person · Reporting owner

ELLIN ROBERT S

Disclosed activity across 3 companies

Tapewire entity: 77435
SEC CIK: 0001071292

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Ernexa Therapeutics Inc.NTN · Entity 8278	10% owner	August 13, 2020	August 17, 2020
LiveOne, Inc.LVO · Entity 7199	Director · CEO & Chairman · 10% owner	July 15, 2025	July 17, 2025
PodcastOne, Inc.PODC · Entity 6886	Director · Executive Chairman	November 25, 2024	December 02, 2024

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.

Ernexa Therapeutics Inc.

Report date August 13, 2020 · Filed August 17, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.005 par valueSEC Table I · non-derivative	Direct	421	Reported balance After 2020-08-13 transaction · row 1 1 source row Row 1 · 2020-08-13 · Sale · Disposed 156,750 · Balance 421 F1: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.30 to $7.70, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 1.
Common Stock, $0.005 par valueSEC Table I · non-derivative	IndirectSee footnotes	16,194	Reported balance After 2020-08-13 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2020-08-13 · Sale · Disposed 170,900 · Balance 16,194 F3: Represents shares sold by Trinad Capital Master Fund, Ltd. ("Trinad Capital"). F2: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.96 to $7.38, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 2. F4: Represents shares of the NTN Buzztime, Inc.'s common stock owned by Trinad Capital, as the Reporting Person, the Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares. F5: Each of the Reporting Person, Trinad Capital and Trinad Capital Management, LLC ("Trinad Management") disclaim beneficial ownership of the reported securities except for the (i) personal and direct beneficial ownership of the Reporting Person as reported herein, (ii) direct beneficial ownership of Trinad Capital as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being the Managing Member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder and Portfolio Manager of Trinad Capital, and (vi) Reporting Person's and/or Trinad Management's pecuniary interest in the securities reported herein as directly beneficially owned by Trinad Capital. F6: This report shall not be deemed an admission that the Reporting Person and/or Trinad Management is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.30 to $7.70, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 1.

F2: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.96 to $7.38, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 2.

F3: Represents shares sold by Trinad Capital Master Fund, Ltd. ("Trinad Capital").

F4: Represents shares of the NTN Buzztime, Inc.'s common stock owned by Trinad Capital, as the Reporting Person, the Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares.

F5: Each of the Reporting Person, Trinad Capital and Trinad Capital Management, LLC ("Trinad Management") disclaim beneficial ownership of the reported securities except for the (i) personal and direct beneficial ownership of the Reporting Person as reported herein, (ii) direct beneficial ownership of Trinad Capital as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being the Managing Member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder and Portfolio Manager of Trinad Capital, and (vi) Reporting Person's and/or Trinad Management's pecuniary interest in the securities reported herein as directly beneficially owned by Trinad Capital.

F6: This report shall not be deemed an admission that the Reporting Person and/or Trinad Management is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

LiveOne, Inc.

Report date July 15, 2025 · Filed July 17, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.001 par valueSEC Table I · non-derivative	IndirectSee footnotes	21,879,952	Reported balance After 2025-07-15 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2025-07-15 · Conversion · Acquired 1,500,000 · Balance 21,879,952 F1: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share F4: Includes (i) 9,890,922 shares of Issuer's common stock owned by Trinad Capital as of July 15, 2025, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Issuer's common stock owned by Trinad Capital Management, LLC ("Trinad Management") as of July 15, 2025, as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Issuer's common stock owned by JJAT Corp. ("JJAT") as of July 15, 2025, an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5: (continued from footnote 4), (iv) approximately 987,252 shares of Issuer's common stock issuable as of July 15, 2025 upon conversion of the Series A Preferred Stock held by Trinad Capital (including the dividend to be paid in kind and accrued as of July 15, 2025 (after the conversion reported herein)), which Trinad Capital has the right to convert at the conversion price of $2.10 per share, and (v) 666,667 stock options to purchase shares of Issuer's common stock at an exercise price of $4.00 per share. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2026, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer. F8: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities.
Series A Perpetual Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.50	IndirectSee footnote(6)(7))	2,073.23	Reported balance After 2025-07-15 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2025-07-15 · Conversion · Disposed 2,250 · Balance 2,073.23 F1: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share F2: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. F8: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities.
WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.01	IndirectSee footnote(6)(7))	1,500,000	Reported balance After 2025-07-15 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2025-07-15 · Other · Acquired 1,500,000 · Balance 1,500,000 F3: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028. F8: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities.
Common Stock, $0.001 par valueSEC Table I · non-derivative	Direct	2,089,666	Reported balance Holding disclosure · report date 2025-07-15 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 2,089,666

Filing footnotes · ownership attribution and instrument terms

F1: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share

F2: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share.

F3: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028.

F4: Includes (i) 9,890,922 shares of Issuer's common stock owned by Trinad Capital as of July 15, 2025, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Issuer's common stock owned by Trinad Capital Management, LLC ("Trinad Management") as of July 15, 2025, as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Issuer's common stock owned by JJAT Corp. ("JJAT") as of July 15, 2025, an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5)

F5: (continued from footnote 4), (iv) approximately 987,252 shares of Issuer's common stock issuable as of July 15, 2025 upon conversion of the Series A Preferred Stock held by Trinad Capital (including the dividend to be paid in kind and accrued as of July 15, 2025 (after the conversion reported herein)), which Trinad Capital has the right to convert at the conversion price of $2.10 per share, and (v) 666,667 stock options to purchase shares of Issuer's common stock at an exercise price of $4.00 per share. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person.

F6: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F7: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2026, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer.

F8: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities.

PodcastOne, Inc.

Report date November 25, 2024 · Filed December 02, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.00001 par valueSEC Table I · non-derivative	Direct	165,931	Reported balance After 2024-11-25 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2024-11-25 · Purchase · Acquired 1 · Balance 165,931
Common Stock, $0.00001 par valueSEC Table I · non-derivative	Direct	169,431	Reported balance After 2024-11-26 transaction · row 2 Account or security details depend on footnotes; rows are not merged. 1 source row Row 2 · 2024-11-26 · Purchase · Acquired 3,500 · Balance 169,431 F4: Since September 1, 2024, the Reporting Person has purchased 59,923 shares of Issuer's common stock.
Common Stock, $0.00001 par valueSEC Table I · non-derivative	IndirectSee footnotes	864,851	Reported balance Holding disclosure · report date 2024-11-25 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 864,851 F1: Represents (i) 506,087 shares of Issuer's common stock owned by Trinad Capital Master Fund Ltd. ("Trinad Capital"), as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 34,106 shares of Issuer's common stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 324,658 shares of Issuer's common stock owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F2: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F3: Does not include shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power.

Filing footnotes · ownership attribution and instrument terms

F1: Represents (i) 506,087 shares of Issuer's common stock owned by Trinad Capital Master Fund Ltd. ("Trinad Capital"), as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 34,106 shares of Issuer's common stock owned by Trinad Capital Management, LLC ("Trinad Management"), as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 324,658 shares of Issuer's common stock owned by JJAT Corp. ("JJAT"), an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person.

F2: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3: Does not include shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power.

F4: Since September 1, 2024, the Reporting Person has purchased 59,923 shares of Issuer's common stock.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
July 15, 2025 Filed Jul 17, 2025 21:00 UTC	LiveOne, Inc. LVO · Entity 7199	OtherWarrant · Derivative	1,500,000	Not disclosed Strike: $0.01	Not disclosed	Disclosure SEC source: 0001213900-25-065287 · ownership.xml · derivative · entry 4 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote(6)(7)) Disclosed balance after: 1,500,000 Underlying: Common Stock, $0.001 par value · 1,500,000 shares Expires not disclosed F3 · derivative.exercise_price: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028. F3 · shares: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028. F3 · price: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028. F3 · derivative.exercise_date: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028. F3 · derivative.expiration_date: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $0.01 per share and expires on July 15, 2028. F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities. Read SEC document
July 15, 2025 Filed Jul 17, 2025 21:00 UTC	LiveOne, Inc. LVO · Entity 7199	ConversionSeries A Perpetual Convertible Preferred Stock · Derivative	2,250	Not disclosed Strike: $1.50	Not disclosed	Disclosure SEC source: 0001213900-25-065287 · ownership.xml · derivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote(6)(7)) Disclosed balance after: 2,073.23 Underlying: Common Stock, $0.001 par value · 1,500,000 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: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share F1 · shares: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share F2 · shares: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. F1 · price: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share F2 · price: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. F2 · derivative.exercise_date: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. F2 · derivative.expiration_date: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. F1 · derivative.underlying_shares: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities. Read SEC document
July 15, 2025 Filed Jul 17, 2025 21:00 UTC	LiveOne, Inc. LVO · Entity 7199	ConversionCommon Stock, $0.001 par value	1,500,000	$1.50	$2,250,000.00	Disclosure SEC source: 0001213900-25-065287 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 21,879,952 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 · kind: On July 15, 2025, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 2,250 shares of Series A Preferred Stock into 1,500,000 shares of Issuer's common stock at a price of $1.50 per share F4 · ownership.nature: Includes (i) 9,890,922 shares of Issuer's common stock owned by Trinad Capital as of July 15, 2025, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Issuer's common stock owned by Trinad Capital Management, LLC ("Trinad Management") as of July 15, 2025, as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Issuer's common stock owned by JJAT Corp. ("JJAT") as of July 15, 2025, an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4), (iv) approximately 987,252 shares of Issuer's common stock issuable as of July 15, 2025 upon conversion of the Series A Preferred Stock held by Trinad Capital (including the dividend to be paid in kind and accrued as of July 15, 2025 (after the conversion reported herein)), which Trinad Capital has the right to convert at the conversion price of $2.10 per share, and (v) 666,667 stock options to purchase shares of Issuer's common stock at an exercise price of $4.00 per share. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2026, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer. F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities. Read SEC document
November 26, 2024 Filed Dec 2, 2024 17:07 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	3,500	$2.03	$7,105.00	Disclosure SEC source: 0001213900-24-104636 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 169,431 F4 · balance_after: Since September 1, 2024, the Reporting Person has purchased 59,923 shares of Issuer's common stock. Read SEC document
November 25, 2024 Filed Dec 2, 2024 17:07 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	1	$1.88	$1.88	Disclosure SEC source: 0001213900-24-104636 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 165,931 Read SEC document
November 22, 2024 Filed Nov 22, 2024 18:01 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	5,000	$1.92	$9,600.00	Disclosure SEC source: 0001213900-24-101717 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 165,930 F4 · balance_after: Since September 1, 2024, the Reporting Person has purchased 56,422 shares of Issuer's common stock. Read SEC document
November 20, 2024 Filed Nov 22, 2024 18:01 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	5,000	$1.88	$9,400.00	Disclosure SEC source: 0001213900-24-101717 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 160,930 Read SEC document
November 19, 2024 Filed Nov 19, 2024 20:46 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	5,000	$1.73	$8,650.00	Disclosure SEC source: 0001213900-24-100319 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 155,930 Read SEC document
November 18, 2024 Filed Nov 18, 2024 20:56 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	5,000	$1.83	$9,150.00	Disclosure SEC source: 0001213900-24-099797 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,930 Read SEC document
November 14, 2024 Filed Nov 14, 2024 20:00 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	5,367	$1.79	$9,606.93	Disclosure SEC source: 0001213900-24-098658 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 145,930 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.75 to $1.80 inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document
November 13, 2024 Filed Nov 14, 2024 20:00 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	10,000	$1.64	$16,400.00	Disclosure SEC source: 0001213900-24-098658 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 140,563 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.62 to $1.65 inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
September 23, 2024 Filed Sep 23, 2024 20:09 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	5,000	$1.87	$9,350.00	Disclosure SEC source: 0001213900-24-081131 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 130,563 Read SEC document
September 20, 2024 Filed Sep 23, 2024 08:30 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	17,000	$1.89	$32,181.00	Disclosure SEC source: 0001213900-24-080813 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 125,563 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.85 to $1.93 inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
September 19, 2024 Filed Sep 20, 2024 08:30 UTC	PodcastOne, Inc. PODC · Entity 6886	PurchaseCommon Stock, $0.00001 par value	9,055	$1.81	$16,380.50	Disclosure SEC source: 0001213900-24-080423 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 108,563 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.779 to $1.82 inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
April 01, 2024 Filed Apr 3, 2024 21:30 UTC	LiveOne, Inc. LVO · Entity 7199	OtherWarrant · Derivative	535,399	Not disclosed Strike: $2.10	Not disclosed	Disclosure SEC source: 0001213900-24-030038 · ownership.xml · derivative · entry 4 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 535,399 Underlying: Common Stock, $0.001 par value · 535,399 shares Expires not disclosed F3 · derivative.exercise_price: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $2.10 per share and expires on April 1, 2027. F3 · shares: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $2.10 per share and expires on April 1, 2027. F3 · price: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $2.10 per share and expires on April 1, 2027. F3 · derivative.exercise_date: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $2.10 per share and expires on April 1, 2027. F3 · derivative.expiration_date: Warrant was issued in connection with the Letter Agreement. The Warrant is exercisable at any time at the option of the Reporting Person at a price of $2.10 per share and expires on April 1, 2027. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2024, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer. F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities. Read SEC document
April 01, 2024 Filed Apr 3, 2024 21:30 UTC	LiveOne, Inc. LVO · Entity 7199	ConversionSeries A Perpetual Convertible Preferred Stock · Derivative	3,395.09	Not disclosed Strike: $2.10	Not disclosed	Disclosure SEC source: 0001213900-24-030038 · ownership.xml · derivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 3,700.11 Underlying: Common Stock, $0.001 par value · 1,616,709 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: On April 1, 2024, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 3,395.09 shares of Series A Preferred Stock into 1,616,709 shares of Issuer's common stock at a price of $2.10 per share. F1 · shares: On April 1, 2024, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 3,395.09 shares of Series A Preferred Stock into 1,616,709 shares of Issuer's common stock at a price of $2.10 per share. F2 · shares: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. F1 · price: On April 1, 2024, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 3,395.09 shares of Series A Preferred Stock into 1,616,709 shares of Issuer's common stock at a price of $2.10 per share. F2 · price: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. F2 · derivative.exercise_date: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. F2 · derivative.expiration_date: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. F1 · derivative.underlying_shares: On April 1, 2024, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 3,395.09 shares of Series A Preferred Stock into 1,616,709 shares of Issuer's common stock at a price of $2.10 per share. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2024, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer. F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities. Read SEC document
April 01, 2024 Filed Apr 3, 2024 21:30 UTC	LiveOne, Inc. LVO · Entity 7199	ConversionCommon Stock, $0.001 par value	1,616,709	$2.10	$3,395,088.90	Disclosure SEC source: 0001213900-24-030038 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 19,654,656 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 · kind: On April 1, 2024, Issuer entered into a letter agreement (the "Letter Agreement") with Trinad Capital Master Fund Ltd. ("Trinad Capital"), a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder, and a holder of Issuer's Series A Perpetual Convertible Preferred Stock (the "Series A Preferred Stock"). Pursuant to the Letter Agreement, Trinad Capital converted 3,395.09 shares of Series A Preferred Stock into 1,616,709 shares of Issuer's common stock at a price of $2.10 per share. F4 · ownership.nature: Includes (i) 7,539,899 shares of Issuer's common stock owned by Trinad Capital as of April 1, 2024, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Issuer's common stock owned by Trinad Capital Management, LLC ("Trinad Management") as of April 1, 2024, as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Issuer's common stock owned by JJAT Corp. ("JJAT") as of April 1, 2024, an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4), (iv) approximately 1,761,956 shares of Issuer's common stock issuable as of April 1, 2024upon conversion of the Series A Preferred Stock held by Trinad Capital (including the dividend to be paid in kind and accrued as of April 1, 2024), which Trinad Capital has the right to convert at the conversion price of $2.10 per share, and (v) 666,667 stock options to purchase shares of Issuer's common stock at an exercise price of $4.00 per share. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2024, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer. F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities. Read SEC document
February 03, 2023 Filed Feb 7, 2023 20:30 UTC	LiveOne, Inc. LVO · Entity 7199	OtherSeries A Perpetual Convertible Preferred Stock · Derivative	6,177	Not disclosed Strike: $2.10	Not disclosed	Disclosure SEC source: 0001213900-23-009075 · ownership.xml · derivative · entry 4 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,177 Underlying: Common Stock, $0.001 par value · 2,945,454 shares Expires not disclosed F3 · derivative.exercise_price: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023. F1 · shares: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017. F3 · shares: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023. F1 · price: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017. F3 · price: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023. F3 · derivative.exercise_date: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023. F3 · derivative.expiration_date: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023. F3 · derivative.underlying_shares: The Series A Preferred Stock is convertible at any time at Trinad Capital's option into shares of Issuer's common stock at a price of $2.10 per share of common stock, bears a dividend of 12% per annum, which initially shall be paid in kind as provided in the Certificate of Designation, is perpetual and has no expiration date. The Series A Preferred Stock has a stated value of $1,000 per share. The reported number of shares of Issuer's common stock represents the number of shares of common stock issuable upon conversion of the Series A Preferred Stock as of February 7, 2023 and includes the dividend to be paid in kind and accrued as of February 7, 2023. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities. Read SEC document
February 03, 2023 Filed Feb 7, 2023 20:30 UTC	LiveOne, Inc. LVO · Entity 7199	OtherConvertible Promissory Notes · Derivative	Not disclosed	Not disclosed Strike: $3.00	$6,177,218.00	Disclosure SEC source: 0001213900-23-009075 · ownership.xml · derivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017. F1 · reported_value: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017. F1 · price: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017. F1 · derivative.exercise_date: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017. F1 · derivative.expiration_date: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017. F1 · derivative.underlying_shares: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F8 · ownership.nature: The Reporting Person is the Managing Director and Portfolio Manager of Trinad Capital and is deemed to have sole voting and dispositive power over, and accordingly is deemed to have beneficial ownership of, the reported securities. Read SEC document
February 03, 2023 Filed Feb 7, 2023 20:30 UTC	LiveOne, Inc. LVO · Entity 7199	OtherCommon Stock, $0.001 par value	200,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-23-009075 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 18,686,046 F1 · kind: Effective as of February 3, 2023, Issuer entered into the Exchange Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which Trinad Capital exchanged all of its promissory notes in the aggregate principal and interest amount of $6,177,218 issued by Issuer (the "Notes") for 6,177 shares of Issuer's newly designated and issued Series A Perpetual Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Stock"), having the terms as set forth in Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock, dated as of February 2, 2023 (the "Certificate of Designation"). The Notes and accrued and unpaid interest on the Notes were convertible at any time at $3.00 per share as a result of Issuer's public offering completed on December 27, 2017. F2 · kind: In consideration for entry into the Exchange Agreement, Issuer issued to Trinad Capital 200,000 shares of Issuer's common stock. Trinad Capital is a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder. F2 · price: In consideration for entry into the Exchange Agreement, Issuer issued to Trinad Capital 200,000 shares of Issuer's common stock. Trinad Capital is a fund controlled by the Reporting Person, Issuer's Chief Executive Officer, Chairman, director and principal stockholder. F4 · ownership.nature: Includes (i) 7,539,899 shares of Issuer's common stock owned by Trinad Capital as of February 7, 2023, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Issuer's common stock owned by Trinad Capital Management, LLC ("Trinad Management") as of February 7, 2023, as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Issuer's common stock owned by JJAT Corp. ("JJAT") as of February 7, 2023, an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 5) F5 · ownership.nature: (continued from footnote 4), (iv) approximately 2,945,454 shares of Issuer's common stock issuable as of February 7, 2023 upon conversion of the Series A Preferred Stock held by Trinad Capital (including the dividend to be paid in kind and accrued as of February 7, 2023), which Trinad Capital has the right to convert at the conversion price of $2.10 per share, and (v) 666,667 stock options to purchase shares of Issuer's common stock at an exercise price of $4.00 per share. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F6 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7 · ownership.nature: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2023, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer. Read SEC document
November 21, 2022 Filed Nov 21, 2022 20:30 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$0.68	$6,809.00	Disclosure SEC source: 0001213900-22-074345 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,089,666 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6776 to $0.6822, inclusive. The Reporting Person undertakes to provide to 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 2. Read SEC document
November 21, 2022 Filed Nov 21, 2022 20:30 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$0.67	$16,687.50	Disclosure SEC source: 0001213900-22-074345 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,079,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6598 to $0.675, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
November 16, 2022 Filed Nov 16, 2022 20:30 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	15,000	$0.73	$10,896.00	Disclosure SEC source: 0001213900-22-073292 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,054,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7187 to $0.73, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
November 15, 2022 Filed Nov 15, 2022 20:30 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$0.78	$7,780.00	Disclosure SEC source: 0001213900-22-072941 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,039,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7751 to $0.7879, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
September 30, 2022 Filed Sep 30, 2022 20:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$0.75	$18,680.00	Disclosure SEC source: 0001213900-22-060832 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,029,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7345 to $0.749, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
August 30, 2022 Filed Sep 1, 2022 20:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$0.91	$9,148.00	Disclosure SEC source: 0001213900-22-053372 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,004,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9148 to $0.9149, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
August 25, 2022 Filed Aug 25, 2022 20:30 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$0.95	$9,490.00	Disclosure SEC source: 0001213900-22-051213 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,994,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.933 to $0.95, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
August 22, 2022 Filed Aug 22, 2022 20:30 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$0.99	$9,893.00	Disclosure SEC source: 0001213900-22-050216 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,984,666 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9808 to $0.99, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document
August 22, 2022 Filed Aug 22, 2022 20:30 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$0.99	$9,894.00	Disclosure SEC source: 0001213900-22-050216 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,974,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9706 to $0.99, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
August 18, 2022 Filed Aug 18, 2022 20:06 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$1.08	$10,770.00	Disclosure SEC source: 0001213900-22-049465 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,964,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.07 to $1.09, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
August 17, 2022 Filed Aug 17, 2022 17:35 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$1.05	$10,548.00	Disclosure SEC source: 0001213900-22-049067 · ownership.xml · nonDerivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,954,666 F7 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.05 to $1.065, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 7. Read SEC document
August 17, 2022 Filed Aug 17, 2022 17:35 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$1.04	$10,353.00	Disclosure SEC source: 0001213900-22-049067 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,944,666 F6 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.03 to $1.04, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 6. Read SEC document
July 08, 2022 Filed Aug 17, 2022 17:35 UTC	LiveOne, Inc. LVO · Entity 7199	GrantCommon Stock, $0.001 par value	500,000	$0.00	$0.00	Disclosure SEC source: 0001213900-22-049067 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,613,714 F1 · kind: Effective as of July 8, 2022, Issuer entered into the Amendment of Notes Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which the maturity date of all of Issuer's unsecured convertible notes issued to Trinad Capital was extended to July 1, 2024, and in consideration of such extension, Issuer issued to Trinad Capital 500,000 shares of Issuer's common stock. F1 · price: Effective as of July 8, 2022, Issuer entered into the Amendment of Notes Agreement with Trinad Capital Master Fund Ltd. ("Trinad Capital"), pursuant to which the maturity date of all of Issuer's unsecured convertible notes issued to Trinad Capital was extended to July 1, 2024, and in consideration of such extension, Issuer issued to Trinad Capital 500,000 shares of Issuer's common stock. F2 · ownership.nature: Includes (i) 7,339,899 shares of Issuer's common stock owned by Trinad Capital as of August 15, 2022, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Issuer's common stock owned by Trinad Capital Management, LLC ("Trinad Management") as of August 15, 2022, as the Reporting Person, the Managing Member of Trinad Management, is deemed to have sole voting and dispositive power over such shares, (iii) 6,817,810 shares of Issuer's common stock owned by JJAT Corp. ("JJAT") as of August 15, 2022, an entity owned by the Reporting Person, as the Reporting Person is deemed to have sole voting and dispositive power over such shares, (continued to footnote 3) F3 · ownership.nature: (continued from footnote 2), (iv) approximately 1,984,462 shares of Issuer's common stock issuable as of August 15, 2022 upon conversion of Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of Issuer's public offering completed on December 27, 2017, and (v) 666,667 stock options to purchase shares of Issuer's common stock at an exercise price of $4.00 per share. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F4 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F5 · ownership.nature: Does not include (i) shares of Issuer's common stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) 88,660 restricted stock units that shall vest on September 7, 2022, subject to earlier vesting in the event of a change in control or the Reporting Person's departure from Issuer. Read SEC document
April 28, 2022 Filed Apr 28, 2022 16:38 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$0.70	$17,397.50	Disclosure SEC source: 0001213900-22-022311 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,934,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6768 to $0.7114, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
April 20, 2022 Filed Apr 20, 2022 21:01 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$0.82	$20,392.50	Disclosure SEC source: 0001213900-22-020865 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,909,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.78 to $0.8468, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
March 24, 2022 Filed Mar 24, 2022 20:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$0.75	$18,747.50	Disclosure SEC source: 0001213900-22-014951 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,884,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7324 to $0.76, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
March 04, 2022 Filed Mar 7, 2022 07:23 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$0.79	$19,847.50	Disclosure SEC source: 0001213900-22-010817 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,859,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7794 to $0.80, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
March 02, 2022 Filed Mar 2, 2022 19:48 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$0.85	$21,305.00	Disclosure SEC source: 0001213900-22-010446 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,834,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.83 to $0.883, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
February 22, 2022 Filed Feb 22, 2022 20:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$0.85	$21,260.00	Disclosure SEC source: 0001213900-22-008771 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,809,666 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.823 to $0.8678, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document
February 17, 2022 Filed Feb 22, 2022 20:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$0.93	$23,317.50	Disclosure SEC source: 0001213900-22-008771 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,784,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.925 to $0.9482, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
February 15, 2022 Filed Feb 15, 2022 20:37 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$0.94	$23,445.00	Disclosure SEC source: 0001213900-22-007974 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,759,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.925 to $0.9486, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
November 19, 2021 Filed Nov 22, 2021 07:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	20,000	$2.09	$41,780.00	Disclosure SEC source: 0001213900-21-060995 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,734,666 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.07 to $2.10, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document
November 18, 2021 Filed Nov 22, 2021 07:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	25,000	$2.17	$54,212.50	Disclosure SEC source: 0001213900-21-060995 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,714,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.115 to $2.22, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
November 11, 2021 Filed Nov 15, 2021 21:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$2.30	$22,959.00	Disclosure SEC source: 0001213900-21-059681 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,689,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.28 to $2.30, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
November 08, 2021 Filed Nov 9, 2021 21:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$2.37	$23,669.00	Disclosure SEC source: 0001213900-21-057876 · ownership.xml · nonDerivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,679,666 F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.35 to $2.39, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 3. Read SEC document
November 05, 2021 Filed Nov 9, 2021 21:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$2.40	$24,031.00	Disclosure SEC source: 0001213900-21-057876 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,669,666 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.365 to $2.41, inclusive. The Reporting Person undertakes to provide to Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document
November 05, 2021 Filed Nov 9, 2021 21:00 UTC	LiveOne, Inc. LVO · Entity 7199	PurchaseCommon Stock, $0.001 par value	15,000	$2.36	$35,406.00	Disclosure SEC source: 0001213900-21-057876 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,659,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.34 to $2.39, inclusive. The Reporting Person undertakes to provide to LiveOne, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
September 14, 2021 Filed Sep 14, 2021 20:00 UTC	LiveOne, Inc. LIVX · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$3.25	$32,503.00	Disclosure SEC source: 0001213900-21-048076 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,644,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.24 to $3.26, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
August 30, 2021 Filed Aug 31, 2021 08:00 UTC	LiveOne, Inc. LIVX · Entity 7199	PurchaseCommon Stock, $0.001 par value	10,000	$3.38	$33,798.00	Disclosure SEC source: 0001213900-21-045763 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,634,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.365 to $3.39, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document
August 24, 2021 Filed Aug 24, 2021 18:08 UTC	LiveOne, Inc. LIVX · Entity 7199	PurchaseCommon Stock, $0.001 par value	5,000	$3.13	$15,652.00	Disclosure SEC source: 0001213900-21-044638 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,624,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.115 to $3.14, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. ("Issuer") or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document

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