Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LiveOne, Inc.LVO · Entity 7199 | Senior EVP | November 05, 2021 | November 17, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
LiveOne, Inc.
Report date November 05, 2021 · Filed November 17, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 247,008 |
Ending reported balance
After 2021-11-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-11-05 · Exercise / conversion · Acquired 41,689 · Balance 267,678 F1: Restricted Stock Units convert into Common Stock on a one-for-one basis. Row 2 · 2021-11-05 · Other · Disposed 20,670 · Balance 247,008 F3: On the reported date 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 this footnote. 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 41,689 |
Reported balance
After 2021-11-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-11-05 · Exercise / conversion · Disposed 41,689 · Balance 41,689 F1: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2: 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 represent the next portion of the unvested RSUs that vested as of August 2021. Each vested RSU was settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted Stock Units convert into Common Stock on a one-for-one basis.
F2: 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 represent the next portion of the unvested RSUs that vested as of August 2021. Each vested RSU was settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. 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.
F3: On the reported date 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 this footnote. 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.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 05, 2021 Filed Nov 17, 2021 02:30 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 41,689 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-060178 · ownership.xml · derivative · entry 3 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,689 Underlying: Common Stock, $0.001 par value · 41,689 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 represent the next portion of the unvested RSUs that vested as of August 2021. Each vested RSU was settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. 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 represent the next portion of the unvested RSUs that vested as of August 2021. Each vested RSU was settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. 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 |
| November 05, 2021 Filed Nov 17, 2021 02:30 UTC | LiveOne, Inc. LVO · Entity 7199 | OtherCommon Stock, $0.001 par value | 20,670 | $2.39 | $49,401.30 |
DisclosureSEC source: 0001213900-21-060178 · ownership.xml · nonDerivative · entry 2 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 247,008 F3 · shares: On the reported date 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 this footnote. 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. F3 · price: On the reported date 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 this footnote. 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 |
| November 05, 2021 Filed Nov 17, 2021 02:30 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 41,689 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-21-060178 · ownership.xml · nonDerivative · entry 1 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,678 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 16, 2021 Filed Aug 18, 2021 01:45 UTC | LiveOne, Inc. LIVX · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 13,842 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-043530 · ownership.xml · derivative · entry 6 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · 13,842 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. F3 · derivative.exercise_date: These RSUs were issued by the Issuer to the Reporting Person pursuant to his agreement to accept 50% of his monthly base salary in equity of the Issuer for the period from April 1, 2020 through July 31, 2020. These RSUs vested in August 2021 and were settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. F3 · derivative.expiration_date: These RSUs were issued by the Issuer to the Reporting Person pursuant to his agreement to accept 50% of his monthly base salary in equity of the Issuer for the period from April 1, 2020 through July 31, 2020. These RSUs vested in August 2021 and were settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. Read SEC document |
| August 16, 2021 Filed Aug 18, 2021 01:45 UTC | LiveOne, Inc. LIVX · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 83,378 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-043530 · ownership.xml · derivative · entry 5 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,067 Underlying: Common Stock, $0.001 par value · 83,378 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 represent the next portion of the unvested RSUs that vested as of August 2021. Each vested RSU was settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. 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 represent the next portion of the unvested RSUs that vested as of August 2021. Each vested RSU was settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. 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 16, 2021 Filed Aug 18, 2021 01:45 UTC | LiveOne, Inc. LIVX · Entity 7199 | OtherCommon Stock, $0.001 par value | 7,080 | $2.94 | $20,815.20 |
DisclosureSEC source: 0001213900-21-043530 · ownership.xml · nonDerivative · entry 4 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,989 F4 · shares: On the reported date 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 footnotes 2 and 3. 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. F4 · price: On the reported date 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 footnotes 2 and 3. 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 16, 2021 Filed Aug 18, 2021 01:45 UTC | LiveOne, Inc. LIVX · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 13,842 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-21-043530 · ownership.xml · nonDerivative · entry 3 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,069 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 16, 2021 Filed Aug 18, 2021 01:45 UTC | LiveOne, Inc. LIVX · Entity 7199 | OtherCommon Stock, $0.001 par value | 42,850 | $2.94 | $125,979.00 |
DisclosureSEC source: 0001213900-21-043530 · ownership.xml · nonDerivative · entry 2 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,227 F4 · shares: On the reported date 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 footnotes 2 and 3. 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. F4 · price: On the reported date 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 footnotes 2 and 3. 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 16, 2021 Filed Aug 18, 2021 01:45 UTC | LiveOne, Inc. LIVX · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 83,378 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-21-043530 · ownership.xml · nonDerivative · entry 1 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,077 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 |
| March 19, 2021 Filed Mar 23, 2021 00:02 UTC | LiveOne, Inc. LIVX · Entity 7199 | OtherCommon Stock, $0.001 par value | 20,000 | $4.74 | $94,706.00 |
DisclosureSEC source: 0001213900-21-017036 · ownership.xml · nonDerivative · entry 1 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,699 F1 · shares: These shares were sold by the Issuer's broker into the open market solely to satisfy the Reporting Person's required additional tax withholding in connection with the settlement of the Reporting Person's certain restricted stock units in 2020. 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. F1 · price: These shares were sold by the Issuer's broker into the open market solely to satisfy the Reporting Person's required additional tax withholding in connection with the settlement of the Reporting Person's certain restricted stock units in 2020. 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 |
| November 20, 2020 Filed Dec 3, 2020 13:01 UTC | LiveOne, Inc. LIVX · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 41,690 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-040616 · ownership.xml · derivative · entry 3 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,445 Underlying: Common Stock, $0.001 par value · 41,690 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 November 1, 2020. Each vested RSU was settled by the Issuer in November 2020 by delivery to the Reporting Person of one share of the Issuer's common stock. 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 November 1, 2020. Each vested RSU was settled by the Issuer in November 2020 by delivery to the Reporting Person of one share of the Issuer's common stock. 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 |
| November 20, 2020 Filed Dec 3, 2020 13:01 UTC | LiveOne, Inc. LIVX · Entity 7199 | OtherCommon Stock, $0.001 par value | 13,929 | $1.98 | $27,579.42 |
DisclosureSEC source: 0001213900-20-040616 · ownership.xml · nonDerivative · entry 2 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,699 F3 · shares: On November 20, 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. F3 · price: On November 20, 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 |
| November 20, 2020 Filed Dec 3, 2020 13:01 UTC | LiveOne, Inc. LIVX · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 41,690 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-040616 · ownership.xml · nonDerivative · entry 1 BEBEL MICHAEL J · CIK 0001248062 · Senior EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,628 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 | LiveOne, Inc. LIVX · Entity 7199 | 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 | LiveOne, Inc. LIVX · Entity 7199 | 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 | LiveOne, Inc. LIVX · Entity 7199 | 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 |
| February 06, 2019 Filed Feb 9, 2019 02:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantRestricted Stock Units · Derivative | 500,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-002010 · ownership.xml · derivative · entry 1 BEBEL MICHAEL J · CIK 0001248062 · Senior Executive VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock, $0.001 par value · 500,000 shares Expires not disclosed F1 · date: The Restricted Stock Units (the "RSUs") reported herein were granted to the Reporting Person on February 6, 2019 pursuant to his Employment Agreement (the "Employment Agreement"), dated as of January 28, 2019 (the "Effective Date"). F2 · derivative.exercise_date: 83,105 of the RSUs shall vest on the later of (i) July 28, 2019 and (ii) the earlier of (x) the expiration of any "lock up" agreement in respect of shares of the Issuer's capital stock to which the Reporting Person is subject and (y) June 30, 2019, and the remainder of 416,895 of the RSUs shall vest in ten equal installments every three months thereafter with the last vesting date being the three-year anniversary of the Effective Date, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting date. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock as soon as practicable after the applicable vesting. In the event of a "Change of Control" (as defined in the Employment Agreement) any unvested portion of the RSUs shall vest immediately prior to such event. F2 · derivative.expiration_date: 83,105 of the RSUs shall vest on the later of (i) July 28, 2019 and (ii) the earlier of (x) the expiration of any "lock up" agreement in respect of shares of the Issuer's capital stock to which the Reporting Person is subject and (y) June 30, 2019, and the remainder of 416,895 of the RSUs shall vest in ten equal installments every three months thereafter with the last vesting date being the three-year anniversary of the Effective Date, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting date. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock as soon as practicable after the applicable vesting. In the event of a "Change of Control" (as defined in the Employment Agreement) any unvested portion of the RSUs shall vest immediately prior to such event. Read SEC document |
| June 27, 2018 Filed Jun 30, 2018 01:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantStock Option (Right to Buy) · Derivative | 350,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.