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OMB APPROVAL
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OMB Number 3235-0287
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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(f) of the Investment Company Act of 1940
[_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
Johnson William Lewis
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(Last) (First) (Middle)
3546 Mountainview Avenue
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(Street)
Pasadena CA 91125
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Liquidmetal Technologies (LQMT)
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Day/Year
February 27, 2003
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5. If Amendment, Date of Original (Month/Day/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[X] Director [X] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Vice Chairman - Technology
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7. Individual or Joint/Group Filing (Check applicable line)
[X] Form filed by one Reporting Person
[_] Form filed by more than one Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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5.
Amount of
Securities 6.
4. Beneficially Owner-
Securities Acquired (A) or Owned ship
2A. 3. Disposed of (D) Following Form: 7.
2. Deemed Transaction (Instr. 3, 4 and 5) Reported Direct Nature of
Trans- Execution Code ------------------------------- Trans- (D) or Indirect
1. action Date, (Instr. 8) (A) action(s) Indirect Beneficial
Title of Security Date if any ------------ or (Instr. (I) Ownership
(Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price 3 & 4) (Instr.4) (Instr. 4)
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Liquidmetal Technologies
Common Stock 02/27/03 M** 161,291 A** $1.55
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Liquidmetal Technologies
Common Stock 02/27/03 F*** 88,218 *** $6.97 1,229,525 D
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* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
** Represents the exercise of a stock option.
*** Represents Liquidmetal shares that are being used to pay the exercise price
of the above stock options and the tax liability associated with exercise.
These represent shares that were either beneficially owned by Mr. Johnson
prior to the option exercise or that were withheld from the gross number of
shares otherwise issuable upon the exercise. This transaction is exempt
under Rule 16b-3.
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Responses)
(Over)
(Form 4-07/98)
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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10.
9. Owner-
Number ship
of Deriv- Form
2. ative
Conver- 5. 7. Secur- Deriv- 11.
sion Number of Title and Amount ities ative Nature
or 3A. Derivative 6. of Underlying 8. Bene- Secur- of
Exer- Deemed 4. Securities Date Securities Price ficially ity: In-
cise 3. Execu- Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Owned Direct direct
Price Trans- tion action or Disposed Expiration Date ---------------- Deriv- Following (D) or Bene-
1. of action Date, Code of(D) (Month/Day/Year) Amount ative Reported In- ficial
Title of Deriv- Date if any (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner-
Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity action(s) (I) ship
Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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Option to
purchase Common
common stock $1.55 02/27/03 M 161,291 02/07/97 01/31/07 Stock 161,291 0 D
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Explanation of Responses:
/s/ Curt P. Creely March 3, 2003
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Curt P. Creely, as attorney-in-fact Date
for Tjoa Thian Song
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.
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