Sec Form 4 Filing - BRISCOE JAMES A @ LIBERTY STAR URANIUM & METALS CORP. - 2016-10-11

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
BRISCOE JAMES A
2. Issuer Name and Ticker or Trading Symbol
LIBERTY STAR URANIUM & METALS CORP. [ LBSU]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
President, CEO, Chairman
(Last) (First) (Middle)
5610 E SUTLER LANE
3. Date of Earliest Transaction (MM/DD/YY)
10/11/2016
(Street)
TUCSON, AZ85712
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 2,187,500 ( 1 ) ( 2 ) I Alaska Star Minerals LLC
Common Stock 2,822,912 D ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Incentive Stock Options $ 0.88 ( 2 ) ( 4 ) 05/21/2018 Common Stock 75,000 ( 2 ) 75,000 ( 2 ) D
Incentive Stock Options $ 0.038 08/10/2010 08/10/2020 Common Stock 52,500,000 52,500,000 D
Warrants ( 5 ) 07/31/2015 07/31/2018 Common Stock 2,822,912 2,822,912 D ( 6 )
Non-Qualified Stock Options $ 0.003 10/11/2016 A 6,879,950 10/11/2016 10/11/2026 Common Stock 6,879,950 $ 0 6,879,950 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
BRISCOE JAMES A
5610 E SUTLER LANE
TUCSON, AZ85712
X President, CEO, Chairman
Signatures
/s/ James Briscoe 10/12/2016
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These shares are held by Alaska Star Minerals LLC. James Briscoe beneficially owns 100% of the membership interest in Alaska Star Minerals LLC.
( 2 )Reflects a one for four reverse stock split effective September 1, 2009.
( 3 )These shares are owned jointly by James Briscoe and his wife, Mardee Briscoe, as joint tenants with rights of survivorship.
( 4 )25% of 100,000 options vested on the six month anniversary of May 21, 2008 ("the date of grant"), 25% of 100,000 options vested on the twelve month anniversary of the date of grant, 25% of the 100,000 options vested on the eighteen month anniversary of the date of grant, and the balance of the 100 options vested on the twenty-four month anniversary of the date of grant and 25% of 200,000 options vested on the thirty month anniversary of the date of grant, 25% of 200,000 options vested on the thirty-six month anniversary date of the grant, 25% of the 200,000 options vested on the forty-second month anniversary date of the grant and the balance of the 200,000 options vested on the forty-eight month anniversary of the date of grant.
( 5 )These warrants have an exercise price of $0.00213 per share of common stock.
( 6 )These warrants are owned jointly by James Briscoe and his wife, Mardee Briscoe, as joint tenants with rights of survivorship.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** 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 is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.