UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Common Stock Purchase Warrant | 03/10/2016 | 03/10/2026 | Common Stock Par Value $0.001 | 10,066,809 (2) | $ 0.07 | I | See Footnote (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lugee Li Yeung Tak ROOM 906, TAI TUNG BUILDING 8 FLEMING ROAD WANCHAI, K3 999077 |
 X |  X |  |  |
Stephen M. Fleming, as Attorney-in-Fact for Yeung Tak Lugee Li | 03/17/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Liquidmetal Technology Limited, a Hong Kong corporation, holds such shares of common stock. Mr. Li is the sole shareholder, executive officers and director of Liquidmetal Technology Limited. |
(2) | 2,609,913 of the underlying shares of common stock vested as of March 10, 2016. The remaining shares will vest upon the completion of certain additional private financings by Liquidmetal Technology Limited, or a permitted assignee thereof, anticipated to occur within the next 120 days. |
(3) | Liquidmetal Technology Limited holds such common stock purchase warrant. Mr. Li is the sole shareholder, executive officer and director of Liquidmetal Technology Limited. |