0001213900-22-073600.txt : 20221117
0001213900-22-073600.hdr.sgml : 20221117
20221117203149
ACCESSION NUMBER: 0001213900-22-073600
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221115
FILED AS OF DATE: 20221117
DATE AS OF CHANGE: 20221117
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: 221400298
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
2022-11-15
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
2022-11-15
4
M
0
12500
A
69073
D
Common Stock, $0.001 par value
2022-11-15
4
J
0
4782
0.74
D
64291
D
Restricted Stock Units
2022-11-15
4
M
0
12500
0
D
Common Stock, $0.001 par value
12500
0
D
Restricted Stock Units convert into Common Stock on a one-for-one basis.
Represents 12,500 vested Restricted Stock Units ("RSUs") that were settled on the reported date granted to the Reporting Person pursuant to Amendment No. 1 to his employment agreement, dated as of October 25, 2020 and effective as October 1, 2020. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock.
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
2022-11-17