0001209191-21-009658.txt : 20210211 0001209191-21-009658.hdr.sgml : 20210211 20210211161740 ACCESSION NUMBER: 0001209191-21-009658 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210128 FILED AS OF DATE: 20210211 DATE AS OF CHANGE: 20210211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Isaac Jon CENTRAL INDEX KEY: 0001512469 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-33937 FILM NUMBER: 21619906 MAIL ADDRESS: STREET 1: 501 W. BROADWAY STREET 2: SUITE A212 CITY: SAN DIEGO STATE: CA ZIP: 92101 FORMER NAME: FORMER CONFORMED NAME: Isaac John DATE OF NAME CHANGE: 20110208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Isaac Capital Group, LLC CENTRAL INDEX KEY: 0001512069 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-33937 FILM NUMBER: 21619907 BUSINESS ADDRESS: STREET 1: 501 W. BROADWAY, #A212 CITY: SAN DIEGO STATE: CA ZIP: 92101 BUSINESS PHONE: 858-259-6666 MAIL ADDRESS: STREET 1: 501 W. BROADWAY, #A212 CITY: SAN DIEGO STATE: CA ZIP: 92101 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/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2021-01-28 2021-02-01 0 0001045742 LIVE VENTURES Inc LIVE 0001512469 Isaac Jon C/O LIVE VENTURES, INC. 325 EAST WARM SPRINGS ROAD, STE. 102 LAS VEGAS NV 89119 1 1 1 0 CEO and President 0001512069 Isaac Capital Group, LLC 3525 DEL MAR HEIGHTS ROAD SUITE 765 SAN DIEGO CA 92130 0 0 1 0 Warrant (right to buy) 28.50 2021-01-28 4 M 0 10914 0.00 D 2012-09-10 2021-09-10 Series B Preferred Stock 10914 1395898 D Warrant (right to buy) 24.30 2021-01-28 4 M 0 12383 0.00 D 2012-12-11 2021-12-11 Series B Preferred Stock 12383 1383515 D Warrant (right to buy) 16.60 2021-01-28 4 M 0 54396 0.00 D 2013-03-27 2022-03-27 Series B Preferred Stock 54396 1329119 D Warrant (right to buy) 16.80 2021-01-28 4 M 0 17857 0.00 D 2013-03-28 2022-03-28 Series B Preferred Stock 17857 1311262 D Warrant (right to buy) 28.50 2021-01-28 4 M 0 22479 0.00 D 2014-12-03 2021-12-03 Series B Preferred Stock 22479 1288783 D Series B Preferred Stock 2021-01-28 4 M 0 8826 0.00 A Common Stock 44130 1297609 D Series B Preferred Stock 2021-01-28 4 F 0 2088 0.00 D Common Stock 10440 1297609 D Series B Preferred Stock 2021-01-28 4 M 0 10363 0.00 A Common Stock 51815 1349424 D Series B Preferred Stock 2021-01-28 4 F 0 2020 0.00 D Common Stock 10100 1349424 D Series B Preferred Stock 2021-01-28 4 M 0 48335 0.00 A Common Stock 241675 1591099 D Series B Preferred Stock 2021-01-28 4 F 0 6061 0.00 D Common Stock 30305 1591099 D Series B Preferred Stock 2021-01-28 4 M 0 15843 0.00 A Common Stock 79215 1670314 D Series B Preferred Stock 2021-01-28 4 F 0 2014 0.00 D Common Stock 10070 1670314 D Series B Preferred Stock 2021-01-28 4 M 0 18179 0.00 A Common Stock 90895 1761209 D Series B Preferred Stock 2021-01-28 4 F 0 4300 0.00 D Common Stock 21500 1761209 D The Series B Preferred Stock and the underlying shares of common stock are subject to a lock-up agreement with the issuer that expires on December 31, 2021. Each share of Series B Preferred Stock currently converts into five shares of Live Ventures Incorporated common stock. The Series B Preferred Stock and the underlying shares of common stock are subject to a lock-up agreement with the issuer that expires on December 31, 2021. On January 28, 2021, Isaac Capital Group (ICG) of which Jon Isaac is the sole member, exercised a warrant to purchase 10,914 shares of Series B Convertible Preferred Stock (Series B Preferred Stock) of Live Ventures Incorporated (Live Ventures) for $28.50 per share. ICG paid the exercise price on a cashless basis, resulting in Live Ventures withholding 2,088 of the warrant shares to pay the exercise price and issuing to ICG the remaining 8,826 shares. Live Ventures also paid $16.39 to ICG in lieu of a fractional share. On January 28, 2021, Isaac Capital Group (ICG) of which Jon Isaac is the sole member, exercised a warrant to purchase 12,383 shares of Series B Convertible Preferred Stock (Series B Preferred Stock) of Live Ventures Incorporated (Live Ventures) for $24.30 per share. ICG paid the exercise price on a cashless basis, resulting in Live Ventures withholding 2,020 of the warrant shares to pay the exercise price and issuing to ICG the remaining 10,363 shares. Live Ventures also paid $67.05 to ICG in lieu of a fractional share. On January 28, 2021, Isaac Capital Group (ICG) of which Jon Isaac is the sole member, exercised a warrant to purchase 54,396 shares of Series B Convertible Preferred Stock (Series B Preferred Stock) of Live Ventures Incorporated (Live Ventures) for $16.60 per share. ICG paid the exercise price on a cashless basis, resulting in Live Ventures withholding 6,061 of the warrant shares to pay the exercise price and issuing to ICG the remaining 48,335 shares. Live Ventures also paid $129.63 to ICG in lieu of a fractional share. On January 28, 2021, Isaac Capital Group (ICG) of which Jon Isaac is the sole member, exercised a warrant to purchase 17,857 shares of Series B Convertible Preferred Stock (Series B Preferred Stock) of Live Ventures Incorporated (Live Ventures) for $16.80 per share. ICG paid the exercise price on a cashless basis, resulting in Live Ventures withholding 2,014 of the warrant shares to pay the exercise price and issuing to ICG the remaining 15,843 shares. Live Ventures also paid $144.53 to ICG in lieu of a fractional share. The original Form 4, filed on February 2, 2021, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported the exercise of the warrants using incorrect transaction codes. This Form 4/A reports the correct transaction codes and properly reports the cashless exercise of the warrants as the exercise or conversion of a derivative security exempted pursuant to Rule 16b-3. Isaac Capital Group LLC, by Jon Isaac, Managing Member /s/ Jon Isaac 2021-02-11