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OMB APPROVAL
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OMB Number 3235-0104
Expires: January 31, 2005
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL 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(f) of the Investment Company Act of 1940
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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. Date of Event Requiring Statement (Month/Day/Year)
December 12, 2002
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Issuer Name and Ticker or Trading Symbol
Liquidmetal Technologies (LQMT)
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5. Relationship of Reporting Person to Issuer
(Check all applicable)
[X] Director [_] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Vice Chairman of the Board
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6. If Amendment, Date of Original (Month/Day/Year)
May 22, 2002
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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 Beneficially Owned
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3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4)
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Liquidmetal Technologies
Common Stock 1,156,452 D
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Right to receive shares from California
Liquidmetal Technologies Institute of Technology pursuant to
Common Stock 123,000 I university policy*
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* This amended Form 3 is being filed to reflect an additional 123,000 shares
which the reporting person had an indirect pecuniary interest in at the
time of the filing of his original Form 3 (dated May 22, 2002), but to
which he did not have record title as of such date.
** If the Form is filed by more than one Reporting Person, see Instruction
5(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Over)
(Form 3-07/98)
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Security:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5)
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Liquidmetal
Option to purchase Technologies
common stock 02/07/97 01/31/07 Common Stock 161,291 $1.55 D
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Explanation of Responses:
/s/ Curt P. Creely December 12, 2002
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CURT P. CREELY AS ATTORNEY IN FACT FOR Date
WILLIAM LEWIS JOHNSON
** 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.
