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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option | $ 14.3 | (2) | 02/01/2021 | Common Stock | 15,012 | 15,012 | D | ||||||||
Restricted Stock Grant | $ 14.3 | (3) | 02/01/2021 | Common Stock | 2,517 | 2,517 | D | ||||||||
Employee Stock Option | $ 11.77 | (4) | 02/01/2020 | Common Stock | 18,612 | 18,612 | D | ||||||||
Employee Stock Option | $ 12.02 | (5) | 10/01/2017 | Common Stock | 76,000 | 76,000 | D | ||||||||
Employee Stock Option | $ 17.63 | (6) | 09/21/2016 | Common Stock | 75,000 | 75,000 | D | ||||||||
Employee Stock Option | $ 7 | (7) | 12/21/2015 | Common Stock | 30,000 | 30,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mateus-Tique Jaime C/O LIQUIDITY SERVICES, INC. 1920 L STREET, N.W., 6TH FLOOR WASHINGTON, DC 20036 |
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/s/ James E. Williams, by power of attorney | 01/12/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | In a Form 4 filed on October 28, 2011, 10,000 shares were reported sold on October 27, 2011 from the Jaime Mateus-Tique 2005 Irrevocable Trust; however, the correct number of shares sold on that date was 15,000. This change alters the number of shares in the Jaime Mateus-Tique 2005 Irrevocable Trust from 5,001 to 1. |
(2) | These options have a one-year vesting period such that 100% of this option grant will vest on February 1, 2012. |
(3) | These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2012. |
(4) | These options became fully vested on February 1, 2011. |
(5) | Twenty-five percent of this option grant vested on October 1, 2009 and thereafter 1/48th of the option grant will vest each month for thirty-six months. |
(6) | These options became fully vested on September 21, 2010. |
(7) | These options became fully vested on April 19, 2006. |