QUARTIERI MICHAEL

SEC source: 0001839799-26-000116 · form4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,514

F1 · shares: Restricted Share Award which vests on May 21, 2027.

F1 · price: Restricted Share Award which vests on May 21, 2027.

SEC source: 0001596961-26-000004 · wk-form4_1768529932.xml · nonDerivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 839,738

F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations upon the vesting of restricted stock units.

SEC source: 0001596961-26-000004 · wk-form4_1768529932.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 873,674

F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations upon the vesting of restricted stock units.

SEC source: 0001596961-25-000019 · wk-form4_1741816198.xml · nonDerivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 882,134

F2 · shares: Pursuant to the CEO Employment Agreement and subject to and conditioned on the shareholder approval increasing the share reserve under the Company's 2017 Stock Incentive Plan, as amended (the "Plan"), the Reporting Person will receive a one-time grant of 450,000 performance units (the "PSUs") under the Plan. A PSU represents a right to receive a share of the Company's Class B Common Stock. The PSUs will vest based on the achievement of minimum closing stock prices for 20 consecutive trading days ("Target"), with 150,000 PSUs vesting at each Target of $11, $17, and $23, subject to his continued service with the Company through each such vesting date and any other terms of the CEO Employment Agreement.

F2 · price: Pursuant to the CEO Employment Agreement and subject to and conditioned on the shareholder approval increasing the share reserve under the Company's 2017 Stock Incentive Plan, as amended (the "Plan"), the Reporting Person will receive a one-time grant of 450,000 performance units (the "PSUs") under the Plan. A PSU represents a right to receive a share of the Company's Class B Common Stock. The PSUs will vest based on the achievement of minimum closing stock prices for 20 consecutive trading days ("Target"), with 150,000 PSUs vesting at each Target of $11, $17, and $23, subject to his continued service with the Company through each such vesting date and any other terms of the CEO Employment Agreement.

SEC source: 0001596961-25-000019 · wk-form4_1741816198.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 432,134

F1 · shares: Pursuant to the Reporting Person's appointment as CEO effective as of January 13, 2025 ("Commencement Date"), he was granted a one-time award of 400,000 time-based restricted stock units (the "RSUs)" that will vest in three substantially equal installments on the anniversary of the Commencement Date in 2026, 2027 and 2028, subject to his continued service with the Company through each such vesting date and any other terms of the employment agreement he entered into with the Company on January 28, 2025 (the "CEO Employment Agreement"). Each RSU represents a right to receive a share of the Company's Class B Common Stock.

F1 · price: Pursuant to the Reporting Person's appointment as CEO effective as of January 13, 2025 ("Commencement Date"), he was granted a one-time award of 400,000 time-based restricted stock units (the "RSUs)" that will vest in three substantially equal installments on the anniversary of the Commencement Date in 2026, 2027 and 2028, subject to his continued service with the Company through each such vesting date and any other terms of the employment agreement he entered into with the Company on January 28, 2025 (the "CEO Employment Agreement"). Each RSU represents a right to receive a share of the Company's Class B Common Stock.

SEC source: 0001596961-24-000125 · wk-form4_1734392687.xml · derivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 228 shares

Expires 2024-12-12

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.

F3 · shares: The Issuer issued one subscription right for each share of the common stock owned by the reporting person as of the close of business on November 25, 2024, the record date of the rights offering. Each subscription right issued to the reporting person is exercisable for 0.0677 shares of the Class B common stock of the Issuer. The number of shares of Class B common stock of the Issuer reported in Column 7 is rounded down to the nearest whole number. The subscription rights are only exercisable for whole shares of Class B common stock of the Issuer.

F1 · derivative.underlying_shares: Represents the number of shares of Class B Common Stock that the Reporting Person purchased in the Issuer's rights offering pursuant to the subscription rights. The closing of the rights offering and the issuance of the Class B Common Stock is expected to be on or about December 8, 2023.

F3 · derivative.underlying_shares: The Issuer issued one subscription right for each share of the common stock owned by the reporting person as of the close of business on November 25, 2024, the record date of the rights offering. Each subscription right issued to the reporting person is exercisable for 0.0677 shares of the Class B common stock of the Issuer. The number of shares of Class B common stock of the Issuer reported in Column 7 is rounded down to the nearest whole number. The subscription rights are only exercisable for whole shares of Class B common stock of the Issuer.

SEC source: 0001596961-24-000125 · wk-form4_1734392687.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,134

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 · shares: Represents the number of shares of Class B Common Stock that the Reporting Person purchased in the Issuer's rights offering pursuant to the subscription rights. The closing of the rights offering and the issuance of the Class B Common Stock is expected to be on or about December 8, 2023.

F2 · price: The effective purchase price of the shares of Class B common stock of the Issuer underlying the subscription rights issued in connection with the Issuer's rights offering was $4.18 per share.

SEC source: 0001596961-24-000086 · wk-form4_1723578157.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,906

F1 · shares: On August 9, 2024, the reporting person received a grant of 28,531 restricted stock units (RSUs) calculated based on the share price at the conclusion of the second trading day following the release of Q2 2024 earnings. Each RSU represents a contingent right to receive one share of RMBL Class B Common Stock. The RSUs will vest on June 4, 2025, and are subject to pro rata vesting if the reporting person leaves the board of directors before that date.

F1 · price: On August 9, 2024, the reporting person received a grant of 28,531 restricted stock units (RSUs) calculated based on the share price at the conclusion of the second trading day following the release of Q2 2024 earnings. Each RSU represents a contingent right to receive one share of RMBL Class B Common Stock. The RSUs will vest on June 4, 2025, and are subject to pro rata vesting if the reporting person leaves the board of directors before that date.

SEC source: 0001596961-24-000055 · wk-form4_1715625890.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,375

F1 · date: On May 10, 2024, Michael Quartieri received a grant of 3,375 restricted stock units ("RSUs") calculated based upon the share price at the close of trading on May 9, 2024, the second trading day following the date of the issuer's first quarter earnings release. The RSUs are prorated to reflect the date on which Mr. Quartieri joined the board of directors of the issuer. Each RSU represents a contingent right to receive one share of the issuer's Class B Common Stock. The RSUs will vest on July 1, 2024, which is the remaining vesting date for the annual director grants, and are subject to pro rata vesting if Mr. Quartieri leaves the board of directors of the issuer before the end of the vesting period.

F1 · shares: On May 10, 2024, Michael Quartieri received a grant of 3,375 restricted stock units ("RSUs") calculated based upon the share price at the close of trading on May 9, 2024, the second trading day following the date of the issuer's first quarter earnings release. The RSUs are prorated to reflect the date on which Mr. Quartieri joined the board of directors of the issuer. Each RSU represents a contingent right to receive one share of the issuer's Class B Common Stock. The RSUs will vest on July 1, 2024, which is the remaining vesting date for the annual director grants, and are subject to pro rata vesting if Mr. Quartieri leaves the board of directors of the issuer before the end of the vesting period.

F1 · price: On May 10, 2024, Michael Quartieri received a grant of 3,375 restricted stock units ("RSUs") calculated based upon the share price at the close of trading on May 9, 2024, the second trading day following the date of the issuer's first quarter earnings release. The RSUs are prorated to reflect the date on which Mr. Quartieri joined the board of directors of the issuer. Each RSU represents a contingent right to receive one share of the issuer's Class B Common Stock. The RSUs will vest on July 1, 2024, which is the remaining vesting date for the annual director grants, and are subject to pro rata vesting if Mr. Quartieri leaves the board of directors of the issuer before the end of the vesting period.

SEC source: 0000950170-24-048464 · ownership.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,659

SEC source: 0000950170-24-046143 · ownership.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,959

SEC source: 0000950170-24-006153 · ownership.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,464

SEC source: 0001209191-23-052618 · doc4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,294

SEC source: 0001209191-23-025739 · doc4.xml · derivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,139

Underlying: Common Stock · 7,139 shares

Expires 2033-04-24

F1 · derivative.exercise_date: The option vests in installments on April 24, 2024, April 24, 2025, and April 24, 2026.

SEC source: 0001209191-23-025739 · doc4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,814

SEC source: 0001209191-23-058823 · doc4a.xml · derivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,569

Underlying: Common Stock · 3,569 shares

Expires 2033-04-24

F1 · shares: This amendment is being filed due to a calculation error resulting in an inadvertent doubling of the number of options the reporting person received. The amount shown is corrected to reflect the number of options actually received.

F2 · derivative.exercise_date: The option vests in installments on April 24, 2024, April 24, 2025, and April 24, 2026.

SEC source: 0001209191-23-058823 · doc4a.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,814

SEC source: 0001209191-23-025017 · doc4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,527

SEC source: 0001209191-23-005901 · doc4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,972

SEC source: 0001209191-22-060639 · doc4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,210

F1 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $34.95 to $35.2069, inclusive. The reporting person undertakes to provide to Dave & Buster's Entertainment, Inc., any security holder of Dave & Buster's Entertainment, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in footnote (1) to this Form 4.

SEC source: 0001209191-22-053327 · doc4.xml · nonDerivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,185

F1 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $31.655 to $31.7877, inclusive. The reporting person undertakes to provide to Dave & Buster's Entertainment, Inc., any security holder of Dave & Buster's Entertainment, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in footnote (1) to this Form 4.

SEC source: 0001209191-22-053327 · doc4.xml · derivative · entry 6

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,998

Underlying: Common Stock · 26,998 shares

Expires not disclosed

F5 · derivative.exercise_price: Represents the Target Achievable performance-based restricted stock units ("PSUs") for the five-year performance period from October 7, 2022 through October 7, 2027. The number of PSUs earned will equal to the Target Achievable PSUs if the Companys Common Stock share price is greater than or equal to $111.12; based on the volume-weighted average price for the sixty (60) consecutive trading days ending on October 7, 2027 ("Target Price"). Early vesting may occur upon achievement of the Target Price prior to October 7, 2027. Upon the 1st early achievement of the Target Price, 25% of the PSUs will vest 1 year after such date; 25% of the PSUs will vest on 2 years after such date; and 50% of the PSUs ("Remaining PSUs") will vest on October 7, 2027. Upon the 2nd early achievement of the Target Price, 50% of the Remaining PSUs will vest 1 year after such date; and 50% of the Remaining PSUs will vest on 2 years after such date. No early vesting shall occur later than October 7, 2027.

F5 · price: Represents the Target Achievable performance-based restricted stock units ("PSUs") for the five-year performance period from October 7, 2022 through October 7, 2027. The number of PSUs earned will equal to the Target Achievable PSUs if the Companys Common Stock share price is greater than or equal to $111.12; based on the volume-weighted average price for the sixty (60) consecutive trading days ending on October 7, 2027 ("Target Price"). Early vesting may occur upon achievement of the Target Price prior to October 7, 2027. Upon the 1st early achievement of the Target Price, 25% of the PSUs will vest 1 year after such date; 25% of the PSUs will vest on 2 years after such date; and 50% of the PSUs ("Remaining PSUs") will vest on October 7, 2027. Upon the 2nd early achievement of the Target Price, 50% of the Remaining PSUs will vest 1 year after such date; and 50% of the Remaining PSUs will vest on 2 years after such date. No early vesting shall occur later than October 7, 2027.

F5 · derivative.exercise_date: Represents the Target Achievable performance-based restricted stock units ("PSUs") for the five-year performance period from October 7, 2022 through October 7, 2027. The number of PSUs earned will equal to the Target Achievable PSUs if the Companys Common Stock share price is greater than or equal to $111.12; based on the volume-weighted average price for the sixty (60) consecutive trading days ending on October 7, 2027 ("Target Price"). Early vesting may occur upon achievement of the Target Price prior to October 7, 2027. Upon the 1st early achievement of the Target Price, 25% of the PSUs will vest 1 year after such date; 25% of the PSUs will vest on 2 years after such date; and 50% of the PSUs ("Remaining PSUs") will vest on October 7, 2027. Upon the 2nd early achievement of the Target Price, 50% of the Remaining PSUs will vest 1 year after such date; and 50% of the Remaining PSUs will vest on 2 years after such date. No early vesting shall occur later than October 7, 2027.

F5 · derivative.expiration_date: Represents the Target Achievable performance-based restricted stock units ("PSUs") for the five-year performance period from October 7, 2022 through October 7, 2027. The number of PSUs earned will equal to the Target Achievable PSUs if the Companys Common Stock share price is greater than or equal to $111.12; based on the volume-weighted average price for the sixty (60) consecutive trading days ending on October 7, 2027 ("Target Price"). Early vesting may occur upon achievement of the Target Price prior to October 7, 2027. Upon the 1st early achievement of the Target Price, 25% of the PSUs will vest 1 year after such date; 25% of the PSUs will vest on 2 years after such date; and 50% of the PSUs ("Remaining PSUs") will vest on October 7, 2027. Upon the 2nd early achievement of the Target Price, 50% of the Remaining PSUs will vest 1 year after such date; and 50% of the Remaining PSUs will vest on 2 years after such date. No early vesting shall occur later than October 7, 2027.

SEC source: 0001209191-22-053327 · doc4.xml · derivative · entry 5

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,558

Underlying: Common Stock · 34,558 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents the Target Achievable performance-based restricted stock units ("PSUs") for the five-year performance period from October 7, 2022 through October 7, 2027. The number of PSUs earned will equal to the Target Achievable PSUs if the Companys Common Stock share price is greater than or equal to $74.08 based on the volume-weighted average price for the sixty (60) consecutive trading days ending on October 7, 2027 ("Target Price"). Early vesting may occur upon achievement of the Target Price prior to October 7, 2027. Upon the 1st early achievement of the Target Price, 25% of the PSUs will vest 1 year after such date; 25% of the PSUs will vest on 2 years after such date; and 50% of the PSUs ("Remaining PSUs") will vest on October 7, 2027. Upon the 2nd early achievement of the Target Price, 50% of the Remaining PSUs will vest 1 year after such date; and 50% of the Remaining PSUs will vest on 2 years after such date. No early vesting shall occur later than October 7, 2027.

F4 · price: Represents the Target Achievable performance-based restricted stock units ("PSUs") for the five-year performance period from October 7, 2022 through October 7, 2027. The number of PSUs earned will equal to the Target Achievable PSUs if the Companys Common Stock share price is greater than or equal to $74.08 based on the volume-weighted average price for the sixty (60) consecutive trading days ending on October 7, 2027 ("Target Price"). Early vesting may occur upon achievement of the Target Price prior to October 7, 2027. Upon the 1st early achievement of the Target Price, 25% of the PSUs will vest 1 year after such date; 25% of the PSUs will vest on 2 years after such date; and 50% of the PSUs ("Remaining PSUs") will vest on October 7, 2027. Upon the 2nd early achievement of the Target Price, 50% of the Remaining PSUs will vest 1 year after such date; and 50% of the Remaining PSUs will vest on 2 years after such date. No early vesting shall occur later than October 7, 2027.

F4 · derivative.exercise_date: Represents the Target Achievable performance-based restricted stock units ("PSUs") for the five-year performance period from October 7, 2022 through October 7, 2027. The number of PSUs earned will equal to the Target Achievable PSUs if the Companys Common Stock share price is greater than or equal to $74.08 based on the volume-weighted average price for the sixty (60) consecutive trading days ending on October 7, 2027 ("Target Price"). Early vesting may occur upon achievement of the Target Price prior to October 7, 2027. Upon the 1st early achievement of the Target Price, 25% of the PSUs will vest 1 year after such date; 25% of the PSUs will vest on 2 years after such date; and 50% of the PSUs ("Remaining PSUs") will vest on October 7, 2027. Upon the 2nd early achievement of the Target Price, 50% of the Remaining PSUs will vest 1 year after such date; and 50% of the Remaining PSUs will vest on 2 years after such date. No early vesting shall occur later than October 7, 2027.

F4 · derivative.expiration_date: Represents the Target Achievable performance-based restricted stock units ("PSUs") for the five-year performance period from October 7, 2022 through October 7, 2027. The number of PSUs earned will equal to the Target Achievable PSUs if the Companys Common Stock share price is greater than or equal to $74.08 based on the volume-weighted average price for the sixty (60) consecutive trading days ending on October 7, 2027 ("Target Price"). Early vesting may occur upon achievement of the Target Price prior to October 7, 2027. Upon the 1st early achievement of the Target Price, 25% of the PSUs will vest 1 year after such date; 25% of the PSUs will vest on 2 years after such date; and 50% of the PSUs ("Remaining PSUs") will vest on October 7, 2027. Upon the 2nd early achievement of the Target Price, 50% of the Remaining PSUs will vest 1 year after such date; and 50% of the Remaining PSUs will vest on 2 years after such date. No early vesting shall occur later than October 7, 2027.

SEC source: 0001209191-22-053327 · doc4.xml · derivative · entry 4

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,174

Underlying: Common Stock · 14,174 shares

Expires not disclosed

F3 · derivative.exercise_price: This grant is subject to a condition whereby the Reporting Person is required to purchase $525,000 (the "Maximum Amount") in the Registrants common stock, par value $0.01 per share (the "Common Stock") during an open trading window on or before January 13, 2023 (or the next available open trading window if the preceding trading windows are closed), hold such purchased Common Stock when the related options vest subject to a decline in the amount of required holding by 20% upon the vesting of each annual installment. In the event Reporting Person fails to comply with the purchasing vesting condition, they will forfeit an amount of the options proportionate to any shortfall from such Maximum Amount to a minimum threshold of $200,000 after which all of the options will be forfeited. Subject to the forgoing conditions, the options vest in equal installments on October 7, 2023, 2024, 2025, 2026 and 2027.

F3 · price: This grant is subject to a condition whereby the Reporting Person is required to purchase $525,000 (the "Maximum Amount") in the Registrants common stock, par value $0.01 per share (the "Common Stock") during an open trading window on or before January 13, 2023 (or the next available open trading window if the preceding trading windows are closed), hold such purchased Common Stock when the related options vest subject to a decline in the amount of required holding by 20% upon the vesting of each annual installment. In the event Reporting Person fails to comply with the purchasing vesting condition, they will forfeit an amount of the options proportionate to any shortfall from such Maximum Amount to a minimum threshold of $200,000 after which all of the options will be forfeited. Subject to the forgoing conditions, the options vest in equal installments on October 7, 2023, 2024, 2025, 2026 and 2027.

F3 · derivative.exercise_date: This grant is subject to a condition whereby the Reporting Person is required to purchase $525,000 (the "Maximum Amount") in the Registrants common stock, par value $0.01 per share (the "Common Stock") during an open trading window on or before January 13, 2023 (or the next available open trading window if the preceding trading windows are closed), hold such purchased Common Stock when the related options vest subject to a decline in the amount of required holding by 20% upon the vesting of each annual installment. In the event Reporting Person fails to comply with the purchasing vesting condition, they will forfeit an amount of the options proportionate to any shortfall from such Maximum Amount to a minimum threshold of $200,000 after which all of the options will be forfeited. Subject to the forgoing conditions, the options vest in equal installments on October 7, 2023, 2024, 2025, 2026 and 2027.

F3 · derivative.expiration_date: This grant is subject to a condition whereby the Reporting Person is required to purchase $525,000 (the "Maximum Amount") in the Registrants common stock, par value $0.01 per share (the "Common Stock") during an open trading window on or before January 13, 2023 (or the next available open trading window if the preceding trading windows are closed), hold such purchased Common Stock when the related options vest subject to a decline in the amount of required holding by 20% upon the vesting of each annual installment. In the event Reporting Person fails to comply with the purchasing vesting condition, they will forfeit an amount of the options proportionate to any shortfall from such Maximum Amount to a minimum threshold of $200,000 after which all of the options will be forfeited. Subject to the forgoing conditions, the options vest in equal installments on October 7, 2023, 2024, 2025, 2026 and 2027.

SEC source: 0001209191-22-053327 · doc4.xml · derivative · entry 3

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,659

Underlying: Common Stock · 15,659 shares

Expires not disclosed

F2 · derivative.exercise_price: Vests in equal installments on October 7, 2023, 2024, 2025, 2026 and 2027.

F2 · price: Vests in equal installments on October 7, 2023, 2024, 2025, 2026 and 2027.

F2 · derivative.exercise_date: Vests in equal installments on October 7, 2023, 2024, 2025, 2026 and 2027.

F2 · derivative.expiration_date: Vests in equal installments on October 7, 2023, 2024, 2025, 2026 and 2027.

SEC source: 0001209191-22-053327 · doc4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,185

SEC source: 0001209191-22-024984 · doc4.xml · derivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,796

Underlying: Common Stock · 4,796 shares

Expires 2032-04-18

F1 · derivative.exercise_date: The option vests in equal installments on April 18, 2023, April 18, 2024 and April 18, 2025.

SEC source: 0001209191-22-024984 · doc4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,386

SEC source: 0001209191-22-026406 · doc4a.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,882

F1 · balance_after: This amendment is being filed to correct a clerical error resulting in an inadvertent omission from total shares owned.

SEC source: 0001209191-22-024402 · doc4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001209191-22-004072 · doc4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,496

SEC source: 0001213900-21-064282 · ownership.xml · nonDerivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · CFO, EVP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,177

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.

SEC source: 0001213900-21-064282 · ownership.xml · derivative · entry 3

QUARTIERI MICHAEL · CIK 0001441431 · CFO, EVP & Secretary

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

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 November 16, 2020 (the "EA"), and collectively represent the first portion of the unvested RSUs that vested as of November 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 3 filed with the U.S. Securities and Exchange Commission on December 7, 2020.

F2 · derivative.expiration_date: These Restricted Stock Units (the "RSUs") were granted pursuant to the Reporting Person's Employment Agreement, dated as of November 16, 2020 (the "EA"), and collectively represent the first portion of the unvested RSUs that vested as of November 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 3 filed with the U.S. Securities and Exchange Commission on December 7, 2020.

SEC source: 0001213900-21-064282 · ownership.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · CFO, EVP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,255

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.

SEC source: 0001213900-20-043186 · ownership.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · CFO, EVP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,255

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.83 to $2.95, 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.

SEC source: 0000750004-20-000038 · wf-form4_158620535472453.xml · derivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,101

Underlying: Common Stock · 10,101 shares

Expires not disclosed

F2 · derivative.exercise_price: The restricted stock units are scheduled to vest as to 6,060 shares on March 20, 2021 and as to 4,041 shares on March 20, 2022. Each unit converts into a share of common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units are scheduled to vest as to 6,060 shares on March 20, 2021 and as to 4,041 shares on March 20, 2022. Each unit converts into a share of common stock on a one-for-one basis.

F2 · derivative.expiration_date: The restricted stock units are scheduled to vest as to 6,060 shares on March 20, 2021 and as to 4,041 shares on March 20, 2022. Each unit converts into a share of common stock on a one-for-one basis.

SEC source: 0000750004-20-000038 · wf-form4_158620535472453.xml · derivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,187

Underlying: Common Stock · 42,187 shares

Expires not disclosed

F1 · derivative.exercise_price: The restricted stock units are scheduled to vest beginning on March 20, 2021 as to 10,546 shares and the balance in three equal installments as to 10,547 shares on each of March 20, 2022, March 20, 2023 and March 20, 2024. Each unit converts into a share of common stock on a one-for-one basis.

F1 · derivative.exercise_date: The restricted stock units are scheduled to vest beginning on March 20, 2021 as to 10,546 shares and the balance in three equal installments as to 10,547 shares on each of March 20, 2022, March 20, 2023 and March 20, 2024. Each unit converts into a share of common stock on a one-for-one basis.

F1 · derivative.expiration_date: The restricted stock units are scheduled to vest beginning on March 20, 2021 as to 10,546 shares and the balance in three equal installments as to 10,547 shares on each of March 20, 2022, March 20, 2023 and March 20, 2024. Each unit converts into a share of common stock on a one-for-one basis.

SEC source: 0000750004-20-000027 · wf-form4_158499582913023.xml · derivative · entry 6

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,297

Underlying: Common Stock · 3,098 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.

F5 · derivative.exercise_price: Represents vesting of one-fourth of restricted stock units granted on March 20, 2019. The balance of the award is schedule to vest in three equal installments of 3,099 shares on each of March 20, 2021, March 20, 2022 and March 20, 2023. Each unit converts into a share of common stock on a one-for-one basis.

F5 · derivative.exercise_date: Represents vesting of one-fourth of restricted stock units granted on March 20, 2019. The balance of the award is schedule to vest in three equal installments of 3,099 shares on each of March 20, 2021, March 20, 2022 and March 20, 2023. Each unit converts into a share of common stock on a one-for-one basis.

F5 · derivative.expiration_date: Represents vesting of one-fourth of restricted stock units granted on March 20, 2019. The balance of the award is schedule to vest in three equal installments of 3,099 shares on each of March 20, 2021, March 20, 2022 and March 20, 2023. Each unit converts into a share of common stock on a one-for-one basis.

SEC source: 0000750004-20-000027 · wf-form4_158499582913023.xml · derivative · entry 5

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,039

Underlying: Common Stock · 1,520 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.

F4 · derivative.exercise_price: Represents vesting of one-fourth of restricted stock units granted on March 30, 2018. The balance of the award is scheduled to vest on each of March 20, 2021 (1,519 shares) and March 20, 2022 (1,520 shares). Each unit converts into a share of common stock on a one-for-one basis.

F4 · derivative.exercise_date: Represents vesting of one-fourth of restricted stock units granted on March 30, 2018. The balance of the award is scheduled to vest on each of March 20, 2021 (1,519 shares) and March 20, 2022 (1,520 shares). Each unit converts into a share of common stock on a one-for-one basis.

F4 · derivative.expiration_date: Represents vesting of one-fourth of restricted stock units granted on March 30, 2018. The balance of the award is scheduled to vest on each of March 20, 2021 (1,519 shares) and March 20, 2022 (1,520 shares). Each unit converts into a share of common stock on a one-for-one basis.

SEC source: 0000750004-20-000027 · wf-form4_158499582913023.xml · derivative · entry 4

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,894

Underlying: Common Stock · 2,893 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.

F3 · derivative.exercise_price: Represents vesting of one-fourth of restricted stock units granted on March 9, 2017. The balance of the award is scheduled to vest on March 20, 2021 (2,894 shares). Each unit converts into a share of common stock on a one-for-one basis.

F3 · derivative.exercise_date: Represents vesting of one-fourth of restricted stock units granted on March 9, 2017. The balance of the award is scheduled to vest on March 20, 2021 (2,894 shares). Each unit converts into a share of common stock on a one-for-one basis.

F3 · derivative.expiration_date: Represents vesting of one-fourth of restricted stock units granted on March 9, 2017. The balance of the award is scheduled to vest on March 20, 2021 (2,894 shares). Each unit converts into a share of common stock on a one-for-one basis.

SEC source: 0000750004-20-000027 · wf-form4_158499582913023.xml · derivative · entry 3

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,477 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.

F2 · derivative.exercise_price: Represents vesting of one-fourth of restricted stock units granted on June 21, 2016. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents vesting of one-fourth of restricted stock units granted on June 21, 2016. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis.

F2 · derivative.expiration_date: Represents vesting of one-fourth of restricted stock units granted on June 21, 2016. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis.

SEC source: 0000750004-20-000027 · wf-form4_158499582913023.xml · nonDerivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,653

F1 · price: Represents the satisfaction of tax withholding obligations upon the vesting of restricted stock units.

SEC source: 0000750004-20-000027 · wf-form4_158499582913023.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,062

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.

SEC source: 0000950157-19-001314 · form4.xml · derivative · entry 3

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,081 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.

F2 · derivative.exercise_price: Represents vesting of one-fourth of restricted stock units granted on November 11, 2015. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis.

F2 · derivative.exercise_date: Represents vesting of one-fourth of restricted stock units granted on November 11, 2015. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis.

F2 · derivative.expiration_date: Represents vesting of one-fourth of restricted stock units granted on November 11, 2015. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis.

SEC source: 0000950157-19-001314 · form4.xml · nonDerivative · entry 2

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,074

F1 · price: Represents the satisfaction of tax withholding obligations upon the vesting of restricted stock units.

SEC source: 0000950157-19-001314 · form4.xml · nonDerivative · entry 1

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,236

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.

SEC source: 0000750004-19-000018 · wf-form4_155328697664721.xml · derivative · entry 7

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,392

Underlying: Common Stock · 22,392 shares

Expires 2029-03-20

F6 · derivative.exercise_date: The stock options are scheduled to become exercisable in four equal annual installments beginning on March 20, 2020 (each, a "Vesting Date"), subject to the Company's achievement of annual adjusted EBITDA growth of 10% or more compared to actual adjusted EBITDA for the calendar year ending December 31, 2018 (the "AEBITDA Goal"). If the AEBITDA Goal is met prior to the first Vesting Date, then all four annual installments will vest in accordance with the vesting schedule. If the AEBITDA Goal is met subsequent to the first Vesting Date, each annual installment relating to a Vesting Date that has already occurred will automatically vest upon achievement of the AEBITDA Goal and any remaining installments will vest in accordance with the vesting schedule. If the Compensation Committee of the Company determines that the AEBITDA Goal has not been achieved by the end of the 2022 fiscal year, all stock options are forfeited.

SEC source: 0000750004-19-000018 · wf-form4_155328697664721.xml · derivative · entry 6

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,392

Underlying: Common Stock · 22,392 shares

Expires 2029-03-20

F5 · derivative.exercise_date: The stock options are scheduled to become exercisable in four equal annual installments beginning on March 20, 2020.

SEC source: 0000750004-19-000018 · wf-form4_155328697664721.xml · derivative · entry 5

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,395

Underlying: Common Stock · 12,395 shares

Expires not disclosed

F4 · derivative.exercise_price: The restricted stock units are scheduled to vest beginning on March 20, 2020 as to 3,098 shares and the balance in three equal installments as to 3,099 shares on each of March 20, 2021, March 20, 2022 and March 20, 2023. Each unit converts into a share of common stock on a one-for-one basis.

F4 · derivative.exercise_date: The restricted stock units are scheduled to vest beginning on March 20, 2020 as to 3,098 shares and the balance in three equal installments as to 3,099 shares on each of March 20, 2021, March 20, 2022 and March 20, 2023. Each unit converts into a share of common stock on a one-for-one basis.

F4 · derivative.expiration_date: The restricted stock units are scheduled to vest beginning on March 20, 2020 as to 3,098 shares and the balance in three equal installments as to 3,099 shares on each of March 20, 2021, March 20, 2022 and March 20, 2023. Each unit converts into a share of common stock on a one-for-one basis.

SEC source: 0000750004-19-000018 · wf-form4_155328697664721.xml · derivative · entry 4

QUARTIERI MICHAEL · CIK 0001441431 · EVP, CFO, Treas & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,559

Underlying: Common Stock · 1,519 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.

F3 · derivative.exercise_price: Represents vesting of one-fourth of restricted stock units granted on March 30, 2018. The balance of the award is scheduled to vest on March 20, 2020 (1,520 shares), March 20, 2021 (1,519 shares) and March 20, 2022 (1,520 shares). Each unit converts into a share of common stock on a one-for-one basis.

F3 · derivative.exercise_date: Represents vesting of one-fourth of restricted stock units granted on March 30, 2018. The balance of the award is scheduled to vest on March 20, 2020 (1,520 shares), March 20, 2021 (1,519 shares) and March 20, 2022 (1,520 shares). Each unit converts into a share of common stock on a one-for-one basis.

F3 · derivative.expiration_date: Represents vesting of one-fourth of restricted stock units granted on March 30, 2018. The balance of the award is scheduled to vest on March 20, 2020 (1,520 shares), March 20, 2021 (1,519 shares) and March 20, 2022 (1,520 shares). Each unit converts into a share of common stock on a one-for-one basis.