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OMB APPROVAL
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OMB Number 3235-0287
Expires: January 31, 2005
Estimated average burden
hours per response ....... 0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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
[_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
________________________________________________________________________________
1. Name and Address of Reporting Person*
Kang James
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(Last) (First) (Middle)
25800 Commercentre Drive, Suite 100
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(Street)
Lake Forest CA 92630
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(City) (State) (Zip)
________________________________________________________________________________
2. Issuer Name and Ticker or Trading Symbol
Liquidmetal Technologies (LQMT)
________________________________________________________________________________
3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
________________________________________________________________________________
4. Statement for Month/Day/Year
April 14, 2003
________________________________________________________________________________
5. If Amendment, Date of Original (Month/Day/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[X] Director [X] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Chairman of the Board
---------------------
________________________________________________________________________________
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 Acquired, Disposed of,
or Beneficially Owned
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5.
Amount of
Securities 6.
4. Beneficially Owner-
Securities Acquired (A) or Owned ship
2A. 3. Disposed of (D) Following Form: 7.
2. Deemed Transaction (Instr. 3, 4 and 5) Reported Direct Nature of
Trans- Execution Code ------------------------------- Trans- (D) or Indirect
1. action Date, (Instr. 8) (A) action(s) Indirect Beneficial
Title of Security Date if any ------------ or (Instr. (I) Ownership
(Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price 3 & 4) (Instr.4) (Instr. 4)
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Liquidmetal Technologies
Common Stock 04/14/03 S(1) 3,400(1) D(1) $4.80 D
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Liquidmetal Technologies
Common Stock 04/14/03 S(1) 400(1) D(1) $4.81 D
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Liquidmetal Technologies
Common Stock 04/14/03 S(1) 2,000(1) D(1) $4.85 D
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Liquidmetal Technologies
Common Stock 04/14/03 S(1) 200(1) D(1) $4.86 D
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Liquidmetal Technologies
Common Stock 04/14/03 S(1) 100(1) D(1) $4.88 D
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Liquidmetal Technologies
Common Stock 04/14/03 S(1) 100(1) D(1) $4.90 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 7,000(1) D(1) $4.25 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 3,200(1) D(1) $4.26 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 3,000(1) D(1) $4.27 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 4,900(1) D(1) $4.28 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 4,300(1) D(1) $4.29 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 9,100(1) D(1) $4.30 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 2,400(1) D(1) $4.31 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 3,500(1) D(1) $4.32 D
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* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
(1) These shares were sold on Mr. Kang's account by a lender of Mr. Kang as a
result of the exercise of a security interest held by the lender. These
shares were under the control of Merrill Lynch as the secured lender, and
the sale was involuntary on the part of Mr. Kang. Mr. Kang expects that
this loan will be repaid without any additional stock sales.
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Responses)
(Over)
(Form 4-07/98)
------------------------------
OMB APPROVAL
------------------------------
OMB Number 3235-0287
Expires: January 31, 2005
Estimated average burden
hours per response ....... 0.5
------------------------------
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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
[_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
________________________________________________________________________________
1. Name and Address of Reporting Person*
Kang James
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
25800 Commercentre Drive, Suite 100
- --------------------------------------------------------------------------------
(Street)
Lake Forest CA 92630
- --------------------------------------------------------------------------------
(City) (State) (Zip)
________________________________________________________________________________
2. Issuer Name and Ticker or Trading Symbol
Liquidmetal Technologies (LQMT)
________________________________________________________________________________
3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
________________________________________________________________________________
4. Statement for Month/Day/Year
April 14, 2003
________________________________________________________________________________
5. If Amendment, Date of Original (Month/Day/Year)
================================================================================
6. Relationship of Reporting Person to Issuer
(Check all applicable)
[X] Director [X] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Chairman of the Board
---------------------
________________________________________________________________________________
7. 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
================================================================================
5.
Amount of
Securities 6.
4. Beneficially Owner-
Securities Acquired (A) or Owned ship
2A. 3. Disposed of (D) Following Form: 7.
2. Deemed Transaction (Instr. 3, 4 and 5) Reported Direct Nature of
Trans- Execution Code ------------------------------- Trans- (D) or Indirect
1. action Date, (Instr. 8) (A) action(s) Indirect Beneficial
Title of Security Date if any ------------ or (Instr. (I) Ownership
(Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price 3 & 4) (Instr.4) (Instr. 4)
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 6,500(1) D(1) $4.33 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 4,900(1) D(1) $4.34 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 25,100(1) D(1) $4.35 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 300(1) D(1) $4.36 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 3,200(1) D(1) $4.37 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 100(1) D(1) $4.38 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 8,600(1) D(1) $4.40 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 100(1) D(1) $4.42 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 200(1) D(1) $4.43 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 100(1) D(1) $4.44 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 500(1) D(1) $4.45 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 4,100(1) D(1) $4.46 D
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Liquidmetal Technologies
Common Stock 04/15/03 S(1) 100(1) D(1) $4.50 D
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Liquidmetal Technologies
Common Stock 04/16/03 S(1) 3,600(1) D(1) $4.30 D
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Liquidmetal Technologies
Common Stock 04/16/03 S(1) 14,700(1) D(1) $4.35 D
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Liquidmetal Technologies
Common Stock 04/16/03 S(1) 11,100(1) D(1) $4.40 D
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Liquidmetal Technologies
Common Stock 04/16/03 S(1) 800(1) D(1) $4.31 4,305,085 D
===================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
(1) These shares were sold on Mr. Kang's account by a lender of Mr. Kang as a
result of the exercise of a security interest held by the lender. These
shares were under the control of Merrill Lynch as the secured lender, and
the sale was involuntary on the part of Mr. Kang. Mr. Kang expects that
this loan will be repaid without any additional stock sales.
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Responses)
(Over)
(Form 4-07/98)
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
10.
9. Owner-
Number ship
of Deriv- Form
2. ative
Conver- 5. 7. Secur- Deriv- 11.
sion Number of Title and Amount ities ative Nature
or 3A. Derivative 6. of Underlying 8. Bene- Secur- of
Exer- Deemed 4. Securities Date Securities Price ficially ity: In-
cise 3. Execu- Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Owned Direct direct
Price Trans- tion action or Disposed Expiration Date ---------------- Deriv- Following (D) or Bene-
1. of action Date, Code of(D) (Month/Day/Year) Amount ative Reported In- ficial
Title of Deriv- Date if any (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner-
Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity action(s) (I) ship
Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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Explanation of Responses:
This Form 4 is being filed to reflect the sale of shares on Mr. Kang's account
by a lender of Mr. Kang as a result of the exercise of a security interest held
by the lender. These shares were under the control of Merrill Lynch as the
secured lender, and the sale was involuntary on the part of Mr. Kang. Mr. Kang
expects that this loan will be repaid without any additional stock sales.
/s/ Curt P. Creely April 16, 2003
- --------------------------------------------- -----------------------
Curt P. Creely, as Attorney-In-Fact Date
for James Kang
** 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.
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