0001213900-24-008073.txt : 20240130
0001213900-24-008073.hdr.sgml : 20240130
20240130204649
ACCESSION NUMBER: 0001213900-24-008073
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240124
FILED AS OF DATE: 20240130
DATE AS OF CHANGE: 20240130
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sullivan Aaron
CENTRAL INDEX KEY: 0001941801
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38249
FILM NUMBER: 24580340
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]
ORGANIZATION NAME: 07 Trade & Services
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
X0508
4
2024-01-24
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
CFO, EVP, Treas & Secr
0
Restricted Stock Units
0
2024-01-24
4
A
0
350000
0
A
Common Stock, $0.001 par value
350000
350000
D
Represents Restricted Stock Units (the "RSUs") granted to the Reporting Person pursuant to the Employment Agreement, dated as of January 24, 2024 (the "EA"), entered into between the Reporting Person and the Issuer. 175,000 of the RSUs shall vest during the first open trading window under the Issuer's Insider Trading Policy which occurs after October 1, 2024 (anticipated to be in November 2024) (the "Initial Vesting Date"), and the remaining RSUs shall vest thereafter in equal amounts of 43,750 RSUs on each successive quarterly anniversary of the Initial Vesting Date, with the last tranche to vest on October 1, 2025 (inclusive), subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date (continued to Footnote 2)
(continued from Footnote 1) and subject to earlier full vesting upon a Company Change of Control (as defined in the EA), or such other earlier vesting acceleration conditions as provided in the EA. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) promptly after the applicable vesting date, (ii) the date of a Company Change of Control, (iii) the date of the Reporting Person's death or Disability (as defined in the EA), and (iv) such other earlier settlement as provided in the EA.
/s/ Aaron Sullivan
2024-01-30