Form 4 for LVO LiveOne, Inc.
Accepted 2022-12-05 00:00:00 ET · period of report 2022-12-01 · accession 0001213900-22-077745 · 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 | 2022-12-05 | 2022-12-01 | LVO | Sullivan Aaron | EVP, Interim CFO, Ctrl | J - Other | $0.65 | -2,346 | 68.2K | -3% | -$1,525 |
| D | 2022-12-05 | 2022-12-01 | LVO | Sullivan Aaron | EVP, Interim CFO, Ctrl | M - OptEx | — | +6,250 | 70.5K | +10% | — |
| D | 2022-12-05 | 2022-12-01 | LVO | Sullivan Aaron | EVP, Interim CFO, Ctrl | M - OptEx | $0.00 | -6,250 | 6,250 | -50% | $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 | 2022-12-01 | J | D | 2,346 | $0.65 | 68,195 | 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. |
| 2 | Common | Common Stock, $0.001 par value | 2022-12-01 | M | A | 6,250 | — | 70,541 | D | — | — | (F1) Restricted Stock Units convert into Common Stock on a one-for-one basis. |
| 3 | Derivative | Restricted Stock Units | 2022-12-01 | M | D | 6,250 | $0.00 | 6,250 | D | — · — to — | 6,250 Common Stock, $0.001 par value | (F1) Restricted Stock Units convert into Common Stock on a one-for-one basis. (F2) Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on September 9, 2022. |