Accession Number: | 0001567619-22-010601 |
Date: | 2022-05-13 |
Issuer: | LIQTECH INTERNATIONAL INC (LIQT) |
Original Submission Date: |
LYTTON LAURENCE W
467 CENTRAL PARK WEST
NEW YORK, NY 10025
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2022-05-13 | P | 1,375,000 | a | $0.50 | 2,926,957 | direct | ||
COMMON STOCK | 2022-05-13 | 0 | $0.00 | 717,891 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
PRE-FUNDED COMMON STOCK PURCHASE WARRANT | 0.001 | 2022-05-13 | deemed execution date | P | 8,625,000 (a) | 2022-05-13 | common stock 8,625,000 | $0.00 | 9,025,000 | direct | ||
PRE-FUNDED COMMON STOCK PURCHASE WARRANT | 0.001 | deemed execution date | 0 ( ) | 2021-08-17 | common stock 615,000 | $0.00 | 615,000 | indirect | see note 1 |
ID | footnote |
---|---|
f1 | mr. lytton may be deemed to beneficially own these securities indirectly because he has investment discretion over the securities accounts of certain of his family members and their trusts, investment entities and foundations in which these securities are held. mr. lytton disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
f2 | the pre-funded warrants do not have an expiration date. |
f3 | the pre-funded warrants may be exercised to purchase shares of common stock of the issuer, subject to a 9.99% beneficial ownership limitation. |