0001213900-24-052214.txt : 20240612 0001213900-24-052214.hdr.sgml : 20240612 20240612213105 ACCESSION NUMBER: 0001213900-24-052214 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240607 FILED AS OF DATE: 20240612 DATE AS OF CHANGE: 20240612 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: 241039885 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: 269 SOUTH BEVERLY DRIVE STREET 2: SUITE 1450 CITY: BEVERLY HILLS STATE: CA ZIP: 90212 BUSINESS PHONE: (310) 601-2505 MAIL ADDRESS: STREET 1: 269 SOUTH BEVERLY DRIVE STREET 2: SUITE 1450 CITY: BEVERLY HILLS STATE: CA ZIP: 90212 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 2024-06-07 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, Controller & EVP 0 Common Stock, $0.001 par value 2024-06-07 4 M 0 75000 A 150356 D Common Stock, $0.001 par value 2024-06-07 4 J 0 27400 1.7011 D 122956 D Restricted Stock Units 2024-06-07 4 M 0 75000 0 D Common Stock, $0.001 par value 75000 0 D Restricted Stock Units convert into Common Stock on a one-for-one basis. Represents 75,000 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of 75,000 RSUs granted to the Reporting Person on April 4, 2022. 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 2024-06-12