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LIQUIDITY SERVICES INC — Director's Dealing 2016
Jan 8, 2016
32353_dirs_2016-01-08_105b2f95-a067-4e06-a323-ca88386aed0e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: LIQUIDITY SERVICES INC (LQDT)
CIK: 0001235468
Period of Report: 2015-12-22
Reporting Person: Dudley Gardner H (Pres, Capital Assets Group)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-12-22 | Employee Stock Grant | $6.63 | A | 20515 | Acquired | 2025-10-01 | Common Stock (20515) | Direct |
| 2015-12-22 | Employee Stock Grant | $6.63 | A | 5129 | Acquired | 2025-10-01 | Common Stock (5129) | Direct |
| 2015-12-22 | Employee Stock Option | $6.63 | A | 11245 | Acquired | 2025-10-01 | Common Stock (11245) | Direct |
| 2015-12-22 | Employee Stock Option | $6.63 | A | 2811 | Acquired | 2025-10-01 | Common Stock (2811) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 11841 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option | $13.35 | 2020-06-16 | Common Stock (3188) | 3188 | Direct |
| Employee Stock Grant | $15.47 | 2020-11-30 | Common Stock (2211) | 2211 | Direct |
| Employee Stock Grant | $38.09 | 2022-11-16 | Common Stock (625) | 625 | Direct |
| Employee Stock Grant | $38.09 | 2022-11-16 | Common Stock (2500) | 2500 | Direct |
| Employee Stock Grant | $21.99 | 2023-11-27 | Common Stock (831) | 831 | Direct |
| Employee Stock Grant | $21.99 | 2023-11-27 | Common Stock (1661) | 1661 | Direct |
| Employee Stock Option | $21.99 | 2023-11-27 | Common Stock (3519) | 3519 | Direct |
| Employee Stock Option | $21.99 | 2023-11-27 | Common Stock (3519) | 3519 | Direct |
| Employee Stock Grant | $13.57 | 2024-05-14 | Common Stock (11054) | 11054 | Direct |
| Employee Stock Grant | $12.57 | 2024-10-27 | Common Stock (18750) | 18750 | Direct |
| Employee Stock Grant | $10.41 | 2024-10-01 | Common Stock (36436) | 36436 | Direct |
| Employee Stock Grant | $10.41 | 2024-10-01 | Common Stock (12146) | 12146 | Direct |
| Employee Stock Option | $10.41 | 2024-10-01 | Common Stock (7338) | 7338 | Direct |
| Employee Stock Option | $10.41 | 2024-10-01 | Common Stock (1834) | 1834 | Direct |
Footnotes
F1: These options became fully vested on June 1, 2014.
F2: These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
F3: Twenty-five percent of this restricted stock grant vested on October 1, 2013 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.
F4: The restricted stares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
F5: Twenty-five percent of this restricted stock grant vested on October 1, 2014 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.
F6: These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
F7: Twenty-five percent of this option grant vested on October 1, 2014 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
F8: This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones.
F9: Fifty percent of this restricted stock grant vested on November 1, 2015 and thereafter 1/4th of the restricted stock grant will vest on November 1 of each year for two years.
F10: Twenty-five percent of this restricted stock grant vested on October 1, 2015 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.
F11: Twenty-five percent of this restricted stock grant vested on October 1, 2015 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.
F12: These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
F13: Twenty-five percent of this option grant vested on October 1, 2015 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
F14: This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones.
F15: Twenty-five percent of this restricted stock grant will vest on October 1, 2016 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years.
F16: These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones.
F17: Twenty-five percent of this option grant will vest on October 1, 2016 and thereafter 1/48th of the option grant will vest each month for thirty-six months.
F18: This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones.