0001213900-22-049467.txt : 20220818 0001213900-22-049467.hdr.sgml : 20220818 20220818201424 ACCESSION NUMBER: 0001213900-22-049467 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220815 FILED AS OF DATE: 20220818 DATE AS OF CHANGE: 20220818 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sullivan Aaron CENTRAL INDEX KEY: 0001941801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38249 FILM NUMBER: 221178681 MAIL ADDRESS: STREET 1: 269 SOUTH BEVERLY DRIVE STREET 2: SUITE 1450 CITY: BEVERLY HILLS STATE: CA ZIP: 90212 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LiveOne, Inc. CENTRAL INDEX KEY: 0001491419 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 980657263 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 9200 SUNSET BOULEVARD STREET 2: SUITE #1201 CITY: WEST HOLLYWOOD STATE: CA ZIP: 90069 BUSINESS PHONE: (310) 601-2505 MAIL ADDRESS: STREET 1: 9200 SUNSET BOULEVARD STREET 2: SUITE #1201 CITY: WEST HOLLYWOOD STATE: CA ZIP: 90069 FORMER COMPANY: FORMER CONFORMED NAME: LiveXLive Media, Inc. DATE OF NAME CHANGE: 20170808 FORMER COMPANY: FORMER CONFORMED NAME: LOTON, CORP DATE OF NAME CHANGE: 20100507 4 1 ownership.xml X0306 4 2022-08-15 0 0001491419 LiveOne, Inc. LVO 0001941801 Sullivan Aaron C/O LIVEONE, INC., 269 SOUTH BEVERLY DRIVE, SUITE #1450 BEVERLY HILLS CA 90212 0 1 0 0 Interim CFO, Controller & EVP Common Stock, $0.001 par value 2022-08-15 4 M 0 6250 A 52445 D Common Stock, $0.001 par value 2022-08-15 4 J 0 3037 1.05 D 49408 D Restricted Stock Units 2022-08-15 4 M 0 6250 0 D Common Stock, $0.001 par value 6250 12500 D Restricted Stock Units convert into Common Stock on a one-for-one basis. 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 (the "Employment Agreement"). 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 August 16, 2022. 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. /s/ Aaron Sullivan 2022-08-18