Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 18, 2020 Filed Aug 19, 2020 11:52 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 4,200 | $2.91 | $12,218.64 |
DisclosureSEC source: 0001213900-20-022792 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,423,246 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.85 to $2.99, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| August 18, 2020 Filed Aug 28, 2020 21:30 UTC |
Gold Jerome N.Director
|
Exercise / conversionRestricted Stock Units · Derivative | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-024421 · ownership.xml · derivative · entry 3 Gold Jerome N. · CIK 0001717518 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · 250,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2 · derivative.exercise_date: These Restricted Stock Units (the "RSUs") were granted pursuant to the Reporting Person's Amended and Restated Employment Agreement, dated as of September 1, 2017, as subsequently amended, and vested on June 30, 2020. Each vested RSU was settled by the Issuer in August 2020 by delivery to the Reporting Person of one share of the Issuer's common stock per RSU F2 · derivative.expiration_date: These Restricted Stock Units (the "RSUs") were granted pursuant to the Reporting Person's Amended and Restated Employment Agreement, dated as of September 1, 2017, as subsequently amended, and vested on June 30, 2020. Each vested RSU was settled by the Issuer in August 2020 by delivery to the Reporting Person of one share of the Issuer's common stock per RSU Read SEC document |
| August 18, 2020 Filed Aug 28, 2020 21:30 UTC |
Gold Jerome N.Director
|
OtherCommon Stock, $0.001 par value | 86,173 | $2.80 | $241,284.40 |
DisclosureSEC source: 0001213900-20-024421 · ownership.xml · nonDerivative · entry 2 Gold Jerome N. · CIK 0001717518 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268,827 F3 · shares: On August 18, 2020, these shares were sold by the 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 as reported in footnote 2. 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. Read SEC document |
| August 18, 2020 Filed Aug 28, 2020 21:30 UTC |
Gold Jerome N.Director
|
Exercise / conversionCommon Stock, $0.001 par value | 250,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-024421 · ownership.xml · nonDerivative · entry 1 Gold Jerome N. · CIK 0001717518 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 355,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis. Read SEC document |
| August 18, 2020 Filed Aug 29, 2020 01:31 UTC |
Zemetra Michael LeonardCFO & EVP
|
Exercise / conversionRestricted Stock Units · Derivative | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-024423 · ownership.xml · derivative · entry 3 Zemetra Michael Leonard · CIK 0001580591 · CFO & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · 250,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2 · derivative.exercise_date: These Restricted Stock Units (the "RSUs") were granted pursuant to the Reporting Person's Employment Agreement, dated as of April 13, 2018, as subsequently amended, and vested on April 13, 2020. Each vested RSU was settled by the Issuer in August 2020 by delivery to the Reporting Person of one share of the Issuer's common stock per RSU. F2 · derivative.expiration_date: These Restricted Stock Units (the "RSUs") were granted pursuant to the Reporting Person's Employment Agreement, dated as of April 13, 2018, as subsequently amended, and vested on April 13, 2020. Each vested RSU was settled by the Issuer in August 2020 by delivery to the Reporting Person of one share of the Issuer's common stock per RSU. Read SEC document |
| August 18, 2020 Filed Aug 29, 2020 01:31 UTC |
Zemetra Michael LeonardCFO & EVP
|
OtherCommon Stock, $0.001 par value | 83,206 | $2.81 | $233,808.86 |
DisclosureSEC source: 0001213900-20-024423 · ownership.xml · nonDerivative · entry 2 Zemetra Michael Leonard · CIK 0001580591 · CFO & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,461 F3 · shares: On August 18, 2020, these shares were sold by the 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 as reported in footnote 2. 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. Read SEC document |
| August 18, 2020 Filed Aug 29, 2020 01:31 UTC |
Zemetra Michael LeonardCFO & EVP
|
Exercise / conversionCommon Stock, $0.001 par value | 250,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-024423 · ownership.xml · nonDerivative · entry 1 Zemetra Michael Leonard · CIK 0001580591 · CFO & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 266,667 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis. Read SEC document |
| August 18, 2020 Filed Aug 29, 2020 01:30 UTC |
BEBEL MICHAEL JSenior EVP
|
Exercise / conversionRestricted Stock Units · Derivative | 249,865 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-024422 · ownership.xml · derivative · entry 3 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,135 Underlying: Common Stock, $0.001 par value · 249,865 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2 · derivative.exercise_date: These Restricted Stock Units (the "RSUs") were granted pursuant to the Reporting Person's Employment Agreement, dated as of January 28, 2019 (the "EA"), and collectively vested as of July 31, 2020. Each vested RSU was settled by the Issuer in August 2020 by delivery to the Reporting Person of one share of the Issuer's common stock per RSU. The remaining restricted stock units granted pursuant to the EA vest as provided therein and previously reported on the Reporting Person's Form 4 filed with the U.S. Securities and Exchange Commission on February 8, 2019. F2 · derivative.expiration_date: These Restricted Stock Units (the "RSUs") were granted pursuant to the Reporting Person's Employment Agreement, dated as of January 28, 2019 (the "EA"), and collectively vested as of July 31, 2020. Each vested RSU was settled by the Issuer in August 2020 by delivery to the Reporting Person of one share of the Issuer's common stock per RSU. The remaining restricted stock units granted pursuant to the EA vest as provided therein and previously reported on the Reporting Person's Form 4 filed with the U.S. Securities and Exchange Commission on February 8, 2019. Read SEC document |
| August 18, 2020 Filed Aug 29, 2020 01:30 UTC |
BEBEL MICHAEL JSenior EVP
|
OtherCommon Stock, $0.001 par value | 86,427 | $2.81 | $242,859.87 |
DisclosureSEC source: 0001213900-20-024422 · ownership.xml · nonDerivative · entry 2 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,938 F3 · shares: On August 18, 2020, these shares were sold by the 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 as reported in footnote 2. 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. Read SEC document |
| August 18, 2020 Filed Aug 29, 2020 01:30 UTC |
BEBEL MICHAEL JSenior EVP
|
Exercise / conversionCommon Stock, $0.001 par value | 249,865 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-024422 · ownership.xml · nonDerivative · entry 1 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,365 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 11:52 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 8,946 | $2.79 | $24,955.76 |
DisclosureSEC source: 0001213900-20-022792 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,419,046 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.75 to $2.83875, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 1. Read SEC document |
| August 14, 2020 Filed Aug 17, 2020 16:31 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 2,400 | $2.75 | $6,609.12 |
DisclosureSEC source: 0001213900-20-022528 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,410,100 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.73 to $2.80, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| August 14, 2020 Filed Aug 17, 2020 11:03 UTC |
Spengler Tim J.Director
|
PurchaseCommon Stock, $0.001 par value | 10,000 | $2.74 | $27,429.00 |
DisclosureSEC source: 0001213900-20-022398 · ownership.xml · nonDerivative · entry 1 Spengler Tim J. · CIK 0001719763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,667 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.735 to $2.75, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| August 13, 2020 Filed Aug 13, 2020 20:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 23,261 | $2.63 | $61,129.91 |
DisclosureSEC source: 0001213900-20-022007 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,407,700 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.59 to $2.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 2. Read SEC document |
| August 12, 2020 Filed Aug 13, 2020 20:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 10,000 | $2.80 | $28,044.00 |
DisclosureSEC source: 0001213900-20-022007 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,384,439 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.80 to $2.81, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 1. Read SEC document |
| June 15, 2020 Filed Jun 18, 2020 21:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
OtherCommon Stock, $0.001 par value | 1,213,209 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-015306 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,213,209 F1 · shares: No shares were sold or otherwise disposed by the Reporting Person. This Report is filed solely to account for the transfer of the reported shares from the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan") to the Reporting Person. The Reporting Person as the trustee of the Profit Sharing Plan was deemed to have sole voting and dispositive power over the reported shares formerly directly held by the Profit Sharing Plan. F1 · price: No shares were sold or otherwise disposed by the Reporting Person. This Report is filed solely to account for the transfer of the reported shares from the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan") to the Reporting Person. The Reporting Person as the trustee of the Profit Sharing Plan was deemed to have sole voting and dispositive power over the reported shares formerly directly held by the Profit Sharing Plan. Read SEC document |
| June 15, 2020 Filed Jun 18, 2020 21:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
OtherCommon Stock, $0.001 par value | 1,213,209 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-015306 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 16,092,046 F1 · shares: No shares were sold or otherwise disposed by the Reporting Person. This Report is filed solely to account for the transfer of the reported shares from the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan") to the Reporting Person. The Reporting Person as the trustee of the Profit Sharing Plan was deemed to have sole voting and dispositive power over the reported shares formerly directly held by the Profit Sharing Plan. F1 · price: No shares were sold or otherwise disposed by the Reporting Person. This Report is filed solely to account for the transfer of the reported shares from the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan") to the Reporting Person. The Reporting Person as the trustee of the Profit Sharing Plan was deemed to have sole voting and dispositive power over the reported shares formerly directly held by the Profit Sharing Plan. F2 · ownership.nature: Includes (i) 6,656,332 shares of the Issuer's common stock (the "Common Stock") owned by Trinad Capital Master Fund, Ltd. ("Trinad Capital") as of June 15, 2020, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management") as of June 15, 2020, as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,814,210 shares of Common Stock owned by JJAT Corp. ("JJAT") as of June 15, 2020, an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 3) F3 · ownership.nature: (continued from footnote 2) and (iv) approximately 1,740,458 shares of Common Stock issuable as of June 15, 2020 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F4 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F5 · ownership.nature: Does not include (i) 4,498,781 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| April 16, 2020 Filed Apr 18, 2020 00:00 UTC |
Zemetra Michael LeonardCFO & EVP
|
GrantRestricted Stock Units · Derivative | 300,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-009509 · ownership.xml · derivative · entry 1 Zemetra Michael Leonard · CIK 0001580591 · CFO & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock, $0.001 par value · 300,000 shares Expires not disclosed F1 · derivative.exercise_date: 162,500 of the Restricted Stock Units (the "RSUs") shall vest on the 13-month anniversary of April 1, 2020 (the "Initial Vesting Date") and the remaining RSUs shall vest thereafter on each successive monthly anniversary of the Initial Vesting Date in an amount of 12,500 RSUs each, with the last tranche to vest on April 13, 2022 (inclusive), subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date and subject to earlier vesting upon a Change of Control (as defined in the Reporting Person's Employment Agreement, dated as of April 13, 2018, as subsequently amended (the "EA")), or such other vesting acceleration conditions as set forth 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) the date of a Change of Control, (continued to Footnote 2) F2 · derivative.exercise_date: (continued from Footnote 1) (ii) the end of the Employment Period (as defined in the EA), if so elected by the Reporting Person, and (iii) the date of the Reporting Person's death or Disability (as defined in the EA). F1 · derivative.expiration_date: 162,500 of the Restricted Stock Units (the "RSUs") shall vest on the 13-month anniversary of April 1, 2020 (the "Initial Vesting Date") and the remaining RSUs shall vest thereafter on each successive monthly anniversary of the Initial Vesting Date in an amount of 12,500 RSUs each, with the last tranche to vest on April 13, 2022 (inclusive), subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date and subject to earlier vesting upon a Change of Control (as defined in the Reporting Person's Employment Agreement, dated as of April 13, 2018, as subsequently amended (the "EA")), or such other vesting acceleration conditions as set forth 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) the date of a Change of Control, (continued to Footnote 2) F2 · derivative.expiration_date: (continued from Footnote 1) (ii) the end of the Employment Period (as defined in the EA), if so elected by the Reporting Person, and (iii) the date of the Reporting Person's death or Disability (as defined in the EA). Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 21:30 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
SaleCommon Stock, $0.001 par value | 82 | $1.59 | $130.69 |
DisclosureSEC source: 0001213900-20-008853 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,230 F1 · shares: The reported trade was inadvertently made due to human error on the part of the Reporting Person's broker. The Reporting Person has requested for the broker to ensure that such errors do not occur in the future. Read SEC document |
| March 05, 2020 Filed Mar 10, 2020 21:45 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
SaleCommon Stock, $0.001 par value | 96 | $1.34 | $128.64 |
DisclosureSEC source: 0001213900-20-005919 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,312 F1 · shares: The reported trade was inadvertently made due to human error. Read SEC document |
| December 20, 2019 Filed Dec 26, 2019 21:00 UTC |
Gold Jerome N.Director · Chief Strategy Officer & EVP
|
GrantRestricted Stock Units · Derivative | 350,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-027052 · ownership.xml · derivative · entry 1 Gold Jerome N. · CIK 0001717518 · Director · Chief Strategy Officer & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock, $0.001 par value · 350,000 shares Expires not disclosed F1 · derivative.exercise_date: 66.6% of the Restricted Stock Units (the "RSUs") shall vest on September 1, 2021 (the "Initial Vesting Date") and the remaining 33.4% of the RSUs shall vest on September 1, 2022 (the "Second Vesting Date," and together with the Initial Vesting Date, each a "Vesting Date"), subject to the Reporting Person's continued employment with the Issuer through the applicable Vesting Date and subject to earlier vesting upon a Change of Control (as defined in the Reporting Person's Amended and Restated Employment Agreement, dated as of September 1, 2017, as amended (the "EA")) or such other vesting acceleration conditions as set forth in the EA. Each vested RSU may be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) the date of a Change of Control, (continued to Footnote 2) F2 · derivative.exercise_date: (continued from Footnote 1) (ii) the date that is ten business days following the applicable Vesting Date, (iii) the date of the Reporting Person's death, and (iv) the date of the Reporting Person's Disability (as defined in the EA). F1 · derivative.expiration_date: 66.6% of the Restricted Stock Units (the "RSUs") shall vest on September 1, 2021 (the "Initial Vesting Date") and the remaining 33.4% of the RSUs shall vest on September 1, 2022 (the "Second Vesting Date," and together with the Initial Vesting Date, each a "Vesting Date"), subject to the Reporting Person's continued employment with the Issuer through the applicable Vesting Date and subject to earlier vesting upon a Change of Control (as defined in the Reporting Person's Amended and Restated Employment Agreement, dated as of September 1, 2017, as amended (the "EA")) or such other vesting acceleration conditions as set forth in the EA. Each vested RSU may be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) the date of a Change of Control, (continued to Footnote 2) F2 · derivative.expiration_date: (continued from Footnote 1) (ii) the date that is ten business days following the applicable Vesting Date, (iii) the date of the Reporting Person's death, and (iv) the date of the Reporting Person's Disability (as defined in the EA). Read SEC document |
| December 19, 2019 Filed Dec 20, 2019 21:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 404 | $2.01 | $812.61 |
DisclosureSEC source: 0001213900-19-026739 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,408 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.90 to $2.04, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 2. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 21:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 1,000 | $2.00 | $1,995.00 |
DisclosureSEC source: 0001213900-19-026739 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,004 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.94 to $2.07, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 1. Read SEC document |
| December 17, 2019 Filed Dec 18, 2019 21:03 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 900 | $2.14 | $1,928.97 |
DisclosureSEC source: 0001213900-19-026503 · ownership.xml · nonDerivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,243,693 F2 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.12 to $2.16, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 4. F5 · ownership.nature: Includes (i) 6,654,732 and 6,655,632 shares of the Issuer's common stock (the "Common Stock") as of December 16, 2019 and December 17, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Common Stock as of December 16, 2019 owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 6) F6 · ownership.nature: (continued from footnote 5) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F7 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F8 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 21:03 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 1,680 | $2.14 | $3,587.98 |
DisclosureSEC source: 0001213900-19-026503 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,242,793 F2 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.10 to $2.27, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 3. F5 · ownership.nature: Includes (i) 6,654,732 and 6,655,632 shares of the Issuer's common stock (the "Common Stock") as of December 16, 2019 and December 17, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Common Stock as of December 16, 2019 owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 6) F6 · ownership.nature: (continued from footnote 5) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F7 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F8 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 21:03 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 1,500 | $2.12 | $3,177.75 |
DisclosureSEC source: 0001213900-19-026503 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,241,113 F1 · shares: These shares were purchased by JJAT Corp. F5 · ownership.nature: Includes (i) 6,654,732 and 6,655,632 shares of the Issuer's common stock (the "Common Stock") as of December 16, 2019 and December 17, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Common Stock as of December 16, 2019 owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 6) F6 · ownership.nature: (continued from footnote 5) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F7 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F8 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 13, 2019 Filed Dec 16, 2019 21:08 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 1,200 | $2.28 | $2,732.04 |
DisclosureSEC source: 0001213900-19-026310 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,239,613 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.23 to $2.30, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 3. F4 · ownership.nature: Includes (i) 6,651,852 and 6,653,052 shares of the Issuer's common stock (the "Common Stock") as of December 12, 2019 and December 13, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,816,310 shares of Common Stock as of December 5, 2019 owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 21:08 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 1,200 | $2.32 | $2,787.48 |
DisclosureSEC source: 0001213900-19-026310 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,238,413 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.28 to $2.40, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 2. F4 · ownership.nature: Includes (i) 6,651,852 and 6,653,052 shares of the Issuer's common stock (the "Common Stock") as of December 12, 2019 and December 13, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,816,310 shares of Common Stock as of December 5, 2019 owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 11, 2019 Filed Dec 12, 2019 21:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 600 | $2.40 | $1,441.50 |
DisclosureSEC source: 0001213900-19-026088 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,237,213 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.38 to $2.71, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 3. F4 · ownership.nature: Includes (i) 6,650,052 and 6,650,652 shares of the Issuer's common stock (the "Common Stock") as of December 10, 2019 and December 11, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,816,310 shares of Common Stock as of December 5, 2019 owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 10, 2019 Filed Dec 12, 2019 21:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 2,100 | $2.59 | $5,446.98 |
DisclosureSEC source: 0001213900-19-026088 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,236,613 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.44 to $2.70, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 2. F4 · ownership.nature: Includes (i) 6,650,052 and 6,650,652 shares of the Issuer's common stock (the "Common Stock") as of December 10, 2019 and December 11, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,816,310 shares of Common Stock as of December 5, 2019 owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 09, 2019 Filed Dec 10, 2019 21:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 2,200 | $2.56 | $5,638.16 |
DisclosureSEC source: 0001213900-19-025809 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,234,513 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.38 to $2.71, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 3. F4 · ownership.nature: Includes (i) 6,645,752? and 6,647,952? shares of the Issuer's common stock (the "Common Stock") as of December 6, 2019 and December 9, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,816,310 shares of Common Stock as of December 5, 2019 owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 06, 2019 Filed Dec 10, 2019 21:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 1,100 | $2.12 | $2,334.31 |
DisclosureSEC source: 0001213900-19-025809 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,232,313 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.05 to $2.25, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 2. F4 · ownership.nature: Includes (i) 6,645,752? and 6,647,952? shares of the Issuer's common stock (the "Common Stock") as of December 6, 2019 and December 9, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,816,310 shares of Common Stock as of December 5, 2019 owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 05, 2019 Filed Dec 6, 2019 06:30 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 400 | $2.04 | $817.00 |
DisclosureSEC source: 0001213900-19-025457 · ownership.xml · nonDerivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,004 F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.04 to $2.05, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 4. Read SEC document |
| December 04, 2019 Filed Dec 6, 2019 06:30 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 1,100 | $2.07 | $2,273.04 |
DisclosureSEC source: 0001213900-19-025457 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,231,213 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 3. F5 · ownership.nature: Includes (i) 6,643,552 and 6,644,652 shares of the Issuer's common stock (the "Common Stock") as of December 3, 2019 and December 4, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,816,310 shares of Common Stock as of December 5, 2019, respectively, owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 6) F6 · ownership.nature: (continued from footnote 5) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F7 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F8 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 03, 2019 Filed Dec 6, 2019 06:30 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 1,600 | $1.98 | $3,173.60 |
DisclosureSEC source: 0001213900-19-025457 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,230,113 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.90 to $2.07, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 2. F5 · ownership.nature: Includes (i) 6,643,552 and 6,644,652 shares of the Issuer's common stock (the "Common Stock") as of December 3, 2019 and December 4, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,816,310 shares of Common Stock as of December 5, 2019, respectively, owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 6) F6 · ownership.nature: (continued from footnote 5) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F7 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F8 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 21:52 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 100 | $1.94 | $194.00 |
DisclosureSEC source: 0001213900-19-025347 · ownership.xml · nonDerivative · entry 5 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,228,513 F1 · shares: These shares were purchased by JJAT Corp. F7 · ownership.nature: Includes (i) 6,641,952 shares of the Issuer's common stock (the "Common Stock") as of December 2, 2019 owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,814,910, 6,815,410, 6,816,210 and 6,816,310 shares of Common Stock as of November 26, 2019, November 27, 2019, November 29, 2019 and December 2, 2019, respectively, owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 8) F8 · ownership.nature: (continued from footnote 7) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F9 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F10 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 21:52 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 700 | $1.90 | $1,326.99 |
DisclosureSEC source: 0001213900-19-025347 · ownership.xml · nonDerivative · entry 4 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,228,413 F2 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F6 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.87 to $2.01, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 6. F7 · ownership.nature: Includes (i) 6,641,952 shares of the Issuer's common stock (the "Common Stock") as of December 2, 2019 owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,814,910, 6,815,410, 6,816,210 and 6,816,310 shares of Common Stock as of November 26, 2019, November 27, 2019, November 29, 2019 and December 2, 2019, respectively, owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 8) F8 · ownership.nature: (continued from footnote 7) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F9 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F10 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| November 29, 2019 Filed Dec 4, 2019 21:52 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 800 | $1.95 | $1,557.20 |
DisclosureSEC source: 0001213900-19-025347 · ownership.xml · nonDerivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,227,713 F1 · shares: These shares were purchased by JJAT Corp. F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.92 to $2.01, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 5. F7 · ownership.nature: Includes (i) 6,641,952 shares of the Issuer's common stock (the "Common Stock") as of December 2, 2019 owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,814,910, 6,815,410, 6,816,210 and 6,816,310 shares of Common Stock as of November 26, 2019, November 27, 2019, November 29, 2019 and December 2, 2019, respectively, owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 8) F8 · ownership.nature: (continued from footnote 7) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F9 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F10 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| November 27, 2019 Filed Dec 4, 2019 21:52 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 500 | $1.87 | $934.00 |
DisclosureSEC source: 0001213900-19-025347 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,226,913 F1 · shares: These shares were purchased by JJAT Corp. F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.82 to $1.89, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the 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 4. F7 · ownership.nature: Includes (i) 6,641,952 shares of the Issuer's common stock (the "Common Stock") as of December 2, 2019 owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,814,910, 6,815,410, 6,816,210 and 6,816,310 shares of Common Stock as of November 26, 2019, November 27, 2019, November 29, 2019 and December 2, 2019, respectively, owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 8) F8 · ownership.nature: (continued from footnote 7) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F9 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F10 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| November 26, 2019 Filed Dec 4, 2019 21:52 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 700 | $1.76 | $1,235.22 |
DisclosureSEC source: 0001213900-19-025347 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,226,413 F1 · shares: These shares were purchased by JJAT Corp. F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.70 to $1.87, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 3. F7 · ownership.nature: Includes (i) 6,641,952 shares of the Issuer's common stock (the "Common Stock") as of December 2, 2019 owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,814,910, 6,815,410, 6,816,210 and 6,816,310 shares of Common Stock as of November 26, 2019, November 27, 2019, November 29, 2019 and December 2, 2019, respectively, owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 8) F8 · ownership.nature: (continued from footnote 7) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,681,222 shares of Common Stock issuable as of December 2, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F9 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F10 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| October 30, 2019 Filed Nov 13, 2019 02:05 UTC |
Wachsberger Patrick DDirector
|
GrantRestricted Stock Units · Derivative | 54,597 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-023050 · ownership.xml · derivative · entry 1 Wachsberger Patrick D · CIK 0001765520 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,597 Underlying: Common Stock, $0.001 par value · 54,597 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. Read SEC document |
| October 30, 2019 Filed Nov 13, 2019 02:06 UTC |
Krigsman Jay E.Director
|
GrantRestricted Stock Units · Derivative | 66,091 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-023052 · ownership.xml · derivative · entry 1 Krigsman Jay E. · CIK 0001480034 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,091 Underlying: Common Stock, $0.001 par value · 66,091 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. Read SEC document |
| October 30, 2019 Filed Nov 13, 2019 02:05 UTC |
Spengler Tim J.Director
|
GrantRestricted Stock Units · Derivative | 60,344 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-023051 · ownership.xml · derivative · entry 1 Spengler Tim J. · CIK 0001719763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,344 Underlying: Common Stock, $0.001 par value · 60,344 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. Read SEC document |
| October 30, 2019 Filed Nov 13, 2019 02:03 UTC |
Solomon Kenneth ADirector
|
GrantRestricted Stock Units · Derivative | 60,344 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-023048 · ownership.xml · derivative · entry 1 Solomon Kenneth A · CIK 0001781934 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,344 Underlying: Common Stock, $0.001 par value · 60,344 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. Read SEC document |
| October 30, 2019 Filed Nov 13, 2019 02:03 UTC |
Foster Craig LDirector
|
GrantRestricted Stock Units · Derivative | 68,965 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-023047 · ownership.xml · derivative · entry 1 Foster Craig L · CIK 0001572394 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,965 Underlying: Common Stock, $0.001 par value · 68,965 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person as director fees for service on the Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. Read SEC document |
| October 30, 2019 Filed Nov 14, 2019 02:10 UTC |
Arani RaminDirector
|
GrantRestricted Stock Units · Derivative | 57,471 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-023264 · ownership.xml · derivative · entry 1 Arani Ramin · CIK 0001764185 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,471 Underlying: Common Stock, $0.001 par value · 57,471 shares Expires not disclosed F1 · derivative.exercise_price: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person in connection with the Reporting Person's appointment to Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.exercise_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person in connection with the Reporting Person's appointment to Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. F1 · derivative.expiration_date: The Restricted Stock Units (the "RSUs") were granted to the Reporting Person in connection with the Reporting Person's appointment to Issuer's board of directors (the "Board"). The RSUs shall vest on November 30, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service on the Board through the Vesting Date. Each RSU represents a contingent right to receive one share of the Issuer's common stock or the cash value thereof. The Board, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan, as amended, the form of payout of the RSUs (cash and/or stock). The Reporting Person shall have the option to defer the settlement of the RSUs until the earlier of such time as the Reporting Person is no longer serving on the Board or four years from the date of issuance. Read SEC document |
| September 18, 2019 Filed Sep 20, 2019 20:04 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 400 | $2.16 | $865.00 |
DisclosureSEC source: 0001213900-19-018590 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,202,387 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.13 to $2.20, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 2. F3 · ownership.nature: Includes (i) 6,641,252 shares of the Issuer's common stock (the "Common Stock") as of September 18, 2019 owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,814,210 shares of Common Stock owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 4) F4 · ownership.nature: (continued from footnote 3) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,657,896 shares of Common Stock issuable as of September 17, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F5 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F6 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| September 17, 2019 Filed Sep 18, 2019 21:02 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 1,200 | $2.18 | $2,614.92 |
DisclosureSEC source: 0001213900-19-018394 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,201,987 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.15 to $2.30, inclusive. The Reporting Person undertakes to provide the Issuer any security holder of the 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 3. F4 · ownership.nature: Includes (i) 6,639,652 and 6,640,852 shares of the Issuer's common stock (the "Common Stock") as of September 16, 2019 and September 17, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,814,210 shares of Common Stock owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,657,896 shares of Common Stock issuable as of September 17, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 21:02 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 1,900 | $2.25 | $4,276.52 |
DisclosureSEC source: 0001213900-19-018394 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,200,787 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.22 to $2.31, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the 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 2. F4 · ownership.nature: Includes (i) 6,639,652 and 6,640,852 shares of the Issuer's common stock (the "Common Stock") as of September 16, 2019 and September 17, 2019, respectively, owned by Trinad Capital, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,814,210 shares of Common Stock owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4) (iv) 1,213,209 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) approximately 1,657,896 shares of Common Stock issuable as of September 17, 2019 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) 4,486,962 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| September 13, 2019 Filed Sep 16, 2019 21:00 UTC |
ELLIN ROBERT SDirector · CEO & Chairman · 10% owner
|
PurchaseCommon Stock, $0.001 par value | 500 | $2.77 | $1,387.00 |
DisclosureSEC source: 0001213900-19-018221 · ownership.xml · nonDerivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,604 F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.75 to $2.80, inclusive. The Reporting Person undertakes to provide the Issuer any security holder of the 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 4. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.