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 | ||||
Employee Stock Option | Â (1) | 10/01/2019 | Common Stock | 1,801 | $ 9.05 | D | Â |
Employee Stock Grant | Â (2) | 10/01/2020 | Common Stock | 1,106 | $ 15.47 | D | Â |
Employee Stock Option | Â (3) | 10/01/2020 | Common Stock | 2,292 | $ 15.47 | D | Â |
Employee Stock Option | Â (4) | 10/01/2021 | Common Stock | 2,857 | $ 31.37 | D | Â |
Employee Stock Grant | Â (5) | 10/01/2023 | Common Stock | 416 | $ 21.99 | D | Â |
Employee Stock Option | Â (6) | 10/01/2023 | Common Stock | 3,519 | $ 21.99 | D | Â |
Employee Stock Grant | Â (2) | 11/27/2023 | Common Stock | 499 | $ 21.99 | D | Â |
Employee Stock Option | Â (7) | 11/27/2023 | Common Stock | 3,519 | $ 21.99 | D | Â |
Employee Stock Option | Â (8) | 10/01/2024 | Common Stock | 7,338 | $ 10.41 | D | Â |
Employee Stock Grant | Â (9) | 10/01/2024 | Common Stock | 12,218 | $ 10.41 | D | Â |
Employee Stock Grant | Â (10) | 10/27/2024 | Common Stock | 6,250 | $ 12.57 | D | Â |
Employee Stock Option | Â (11) | 10/01/2025 | Common Stock | 11,430 | $ 6.63 | D | Â |
Employee Stock Grant | Â (12) | 10/01/2025 | Common Stock | 15,638 | $ 6.63 | D | Â |
Employee Stock Option | Â (7) | 10/01/2025 | Common Stock | 2,858 | $ 5.11 | D | Â |
Employee Stock Grant | Â (2) | 10/01/2025 | Common Stock | 5,213 | $ 5.11 | D | Â |
Employee Stock Grant | Â (13) | 10/01/2026 | Common Stock | 8,250 | $ 8.3 | D | Â |
Employee Stock Option | Â (14) | 10/01/2026 | Common Stock | 4,900 | $ 8.3 | D | Â |
Employee Stock Grant | Â (2) | 10/01/2026 | Common Stock | 8,250 | $ 8.3 | D | Â |
Employee Stock Option | Â (7) | 10/01/2026 | Common Stock | 4,900 | $ 8.3 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gravley Roger C/O LIQUIDITY SERVICES, INC. 1920 L STREET, N.W., 6TH FLOOR WASHINGTON, DC 20036 |
 |  |  Operating President, GovDeals |  |
/s/ Mark A. Shaffer, by power of attorney | 08/04/2017 | |
**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) | These options became fully vested on October 1, 2013. |
(2) | These restricted shares will vest, if at all, based on the Issuer's achievement of certain financial milestones. |
(3) | These options became fully vested on October 1, 2014. |
(4) | These options became fully vested on October 1, 2015. |
(5) | 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. |
(6) | 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. |
(7) | This option becomes exercisable, if at all, based on the Issuer's achievement of certain financial milestones. |
(8) | 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. |
(9) | Twenty-five percent of this restricted stock grant vested on October 1, 2015 and thereafter 1/8th of the restricted stock grant will vest on April 1 and October 1 of each year for three years. |
(10) | 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. |
(11) | Twenty-five percent of this option grant vested on October 1, 2016 and thereafter 1/48th of the option grant will vest each month for thirty-six months. |
(12) | Twenty-five percent of this restricted stock grant vested on October 1, 2016 and thereafter 1/4th of the restricted stock grant will vest on October 1 of each year for three years. |
(13) | Twenty-five percent of this restricted stock grant will vest on April 1, 2018 and thereafter 1/4th of the restricted stock grant will vest on each of October 1, 2018, October 1, 2019, and October 1, 2020. |
(14) | 18/48th of this option grant will vest on April 1, 2018 and thereafter 1/48th of the option grant will vest each month for thirty months. |