Form Type: 4

SEC EDGAR Link
Accession Number:0001567619-22-010601
Date:2022-05-13
Issuer: LIQTECH INTERNATIONAL INC (LIQT)
Original Submission Date:

Reporting Person:

LYTTON LAURENCE W
467 CENTRAL PARK WEST
NEW YORK, NY 10025

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature 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
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
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.
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