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LVO

LiveOne, Inc.

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7199
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0001491419
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222

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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 29, 2018 Filed Aug 30, 2018 20:26 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 900 $4.48 $4,034.97
Disclosure

SEC source: 0001213900-18-011960 · ownership.xml · nonDerivative · entry 2

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,119

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.43 to $4.52, 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.

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August 28, 2018 Filed Aug 30, 2018 20:26 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 2,300 $4.51 $10,375.07
Disclosure

SEC source: 0001213900-18-011960 · ownership.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,219

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.49 to $4.53, 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.

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August 27, 2018 Filed Aug 28, 2018 19:47 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 4,300 $4.46 $19,190.04
Disclosure

SEC source: 0001213900-18-011839 · ownership.xml · nonDerivative · entry 4

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,919

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.3 to $4.60, 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.

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August 24, 2018 Filed Aug 28, 2018 19:47 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 5,269 $4.47 $23,571.93
Disclosure

SEC source: 0001213900-18-011839 · ownership.xml · nonDerivative · entry 3

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,619

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.43 to $4.5, 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.

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August 23, 2018 Filed Aug 23, 2018 18:56 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 400 $4.62 $1,848.00
Disclosure

SEC source: 0001213900-18-011661 · ownership.xml · nonDerivative · entry 3

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,850

Read SEC document
August 23, 2018 Filed Aug 23, 2018 18:56 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 500 $4.50 $2,250.00
Disclosure

SEC source: 0001213900-18-011661 · ownership.xml · nonDerivative · entry 2

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,450

Read SEC document
August 23, 2018 Filed Aug 28, 2018 19:47 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 1,000 $4.55 $4,550.00
Disclosure

SEC source: 0001213900-18-011839 · ownership.xml · nonDerivative · entry 2

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,350

Read SEC document
August 23, 2018 Filed Aug 28, 2018 19:47 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 500 $4.52 $2,260.00
Disclosure

SEC source: 0001213900-18-011839 · ownership.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,350

Read SEC document
August 22, 2018 Filed Aug 23, 2018 18:56 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 13,650 $4.29 $58,600.82
Disclosure

SEC source: 0001213900-18-011661 · ownership.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,950

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.23 to $4.47, 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
July 11, 2018 Filed Oct 10, 2018 01:45 UTC PurchaseCommon Stock 10,000 $5.98 $59,800.00
Disclosure

SEC source: 0001213900-18-013715 · ownership.xml · nonDerivative · entry 11

Krigsman Jay E. · CIK 0001480034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for daughter

Disclosed balance after: 10,000

F1 · kind: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · shares: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · price: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F7 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.97 to $5.98, 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 7.

F11 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and 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 purposes.

F1 · ownership.nature: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

Read SEC document
July 11, 2018 Filed Oct 10, 2018 01:45 UTC PurchaseCommon Stock 10,000 $6.00 $60,000.00
Disclosure

SEC source: 0001213900-18-013715 · ownership.xml · nonDerivative · entry 9

Krigsman Jay E. · CIK 0001480034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for daughter

Disclosed balance after: 10,000

F1 · kind: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · shares: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · price: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F6 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.97 to $6.00, 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.

F11 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and 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 purposes.

F1 · ownership.nature: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

Read SEC document
June 27, 2018 Filed Jun 30, 2018 01:51 UTC
Indursky Blake ICBO and EVP
GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $6.01 $0.00
Disclosure

SEC source: 0001213900-18-008553 · ownership.xml · derivative · entry 1

Indursky Blake I · CIK 0001719729 · CBO and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2028-06-27

F1 · derivative.exercise_date: These options were granted to the Reporting Person pursuant to that certain Stock Option Agreement (the "Option Agreement"), dated as of June 27, 2018 (the "Grant Date"). The options shall vest in three equal increments, with the first tranche of the options vesting on the 12-month anniversary of the Grant Date, with an additional one-third of the options vesting every twelfth month thereafter through the date that is three years after the Grant Date. Each tranche of the options shall become exercisable on the earlier of (i) one year after the date such tranche shall vest, (ii) the second anniversary of the Grant Date, or (iii) the earliest date vested equity awards become exercisable or transferable for similarly situated executives of the Issuer, subject to the terms of the 2016 Plan.

F2 · derivative.expiration_date: These options expire 10 years from the Grant Date, unless terminated sooner in accordance with the Issuer's 2016 Equity Incentive Plan (the "2016 Plan") or the Option Agreement.

Read SEC document
June 27, 2018 Filed Jun 30, 2018 01:30 UTC
Schaer Douglas DChief Operating Officer
GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001213900-18-008552 · ownership.xml · derivative · entry 1

Schaer Douglas D · CIK 0001716082 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2028-03-11

F1 · date: These options were granted to the Reporting Person effective as of March 11, 2018 pursuant to the approval of the Issuer's board of directors on January 31, 2018. The Issuer was unable to execute the Option Agreement (as defined below) with the Reporting Person until June 27, 2018 due to unintentional administrative delays.

F2 · derivative.exercise_date: These options were granted to the Reporting Person pursuant to that certain Stock Option Agreement (the "Option Agreement"), dated as of June 27, 2018 and effective as of March 11, 2018 (the "Effective Date"). The options shall vest in three equal increments, with the first tranche of the options vesting on the 12-month anniversary of the Effective Date, with an additional one-third of the options vesting every twelfth month thereafter through the date that is three years after the Effective Date. Each tranche of the options shall become exercisable on the earlier of (i) one year after the date such tranche shall vest, (ii) the second anniversary of the Effective Date, or (iii) the earliest date vested equity awards become exercisable or transferable for similarly situated executives of the Issuer, subject to the terms of the 2016 Plan.

F3 · derivative.expiration_date: These options expire 10 years from the Effective Date, unless terminated sooner in accordance with the Issuer's 2016 Equity Incentive Plan (the "2016 Plan") or the Option Agreement.

Read SEC document
June 27, 2018 Filed Jun 30, 2018 01:30 UTC
BEBEL MICHAEL JEVP - Corp Devel & Rights Mgmt
GrantStock Option (Right to Buy) · Derivative 350,000 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001213900-18-008551 · ownership.xml · derivative · entry 1

BEBEL MICHAEL J · CIK 0001248062 · EVP - Corp Devel & Rights Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2028-03-11

F1 · date: These options were granted to the Reporting Person effective as of March 11, 2018 pursuant to the approval of the Issuer's board of directors on January 31, 2018. The Issuer was unable to execute the Option Agreement (as defined below) with the Reporting Person until June 27, 2018 due to unintentional administrative delays.

F2 · derivative.exercise_date: These options were granted to the Reporting Person pursuant to that certain Stock Option Agreement (the "Option Agreement"), dated as of June 27, 2018, and effective as of March 11, 2018 (the "Effective Date"). The options shall vest in three equal increments, with the first tranche of the options vesting on the 12-month anniversary of the Effective Date, with an additional one-third of the options vesting every twelfth month thereafter through the date that is three years after the Effective Date. Each tranche of the options shall become exercisable on the earlier of (i) one year after the date such tranche shall vest, (ii) the second anniversary of the Effective Date, or (iii) the earliest date vested equity awards become exercisable or transferable for similarly situated executives of the Issuer, subject to the terms of the 2016 Plan.

F3 · derivative.expiration_date: These options expire 10 years from the Effective Date, unless terminated sooner in accordance with the Issuer's 2016 Equity Incentive Plan (the "2016 Plan") or the Option Agreement.

Read SEC document
June 11, 2018 Filed Oct 10, 2018 01:45 UTC PurchaseCommon Stock 13,299 $6.00 $79,794.00
Disclosure

SEC source: 0001213900-18-013715 · ownership.xml · nonDerivative · entry 7

Krigsman Jay E. · CIK 0001480034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for daughter

Disclosed balance after: 13,299

F1 · kind: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · shares: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · price: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.00 to $6.57, 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.

F11 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and 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 purposes.

F1 · ownership.nature: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

Read SEC document
June 11, 2018 Filed Oct 10, 2018 01:45 UTC PurchaseCommon Stock 11,998 $5.98 $71,748.04
Disclosure

SEC source: 0001213900-18-013715 · ownership.xml · nonDerivative · entry 5

Krigsman Jay E. · CIK 0001480034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for daughter

Disclosed balance after: 11,998

F1 · kind: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · shares: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · price: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.97 to $6.03, 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.

F11 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and 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 purposes.

F1 · ownership.nature: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

Read SEC document
April 27, 2018 Filed May 2, 2018 00:30 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001213900-18-005376 · f4042718krisgman_livexlive.xml · derivative · entry 1

Krigsman Jay E. · CIK 0001480034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-04-27

F1 · derivative.exercise_date: These options were granted pursuant to that certain Stock Option Agreement entered into by and between the Issuer and the Reporting Person, dated as of April 27, 2018 (the "Option Agreement"). These options vest in increments, with one-half of the options vesting 12 months from April 27, 2018 (the "Grant Date"), with an additional one-half of the options vesting 24 months after the Grant Date, subject to the Reporting Person's continued service as a member of the Issuer's board of directors on such vesting date. Each tranche of the options shall become exercisable on the 18th month anniversary of the Grant Date.

F2 · derivative.expiration_date: These options expire 10 years from the Grant Date, unless terminated sooner in accordance with the Issuer's 2016 Equity Incentive Plan (the "2016 Plan") or the Option Agreement.

Read SEC document
April 27, 2018 Filed Jun 25, 2018 21:44 UTC
Gold Jerome N.Director · Chief Strategy Officer & EVP
GrantRestricted Stock Units · Derivative 250,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001213900-18-008194 · 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: 250,000

Underlying: Common Stock, $0.001 par value · 250,000 shares

Expires not disclosed

F1 · derivative.exercise_date: 50% of the Restricted Stock Units (the "RSUs") shall vest on June 30, 2019 (the "Initial Vesting Date") and the remaining 50% of the RSUs shall vest on June 30, 2020 (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")), and other 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 expiration of the Lock-up Period (as defined below), (iii) the date of the Reporting Person's death, provided such event occurs after the expiration of the Lock-up Period, and (iv) the date of the Reporting Person's Disability (as defined in the EA), provided such event occurs after the expiration of the Lock-up Period. The Issuer's board of directors, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan the form of payout of the RSUs (cash and/or stock), subject to the terms of the EA. The "Lock-up Period" means the period ending June 30, 2019. During the Lock-up Period, the Reporting Person agreed to certain lock-up restrictions as set forth in Amendment No. 2 to his EA, dated as of April 27, 2018.

F1 · derivative.expiration_date: 50% of the Restricted Stock Units (the "RSUs") shall vest on June 30, 2019 (the "Initial Vesting Date") and the remaining 50% of the RSUs shall vest on June 30, 2020 (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")), and other 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 expiration of the Lock-up Period (as defined below), (iii) the date of the Reporting Person's death, provided such event occurs after the expiration of the Lock-up Period, and (iv) the date of the Reporting Person's Disability (as defined in the EA), provided such event occurs after the expiration of the Lock-up Period. The Issuer's board of directors, in its sole discretion, will determine in accordance with the terms and conditions of the Issuer's 2016 Equity Incentive Plan the form of payout of the RSUs (cash and/or stock), subject to the terms of the EA. The "Lock-up Period" means the period ending June 30, 2019. During the Lock-up Period, the Reporting Person agreed to certain lock-up restrictions as set forth in Amendment No. 2 to his EA, dated as of April 27, 2018.

Read SEC document
April 24, 2018 Filed Apr 27, 2018 10:01 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001213900-18-005017 · f4042418foster_livexlive.xml · derivative · entry 1

Foster Craig L · CIK 0001572394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-04-24

F1 · derivative.exercise_date: These options were granted pursuant to that certain Stock Option Agreement entered into by and between the Issuer and the Reporting Person, dated as of April 24, 2018 (the "Option Agreement"). These options vest in increments, with one-half of the options vesting 12 months from April 24, 2018 (the "Grant Date"), with an additional one-half of the options vesting 24 months after the Grant Date, subject to the Reporting Person's continued service as a member of the Issuer's board of directors on such vesting date. Each tranche of the options shall become exercisable on the 18th month anniversary of the Grant Date.

F2 · derivative.expiration_date: These options expire 10 years from the Grant Date, unless terminated sooner in accordance with the Issuer's 2016 Equity Incentive Plan (the "2016 Plan") or the Option Agreement.

Read SEC document
March 29, 2018 Filed Apr 5, 2018 21:55 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 400 $3.80 $1,519.96
Disclosure

SEC source: 0001213900-18-004109 · f4032818ellin_livexlive.xml · nonDerivative · entry 5

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 17,332,530

F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd.

F2 · ownership.nature: Includes (i) 6,862,420 shares of the Issuer's common stock (the "Common Stock") owned by Trinad Capital Master Fund, Ltd. ("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 3)

F3 · ownership.nature: (continued from footnote 2) (iv) 1,213,210 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) 1,726,474 shares of Common Stock issuable 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 4,496,962 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.

Read SEC document
March 29, 2018 Filed Apr 5, 2018 21:55 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 1,500 $3.80 $5,700.00
Disclosure

SEC source: 0001213900-18-004109 · f4032818ellin_livexlive.xml · nonDerivative · entry 3

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,300

Read SEC document
March 29, 2018 Filed Apr 5, 2018 21:55 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 600 $3.80 $2,278.98
Disclosure

SEC source: 0001213900-18-004109 · f4032818ellin_livexlive.xml · nonDerivative · entry 2

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,800

Read SEC document
March 29, 2018 Filed Apr 5, 2018 21:55 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 500 $3.80 $1,898.75
Disclosure

SEC source: 0001213900-18-004109 · f4032818ellin_livexlive.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,200

Read SEC document
March 28, 2018 Filed Apr 5, 2018 21:55 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 1,000 $3.80 $3,800.00
Disclosure

SEC source: 0001213900-18-004109 · f4032818ellin_livexlive.xml · nonDerivative · entry 4

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 17,332,130

F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd.

F2 · ownership.nature: Includes (i) 6,862,420 shares of the Issuer's common stock (the "Common Stock") owned by Trinad Capital Master Fund, Ltd. ("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 3)

F3 · ownership.nature: (continued from footnote 2) (iv) 1,213,210 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) 1,726,474 shares of Common Stock issuable 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 4,496,962 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.

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March 26, 2018 Filed Apr 5, 2018 21:30 UTC Amendment
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 700 $3.85 $2,695.00
Disclosure

SEC source: 0001213900-18-004105 · f4032218a1ellin_livexlive.xml · nonDerivative · entry 2

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,700

Read SEC document
March 22, 2018 Filed Mar 28, 2018 21:34 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 700 $3.85 $2,695.00
Disclosure

SEC source: 0001213900-18-003598 · f4032218ellin_livexlive.xml · nonDerivative · entry 2

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,700

Read SEC document
March 22, 2018 Filed Mar 28, 2018 21:34 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 1,000 $3.99 $3,990.00
Disclosure

SEC source: 0001213900-18-003598 · f4032218ellin_livexlive.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Read SEC document
March 22, 2018 Filed Apr 5, 2018 21:30 UTC Amendment
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 1,000 $3.99 $3,990.00
Disclosure

SEC source: 0001213900-18-004105 · f4032218a1ellin_livexlive.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Read SEC document
February 22, 2018 Filed Feb 26, 2018 21:30 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 3,100 $4.02 $12,462.00
Disclosure

SEC source: 0001213900-18-002308 · f4022218ellin_livexlive.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.00 to $4.10, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4

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February 16, 2018 Filed Feb 21, 2018 21:30 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 1,100 $4.05 $4,455.00
Disclosure

SEC source: 0001213900-18-002176 · f4021618ellin_livexlivemedia.xml · nonDerivative · entry 2

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,900

Read SEC document
February 16, 2018 Filed Feb 21, 2018 21:30 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 1,500 $3.95 $5,925.00
Disclosure

SEC source: 0001213900-18-002176 · f4021618ellin_livexlivemedia.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,800

Read SEC document
February 15, 2018 Filed Feb 16, 2018 21:53 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 8,300 $3.90 $32,370.00
Disclosure

SEC source: 0001213900-18-002041 · f4021518ellin_livexlive.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,300

Read SEC document
February 14, 2018 Filed Oct 10, 2018 01:45 UTC PurchaseCommon Stock 10,000 $3.90 $39,000.00
Disclosure

SEC source: 0001213900-18-013715 · ownership.xml · nonDerivative · entry 3

Krigsman Jay E. · CIK 0001480034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for daughter

Disclosed balance after: 10,000

F1 · kind: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · shares: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · price: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F11 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and 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 purposes.

F1 · ownership.nature: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

Read SEC document
December 28, 2017 Filed Oct 10, 2018 01:45 UTC PurchaseCommon Stock 9,000 $4.22 $37,980.00
Disclosure

SEC source: 0001213900-18-013715 · ownership.xml · nonDerivative · entry 1

Krigsman Jay E. · CIK 0001480034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for daughter

Disclosed balance after: 9,000

F1 · kind: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · shares: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F1 · price: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.03 to $4.25, 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.

F11 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and 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 purposes.

F1 · ownership.nature: As of the reported date, these shares were held in custodial account for the benefit of the Reporting Person's daughter under the Uniform Transfers to Minors Act ("UTMA").

Read SEC document
December 27, 2017 Filed Dec 29, 2017 16:51 UTC
ELLIN ROBERT SDirector · CEO and Chairman · 10% owner
PurchaseCommon Stock 700,000 $4.00 $2,800,000.00
Disclosure

SEC source: 0001213900-17-013748 · f4122717ellin_livexlive.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 17,700,505

F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. in the Issuer's underwritten Public Offering (as defined below) completed on December 27, 2017.

F2 · ownership.nature: Includes (i) 6,161,020 shares of the Issuer's common stock (the "Common Stock") owned by Trinad Capital Master Fund, Ltd. ("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) 1,085,591 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 2)

F3 · ownership.nature: (Continued from footnote 2) (iv) 1,213,210 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) 1,726,474 shares of Common Stock issuable upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital shall have the right to convert at the conversion price of $4.00 per share upon the consummation of the Issuer's public offering (the "Public Offering") pursuant to the Issuer's Registration Statement on Form S-1, as amended (File No. 333-217893), including the preliminary prospectus contained therein, filed by the Issuer with the Securities and Exchange Commission (the "SEC") under the Securities Act of 1933, as amended, a free writing prospectus filed with the SEC on December 21, 2017 and a final prospectus dated December 22, 2017 (the "Public Offering"). 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 4,496,962 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.