LIQT

SEC source: 0001567619-22-010601 · doc1.xml · nonDerivative · entry 1

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,926,957

SEC source: 0001437749-23-000491 · rdgdoc.xml · nonDerivative · entry 1

Stadil Simon Seidelin · CIK 0001898749 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 735,294

F1 · shares: Explanation of Responses: (1) Represents shares of Common Stock underlying a restricted stock unit award ("RSUs") granted under the Issuer's 2013 Share Incentive Plan. The RSUs will vest ratably on January 1, 2023, January 1, 2024 and January 1, 2025.

SEC source: 0001567619-22-001726 · doc1.xml · nonDerivative · entry 3

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,551,957

SEC source: 0001567619-22-001726 · doc1.xml · nonDerivative · entry 2

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,551,857

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.1426 to $5.3903 per share. The filers undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares purchased at each separate price within this range.

SEC source: 0001567619-22-001726 · doc1.xml · nonDerivative · entry 1

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,535,768

SEC source: 0001567619-22-000670 · doc1.xml · nonDerivative · entry 2

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,515,768

F2 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.94 to $5.95 per share. The filers undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares purchased at each separate price within this range.

SEC source: 0001567619-22-000670 · doc1.xml · nonDerivative · entry 1

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,504,868

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.90 to $6.00 per share. The filers undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares purchased at each separate price within this range.

SEC source: 0001437749-22-000502 · rdgdoc.xml · nonDerivative · entry 1

Boswell Peyton · CIK 0001715018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,400

F1 · shares: Represents shares of Common Stock underlying a restricted stock unit award ("RSU") granted under the Issuer's 2013 Share Incentive Plan. The RSU will vest on January 3, 2023.

SEC source: 0001437749-22-000499 · rdgdoc.xml · nonDerivative · entry 1

VERNON MARK · CIK 0001574126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,093

F1 · shares: Represents shares of Common Stock underlying a restricted stock unit award ("RSU") granted under the Issuer's 2013 Share Incentive Plan. The RSU will vest on January 3, 2023.

SEC source: 0001437749-22-000500 · rdgdoc.xml · derivative · entry 1

Sune Mathiesen · CIK 0001617462 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,073

Underlying: Common Stock · 88,073 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit converts into a share of Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On January 3, 2022, the reporting person was granted 88,073 Restricted Stock Units, which shall vest in three consecutive equal annual installments beginning January 3, 2023.

F2 · derivative.expiration_date: On January 3, 2022, the reporting person was granted 88,073 Restricted Stock Units, which shall vest in three consecutive equal annual installments beginning January 3, 2023.

SEC source: 0001437749-22-000462 · rdgdoc.xml · nonDerivative · entry 1

BUEHLER ALEXANDER J · CIK 0001397838 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,900

F1 · shares: Represents shares of Common Stock underlying a restricted stock unit award ("RSU") granted under the Issuer's 2013 Share Incentive Plan. The RSU will vest on January 3, 2023.

SEC source: 0001567619-21-022458 · doc1.xml · nonDerivative · entry 3

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,492,083

F3 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.96 to $5.29 per share. The filers undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares purchased at each separate price within this range.

SEC source: 0001567619-21-022458 · doc1.xml · nonDerivative · entry 2

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,476,983

F2 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.96 to $5.10 per share. The filers undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares purchased at each separate price within this range.

SEC source: 0001567619-21-022458 · doc1.xml · nonDerivative · entry 1

LYTTON LAURENCE W · CIK 0001105806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,432,088

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.78 to $4.95 per share. The filers undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares purchased at each separate price within this range.

SEC source: 0001437749-21-027921 · rdgdoc.xml · nonDerivative · entry 1

Boswell Peyton · CIK 0001715018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,160

SEC source: 0001437749-21-009875 · rdgdoc.xml · nonDerivative · entry 1

Boswell Peyton · CIK 0001715018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,160

SEC source: 0001437749-21-023493 · rdgdoc.xml · derivative · entry 1

Sune Mathiesen · CIK 0001617462 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,432

Underlying: Common Stock · 40,432 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit converts into a share of Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On March 22, 2021, the reporting person was granted 40,432 Restricted Stock Units, which shall vest in three equal annual installments beginning January 2, 2022.

F2 · derivative.expiration_date: On March 22, 2021, the reporting person was granted 40,432 Restricted Stock Units, which shall vest in three equal annual installments beginning January 2, 2022.

SEC source: 0001437749-21-023541 · rdgdoc.xml · derivative · entry 1

Sune Mathiesen · CIK 0001617462 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,941

Underlying: Common Stock · 52,941 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit converts into a share of Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On March 22, 2021, the reporting person was granted 52,941 Restricted Stock Units, which shall vest in three equal annual installments beginning January 2, 2022.

F2 · derivative.expiration_date: On March 22, 2021, the reporting person was granted 52,941 Restricted Stock Units, which shall vest in three equal annual installments beginning January 2, 2022.

SEC source: 0001437749-21-000734 · rdgdoc.xml · nonDerivative · entry 1

BUEHLER ALEXANDER J · CIK 0001397838 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,660

F1 · price: On January 6, 2021, as consideration for service on the Board of Directors, Mr. Buehler was granted 4,660 restricted shares of Common Stock of the Issuer, which shall vest on January 1, 2022.

SEC source: 0001437749-21-000834 · rdgdoc.xml · nonDerivative · entry 2

VERNON MARK · CIK 0001574126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,614

F2 · price: On January 6, 2021, as consideration for service on the Board of Directors, Mr. Vernon was granted 9,321 restricted shares of Common Stock of the Issuer, which shall vest on January 1, 2022.

SEC source: 0001437749-21-000834 · rdgdoc.xml · nonDerivative · entry 1

VERNON MARK · CIK 0001574126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,293

F1 · price: On January 6, 2021, Mr. Vernon was issued 11,218 shares of Common Stock of the Issuer as consideration for past service on the Board of Directors.

SEC source: 0001437749-21-001119 · rdgdoc.xml · nonDerivative · entry 1

Boswell Peyton · CIK 0001715018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,160

F1 · price: On January 6, 2021, as consideration for service on the Board of Directors, Mr. Boswell was granted 4,660 restricted shares of Common Stock of the Issuer, which shall vest on January 1, 2022.

SEC source: 0001437749-20-023974 · rdgdoc.xml · nonDerivative · entry 1

MEEUSEN RICHARD A · CIK 0001081639 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

SEC source: 0001437749-20-018922 · rdgdoc.xml · nonDerivative · entry 1

MEEUSEN RICHARD A · CIK 0001081639 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F1 · security: On August 26, 2020, Mr. Meeusen was appointed to serve as a member of the Board of Directors of LiqTech International, Inc. For Board service, Mr. Meeusen received an initial grant of 25,000 restricted shares of common stock which shall vest annually in equal installments over a three year period.

SEC source: 0001437749-20-006502 · rdgdoc.xml · derivative · entry 1

Toftegaard Claus · CIK 0001787227 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,624

Underlying: Common Stock · 27,624 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units convert into shares of Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On March 24, 2020, the reporting person was granted 27,624 restricted shares of common stock which vest in equal installments annually over a three year period.

F2 · derivative.expiration_date: On March 24, 2020, the reporting person was granted 27,624 restricted shares of common stock which vest in equal installments annually over a three year period.

SEC source: 0001437749-20-006501 · rdgdoc.xml · derivative · entry 1

Sune Mathiesen · CIK 0001617462 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,457

Underlying: Common Stock · 64,457 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units convert into shares of Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On March 24, 2020, the reporting person was granted 64,457 restricted shares of common stock which vest in equal installments annually over a three year period.

F2 · derivative.expiration_date: On March 24, 2020, the reporting person was granted 64,457 restricted shares of common stock which vest in equal installments annually over a three year period.

SEC source: 0001437749-19-023317 · rdgdoc.xml · nonDerivative · entry 1

Boswell Peyton · CIK 0001715018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,500

SEC source: 0001437749-19-023678 · rdgdoc.xml · nonDerivative · entry 1

Boswell Peyton · CIK 0001715018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

SEC source: 0001437749-19-023165 · rdgdoc.xml · nonDerivative · entry 1

VERNON MARK · CIK 0001574126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,075

SEC source: 0001535264-19-000057 · primary_doc.xml · nonDerivative · entry 2

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 2,043,290

F2 · shares: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (CAY), Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together with SSFQP, CAY and TECH, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 654,846 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 219,896 Shares held by CAY, 171,998 Shares held by TECH and 996,550 Shares held by TECH II.

F3 · shares: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: This is a weighted average price.

F2 · balance_after: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (CAY), Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together with SSFQP, CAY and TECH, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 654,846 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 219,896 Shares held by CAY, 171,998 Shares held by TECH and 996,550 Shares held by TECH II.

F3 · balance_after: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.direct: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (CAY), Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together with SSFQP, CAY and TECH, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 654,846 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 219,896 Shares held by CAY, 171,998 Shares held by TECH and 996,550 Shares held by TECH II.

F3 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (CAY), Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together with SSFQP, CAY and TECH, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 654,846 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 219,896 Shares held by CAY, 171,998 Shares held by TECH and 996,550 Shares held by TECH II.

F3 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001535264-19-000057 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 2,093,290

F1 · price: This is a weighted average price.

SEC source: 0001437749-19-019422 · rdgdoc.xml · nonDerivative · entry 1

VERNON MARK · CIK 0001574126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,075

F1 · kind: On September 30, 2019, 8,212 restricted shares of Common Stock were granted to Mr. Vernon for Board service, which shall vest on January 1, 2020.

SEC source: 0001437749-19-018289 · rdgdoc.xml · nonDerivative · entry 1

Toftegaard Claus · CIK 0001787227 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

SEC source: 0001437749-19-004898 · rdgdoc.xml · nonDerivative · entry 1

Leifland Peter · CIK 0001770455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F1 · security: On March 11, 2019, Mr. Leifland was appointed to serve as a member of the Board of Directors of LiqTech International, Inc. For Board service, Mr. Leifland received an initial grant of 100,000 restricted shares of common stock which shall vest annually over a three year period.

SEC source: 0001437749-18-000232 · rdgdoc.xml · nonDerivative · entry 1

VERNON MARK · CIK 0001574126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,831

F1 · shares: On January 2, 2018, 52,798 restricted shares of Common Stock were granted to Mr. Vernon for Board service, which shall vest on January 1, 2019.

SEC source: 0001437749-18-000232 · rdgdoc.xml · derivative · entry 2

VERNON MARK · CIK 0001574126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,334

Underlying: Common Stock · 333,336 shares

Expires 2018-05-14

F2 · shares: On November 9, 2017, Mr. Vernon purchased 83,334 shares of Series A Convertible Preferred Stock in a private placement transaction.

SEC source: 0001437749-17-002605 · rdgdoc.xml · nonDerivative · entry 1

Burgon Paul · CIK 0001480555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,396

F1 · shares: Mr. Burgon was granted was granted 46,875 restricted shares of common stock for his service on the Issuer's Board of Directors, which common stock vested on January 2, 2017.

SEC source: 0001437749-17-002682 · rdgdoc.xml · nonDerivative · entry 1

VERNON MARK · CIK 0001574126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,033

F1 · shares: Mr. Vernon was granted 46,875 restricted shares of common stock for his service on the Issuer's Board of Directors, which common stock vested on January 2, 2017.