Ellin Robert S's Form 4 filing
LiveOne, Inc.LVO · filed Aug 17, 2022
- Accession no.
- 0001213900-22-049067
- Filed
- Aug 17, 2022
- Trade date
- Jul 8-Aug 17, 2022
- Filing delay
- 40 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market purchases total $20.9K. It was filed 40 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Ellin Robert SCIK 0001071292 | Director, Officer (CEO & Chairman), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 8, 2022 | Common Stock, $0.001 par value | AGrant or awardAcquired | +500,000 | $0.00F1 | $0 | 17,613,714 | Indirect | |
| Aug 17, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +10,000 | $1.04F6 | +$10,400 | 1,944,666 | Direct | |
| Aug 17, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +10,000 | $1.05F7 | +$10,500 | 1,954,666 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Effective as of July 8, 2022, Issuer entered into the Amendment of Notes Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which the maturity date of all of Issuer's unsecured convertible notes issued to Trinad Capital was extended to July 1, 2024, and in consideration of such extension, Issuer issued to Trinad Capital 500,000 shares of Issuer's common stock.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.03 to $1.04, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 6.
Referenced by the price of 1 transaction in Table I.
- F7
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.05 to $1.065, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 7.
Referenced by the price of 1 transaction in Table I.