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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Liquidity Services Inc | NASDAQ:LQDT | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.19 | 1.10% | 17.42 | 17.08 | 17.76 | 17.62 | 17.32 | 17.32 | 58,398 | 22:59:00 |
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
Rallo James M |
2. Issuer Name
and
Ticker or Trading Symbol
LIQUIDITY SERVICES INC [ LQDT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) President RSCG |
C/O LIQUIDITY SERVICES, INC., 1920 L STREET, N.W., 6TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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WASHINGTON, DC 20036 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Employee Stock Grant | 4/3/2017 | J (1) | 7717 | A | $7.61 | 7717 | D | |||
Common Stock | 4/3/2017 | S (2) | 7717 | D | $7.61 | 0 | D | |||
Common Stock | 15039 (3) | I | By James M. Rallo 401k | |||||||
Common Stock | 8000 | I | By James M. Rallo IRA | |||||||
Common Stock | 685 | I | By James M. Rallo Cust. Michael Rallo MD UTMA (4) | |||||||
Common Stock | 460 | I | By James M. Rallo Cust. Melissa Rallo MD UTMA |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying Derivative Security
(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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option | $7.48 | (5) | 10/1/2018 | Common Stock | 2338.0 | 2338 | D | ||||||||
Employee Stock Option | $15.47 | (6) | 10/1/2020 | Common Stock | 6678.0 | 6678 | D | ||||||||
Employee Stock Grant | $15.47 | (7) | 10/1/2020 | Common Stock | 5527.0 | 5527 | D | ||||||||
Employee Stock Option | $31.37 | (8) | 10/1/2021 | Common Stock | 12358.0 | 12358 | D | ||||||||
Employee Stock Option | $38.09 | (9) | 10/1/2022 | Common Stock | 3335.0 | 3335 | D | ||||||||
Employee Stock Grant | $29.47 | (10) | 7/18/2023 | Common Stock | 3054.0 | 3054 | D | ||||||||
Employee Stock Option | $29.47 | (11) | 7/18/2023 | Common Stock | 24871.0 | 24871 | D | ||||||||
Employee Stock Grant | $21.99 | (12) | 10/1/2023 | Common Stock | 1173.0 | 1173 | D | ||||||||
Employee Stock Option | $21.99 | (13) | 10/1/2023 | Common Stock | 9938.0 | 9938 | D | ||||||||
Employee Stock Grant | $13.57 | (14) | 5/14/2024 | Common Stock | 11054.0 | 11054 | D | ||||||||
Employee Stock Grant | $10.41 | 4/3/2017 | J (1) | 7717 | (15) | 10/1/2024 | Common Stock | 30867.0 | $7.61 | 23150 | D | ||||
Employee Stock Option | $10.41 | (16) | 10/1/2024 | Common Stock | 12675.0 | 12675 | D | ||||||||
Employee Stock Grant | $6.63 | (17) | 10/1/2025 | Common Stock | 19140.0 | 19140 | D | ||||||||
Employee Stock Grant | $6.63 | (7) | 10/1/2025 | Common Stock | 6380.0 | 6380 | D | ||||||||
Employee Stock Option | $6.63 | (18) | 10/1/2025 | Common Stock | 13987.0 | 13987 | D | ||||||||
Employee Stock Option | $6.63 | (19) | 10/1/2025 | Common Stock | 3497.0 | 3497 | D | ||||||||
Employee Stock Grant | $8.3 | (20) | 10/1/2026 | Common Stock | 7850.0 | 7850 | D | ||||||||
Employee Stock Grant | $8.3 | (7) | 10/1/2026 | Common Stock | 7850.0 | 7850 | D | ||||||||
Employee Stock Option | $8.3 | (21) | 10/1/2026 | Common Stock | 4650.0 | 4650 | D | ||||||||
Employee Stock Option | $8.3 | (19) | 10/1/2026 | Common Stock | 4650.0 | 4650 | D |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Rallo James M
C/O LIQUIDITY SERVICES, INC. 1920 L STREET, N.W., 6TH FLOOR WASHINGTON, DC 20036 |
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President RSCG |
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Signatures
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/s/ Mark A. Shaffer, by power of attorney | 4/5/2017 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
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