyle Liquid Holdings, LLC.
[F4]Shares of Common Stock were distributed to the members of Carlyle Liquid Holdings, LLC in redemption of a pro-rata portion of the member's equity interest in Carlyle Liquid Holdings, LLC.

Documents

1 file