Form 4 for LVO LiveOne, Inc.
Accepted 2022-11-17 00:00:00 ET · period of report 2022-11-15 · accession 0001213900-22-073600 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-11-17 | 2022-11-15 | LVO | Sullivan Aaron | EVP, Interim CFO, Ctrl | M - OptEx | — | +12.5K | 69.1K | +22% | — |
| D | 2022-11-17 | 2022-11-15 | LVO | Sullivan Aaron | EVP, Interim CFO, Ctrl | J - Other | $0.74 | -4,782 | 64.3K | -7% | -$3,539 |
| D | 2022-11-17 | 2022-11-15 | LVO | Sullivan Aaron | EVP, Interim CFO, Ctrl | M - OptEx | $0.00 | -12.5K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $0.001 par value | 2022-11-15 | M | A | 12,500 | — | 69,073 | D | — | — | (F1) Restricted Stock Units convert into Common Stock on a one-for-one basis. |
| 2 | Common | Common Stock, $0.001 par value | 2022-11-15 | J | D | 4,782 | $0.74 | 64,291 | D | — | — | (F3) On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. |
| 3 | Derivative | Restricted Stock Units | 2022-11-15 | M | D | 12,500 | $0.00 | 0 | D | — · — to — | 12,500 Common Stock, $0.001 par value | (F1) Restricted Stock Units convert into Common Stock on a one-for-one basis. (F2) Represents 12,500 vested Restricted Stock Units ("RSUs") that were settled on the reported date granted to the Reporting Person pursuant to Amendment No. 1 to his employment agreement, dated as of October 25, 2020 and effective as October 1, 2020. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. |