Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LiveOne, Inc.LIVX · Entity 7199 | Director | August 18, 2020 | August 28, 2020 |
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 August 18, 2020 · Filed August 28, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 268,827 |
Ending reported balance
After 2020-08-18 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-08-18 · Exercise / conversion · Acquired 250,000 · Balance 355,000 F1: Restricted Stock Units convert into Common Stock on a one-for-one basis. Row 2 · 2020-08-18 · Other · Disposed 86,173 · Balance 268,827 F3: 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-08-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-08-18 · Exercise / conversion · Disposed 250,000 · Balance 0 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 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 |
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 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
F3: 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.
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 |
|---|---|---|---|---|---|---|
| August 18, 2020 Filed Aug 28, 2020 21:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | 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 | LiveOne, Inc. LIVX · Entity 7199 | 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 | LiveOne, Inc. LIVX · Entity 7199 | 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 |
| December 20, 2019 Filed Dec 26, 2019 21:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | 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 |
| April 27, 2018 Filed Jun 25, 2018 21:44 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantRestricted Stock Units · Derivative | 250,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.