Form 4 for LVO LiveOne, Inc.

Accepted 2023-03-06 00:00:00 ET · period of report 2023-03-01 · accession 0001213900-23-017904 · 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	2023-03-06	2023-03-01	LVO	Sullivan Aaron	EVP, Interim CFO, Ctrl	J - Other	$1.09	-2,630	71.8K	-4%	-$2,867
D	2023-03-06	2023-03-01	LVO	Sullivan Aaron	EVP, Interim CFO, Ctrl	M - OptEx	—	+6,250	74.4K	+9%	—
D	2023-03-06	2023-03-01	LVO	Sullivan Aaron	EVP, Interim CFO, Ctrl	M - OptEx	$0.00	-6,250	0	-100%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock, $0.001 par value	2023-03-01	J	D	2,630	$1.09	71,815	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	2023-03-01	M	A	6,250	—	74,445	D	—	—	(F1) Restricted Stock Units convert into Common Stock on a one-for-one basis.
3	Derivative	Restricted Stock Units	2023-03-01	M	D	6,250	$0.00	0	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.