0001209191-21-003441.txt : 20210113 0001209191-21-003441.hdr.sgml : 20210113 20210113170510 ACCESSION NUMBER: 0001209191-21-003441 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210111 FILED AS OF DATE: 20210113 DATE AS OF CHANGE: 20210113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stein Michael Jason CENTRAL INDEX KEY: 0001716349 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33937 FILM NUMBER: 21526736 MAIL ADDRESS: STREET 1: 325 E WARM SPRINGS ROAD CITY: LAS VEGAS STATE: NV ZIP: 89119 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LIVE VENTURES Inc CENTRAL INDEX KEY: 0001045742 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS RETAIL [5900] IRS NUMBER: 850206668 STATE OF INCORPORATION: NV FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 325 EAST WARM SPRINGS ROAD STREET 2: SUITE 102 CITY: LAS VEGAS STATE: NV ZIP: 89119 BUSINESS PHONE: (702) 997-5968 MAIL ADDRESS: STREET 1: 325 EAST WARM SPRINGS ROAD STREET 2: SUITE 102 CITY: LAS VEGAS STATE: NV ZIP: 89119 FORMER COMPANY: FORMER CONFORMED NAME: LIVEDEAL INC DATE OF NAME CHANGE: 20070815 FORMER COMPANY: FORMER CONFORMED NAME: YP CORP DATE OF NAME CHANGE: 20040504 FORMER COMPANY: FORMER CONFORMED NAME: YP NET INC DATE OF NAME CHANGE: 19991112 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-01-11 0 0001045742 LIVE VENTURES Inc LIVE 0001716349 Stein Michael Jason C/O LIVE VENTURES, INC. 325 EAST WARM SPRINGS ROAD, STE. 102 LAS VEGAS NV 89119 0 1 0 0 Sr. VP, General Counsel Incentive Stock Option 23.41 2017-09-05 4 D 0 4000 23.41 D 2018-09-05 2027-09-05 Common Stock 4000 4000 D Incentive Stock Option 27.60 2017-09-05 4 D 0 4000 27.60 D 2019-09-05 2027-09-05 Common Stock 4000 8000 D Incentive Stock Option 31.74 2017-09-05 4 D 0 4000 31.74 D 2020-09-05 2027-09-05 Common Stock 4000 12000 D Incentive Stock Option 36.50 2017-09-05 4 D 0 4000 36.50 D 2021-09-05 2027-09-05 Common Stock 4000 16000 D Incentive Stock Option 41.9762 2017-09-05 4 D 0 4000 41.9762 D 2022-09-05 2027-09-05 Common Stock 4000 20000 D Incentive Stock Option 11.80 2017-09-05 4 A 0 4000 11.80 A 2018-09-05 2027-09-05 Common Stock 4000 4000 D Incentive Stock Option 11.80 2017-09-05 4 A 0 4000 11.80 A 2019-09-05 2027-09-05 Common Stock 4000 8000 D Incentive Stock Option 11.80 2017-09-05 4 A 0 4000 11.80 A 2020-09-05 2027-09-05 Common Stock 4000 12000 D Incentive Stock Option 12.98 2017-09-05 4 A 0 4000 12.98 A 2021-09-05 2027-09-05 Common Stock 4000 16000 D Incentive Stock Option 14.27 2017-09-05 4 A 0 4000 14.27 A 2022-09-05 2027-09-05 Common Stock 4000 20000 D Non-Qualified Stock Option 2021-01-11 4 A 0 5000 A 2027-01-11 Common Stock 5000 25000 D The reported transaction involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on September 5, 2017 and provides for the vesting described in this Form 4. The exercise price of the "old" option was amended as described in this Form 4. The Reporting Person was granted an option to purchase 5000 shares of common stock, with a grant of 1250 shares deemed to be made on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021. The exercise price of each such option grant will be the closing price of the common stock on the Nasdaq Capital Market on March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021, respectively. The Reporting Person was granted an option to purchase 5000 shares of common stock, with a grant of 1250 shares deemed to be made on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021. The Reporting Person was granted an option to purchase 5000 shares of common stock, with a grant of 1250 shares deemed to be made on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021. Each grant of 1,250 shares vests on the one year anniversary of the date of its grant. /s/ Michael J. Stein 2021-01-13