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LIQTECH INTERNATIONAL INC — Director's Dealing 2013
Oct 9, 2013
34866_dirs_2013-10-09_5b563465-d5f8-47ff-a76a-3692e6d58ca0.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: LIQTECH INTERNATIONAL INC (LIQT)
CIK: 0001307579
Period of Report: 2011-08-24
Reporting Person: DEGN SOREN (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-10-04 | Common Stock | M | 50000 | $1.50 | Acquired | 606932 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-08-24 | Stock options | $1.50 | A | 50000 | Acquired | 2015-02-28 | Common stock (50000) | Direct |
| 2011-08-24 | Stock options | $3 | A | 150000 | Acquired | 2015-02-28 | Common stock (150000) | Direct |
| 2012-03-23 | Stock options | $3.28 | A | 58399 | Acquired | 2015-02-22 | Common stock (58399) | Direct |
| 2013-10-04 | Stock options | $1.50 | D | 50000 | Disposed | 2015-02-28 | Common Stock (50000) | Direct |
| 2013-10-04 | Stock option | $2.70 | A | 50000 | Acquired | 2015-02-28 | Common stock (50000) | Direct |
Footnotes
F1: Includes indirect ownership of 205,000 shares and 113,000 shares owned by LD Consulting ApS (former SHD Invest ApS) and LHD Invest ApS, respectively, each of which is a Danish entity. The voting and disposition of the shares owned by LD Consulting ApS and LHD Invest ApS are controlled by Mr. Degn. Also includes direct ownership of 50,000 shares of common stock, and direct ownership of the vested portion of 258,399 stock options, of which 50,000 options have an exercise price of $2.70, 150,000 stock options have an exercise price of $3.00 and vested in three equal annual installments on August 24, 2011, September 1, 2012 and September 1, 2013 and 58,399 stock options have an exercise price of $3.28 and vest in three equal annual installments on March 23, 2012, March 23, 2013 and March 23, 2014.
F2: The 50,000 stock options had an exercise price of $1.50 and vested (and were also exercisable) in three equal annual installments on August 24, 2011, September 1, 2012 and September 1, 2013.
F3: The 150,000 stock options have an exercise price of $3.00 and vested (and were also exercisable) in three equal annual installments on August 24, 2011, September 1, 2012 and September 1, 2013.
F4: The 58,399 stock options have an exercise price of $3.28 and vest (and are also exercisable) in three equal installments on March 23, 2012, March 23, 2013 and March 23, 2014.