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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 19, 2021 Filed Aug 19, 2021 16:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 10,000 | $2.93 | $29,250.00 |
DisclosureSEC source: 0001213900-21-043891 · 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: 1,619,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.885 to $2.96, 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 18, 2021 Filed Aug 18, 2021 21:31 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 10,000 | $2.81 | $28,082.00 |
DisclosureSEC source: 0001213900-21-043759 · 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: 1,609,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.765 to $2.86, 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 17, 2021 Filed Aug 17, 2021 21:46 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantCommon Stock, $0.001 par value | 33,654 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-21-043531 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 16,913,027 F2 · price: These shares were issued by the Issuer to Trinad Capital Master Fund, Ltd. ("Trinad Capital") pursuant to the Amendment of Notes Agreement, dated as of August 11, 2021 (the "Amendment Agreement"), between the Issuer and Trinad Capital, pursuant to which the maturity date of all of the Issuer's unsecured convertible notes issued to Trinad Capital was extended to May 31, 2023. These shares vested upon issuance. F5 · ownership.nature: Includes (i) 6,839,899 shares of Issuer's common stock owned by Trinad Capital as of August 17, 2021, 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 17, 2021, 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 17, 2021, 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 6) F6 · ownership.nature: (continued from footnote 5), (iv) approximately 1,872,435 shares of Issuer's common stock issuable as of August 17, 2021 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. F7 · 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: Does not include (i) 4,415,986 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, (ii) 88,660 RSUs 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, and (iii) 500,000 stock options granted by Issuer to the Reporting Person which have not yet vested and which shall vest in accordance with certain conditions specified in the Reporting Person's employment agreement with Issuer, subject to his continued employment with Issuer through the applicable vesting date. Read SEC document |
| August 17, 2021 Filed Aug 17, 2021 21:46 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 10,000 | $2.79 | $27,852.00 |
DisclosureSEC source: 0001213900-21-043531 · 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: 1,599,666 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.7694 to $280, 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 16, 2021 Filed Aug 17, 2021 21:46 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantRestricted Stock Units · Derivative | 63,492 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-043531 · ownership.xml · derivative · entry 4 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,492 Underlying: Common Stock, $0.001 par value · 63,492 shares Expires not disclosed F4 · derivative.exercise_price: These RSUs were issued by the Issuer to the Reporting Person pursuant to his agreement to accept 50% of his monthly base salary in Issuer's equity for the period from August 1, 2020 to August 15, 2020, and 100% of his monthly base salary in Issuer's equity for the period from August 16, 2020 to December 31, 2020. These RSUs 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 the Issuer. Each RSU represents a contingent right to receive one share of Issuer's common stock or the cash value thereof. The Issuer's Board, in its sole discretion, will determine in accordance with the Plan the form of payout of the RSUs (cash and/or stock). F4 · derivative.exercise_date: These RSUs were issued by the Issuer to the Reporting Person pursuant to his agreement to accept 50% of his monthly base salary in Issuer's equity for the period from August 1, 2020 to August 15, 2020, and 100% of his monthly base salary in Issuer's equity for the period from August 16, 2020 to December 31, 2020. These RSUs 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 the Issuer. Each RSU represents a contingent right to receive one share of Issuer's common stock or the cash value thereof. The Issuer's Board, in its sole discretion, will determine in accordance with the Plan the form of payout of the RSUs (cash and/or stock). F4 · derivative.expiration_date: These RSUs were issued by the Issuer to the Reporting Person pursuant to his agreement to accept 50% of his monthly base salary in Issuer's equity for the period from August 1, 2020 to August 15, 2020, and 100% of his monthly base salary in Issuer's equity for the period from August 16, 2020 to December 31, 2020. These RSUs 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 the Issuer. Each RSU represents a contingent right to receive one share of Issuer's common stock or the cash value thereof. The Issuer's Board, in its sole discretion, will determine in accordance with the Plan the form of payout of the RSUs (cash and/or stock). Read SEC document |
| August 16, 2021 Filed Aug 17, 2021 21:46 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantRestricted Stock Units · Derivative | 25,168 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-043531 · ownership.xml · derivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,168 Underlying: Common Stock, $0.001 par value · 19,842 shares Expires not disclosed F3 · derivative.exercise_price: These restricted stock units ("RSUs") were issued by the Issuer to the Reporting Person pursuant to his agreement to accept 50% of his monthly base salary in Issuer's equity for the period from April 1, 2020 to July 31, 2020. These RSUs 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 the Issuer. Each RSU represents a contingent right to receive one share of Issuer's common stock or the cash value thereof. The Issuer's Board, in its sole discretion, will determine in accordance with the Issuer's 2016 Equity Incentive Plan, as amended (the "Plan"), the form of payout of the RSUs (cash and/or stock). F3 · derivative.exercise_date: These restricted stock units ("RSUs") were issued by the Issuer to the Reporting Person pursuant to his agreement to accept 50% of his monthly base salary in Issuer's equity for the period from April 1, 2020 to July 31, 2020. These RSUs 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 the Issuer. Each RSU represents a contingent right to receive one share of Issuer's common stock or the cash value thereof. The Issuer's Board, in its sole discretion, will determine in accordance with the Issuer's 2016 Equity Incentive Plan, as amended (the "Plan"), the form of payout of the RSUs (cash and/or stock). F3 · derivative.expiration_date: These restricted stock units ("RSUs") were issued by the Issuer to the Reporting Person pursuant to his agreement to accept 50% of his monthly base salary in Issuer's equity for the period from April 1, 2020 to July 31, 2020. These RSUs 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 the Issuer. Each RSU represents a contingent right to receive one share of Issuer's common stock or the cash value thereof. The Issuer's Board, in its sole discretion, will determine in accordance with the Issuer's 2016 Equity Incentive Plan, as amended (the "Plan"), the form of payout of the RSUs (cash and/or stock). Read SEC document |
| March 30, 2021 Filed Mar 31, 2021 08:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 5,000 | $3.95 | $19,728.50 |
DisclosureSEC source: 0001213900-21-018960 · 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: 1,586,566 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.94 to $3.95, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| March 30, 2021 Filed Mar 31, 2021 08:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 5,000 | $4.13 | $20,626.00 |
DisclosureSEC source: 0001213900-21-018960 · 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: 1,581,566 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.08 to $4.15, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| March 19, 2021 Filed Mar 19, 2021 20:01 UTC | LiveOne, Inc. LIVX · Entity 7199 | GrantCommon Stock, $0.001 par value | 280,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-21-016755 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO & Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 16,209,952 F1 · price: These shares were issued by the Issuer to Trinad Capital Master Fund, Ltd. ("Trinad Capital") pursuant to the Amendment of Notes Agreement, dated as of January 11, 2021, between the Issuer and Trinad Capital, pursuant to which the maturity date of all of the Issuer's unsecured convertible notes issued to Trinad Capital was extended to May 31, 2022. F2 · ownership.nature: Includes (i) 6,849,529 shares of the Issuer's common stock (the "Common Stock") owned by Trinad Capital as of March 19, 2021, as the Reporting Person, the Managing Director and Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares, (ii) 716,216 shares of Common Stock owned by Trinad Capital Management, LLC ("Trinad Management") as of March 19, 2021, 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 Common Stock owned by JJAT Corp. ("JJAT") as of March 19, 2021, 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) and (iv) approximately 1,826,397 shares of Common Stock issuable as of March 19, 2021 upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital has the right to convert at the conversion price of $3.00 per share as a result of the Issuer's public offering completed on December 27, 2017. Accordingly, securities owned by these entities may be regarded as being beneficially owned by the Reporting Person. F4 · ownership.nature: Each of the Reporting Person and Trinad Management disclaim beneficial ownership of the reported securities except for the (i) Reporting Person's and Trinad Management's pecuniary interest therein, (ii) direct beneficial ownership of Trinad Management as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director and Portfolio Manager of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being a member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, and (vi) indirect interest of the Reporting Person by virtue of being a member of Trinad Capital. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F5 · ownership.nature: Does not include (i) 4,473,475 shares of Common Stock held by a family trust and family foundation as to which the Reporting Person does not exercise voting or dispositive power, and (ii) stock options granted by the Issuer to the Reporting Person. Read SEC document |
| March 17, 2021 Filed Mar 19, 2021 20:01 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 3,000 | $4.60 | $13,800.00 |
DisclosureSEC source: 0001213900-21-016755 · 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: 1,576,566 Read SEC document |
| March 01, 2021 Filed Mar 2, 2021 21:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 100 | $4.17 | $417.00 |
DisclosureSEC source: 0001213900-21-013017 · 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: 1,573,566 Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 21:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 600 | $3.82 | $2,290.80 |
DisclosureSEC source: 0001213900-21-013017 · 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: 1,573,466 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.75 to $3.89, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| February 25, 2021 Filed Feb 25, 2021 21:55 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 1,500 | $3.97 | $5,961.00 |
DisclosureSEC source: 0001213900-21-011908 · 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: 1,572,866 F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.02, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 3. Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 21:55 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 2,500 | $4.12 | $10,306.25 |
DisclosureSEC source: 0001213900-21-011908 · 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: 1,571,366 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.95 to $4.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 21:55 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 2,100 | $4.43 | $9,292.71 |
DisclosureSEC source: 0001213900-21-011908 · 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: 1,568,866 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.25 to $4.52, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| December 18, 2020 Filed Dec 28, 2020 07:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 200 | $3.25 | $650.00 |
DisclosureSEC source: 0001213900-20-044629 · 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: 1,566,766 Read SEC document |
| December 17, 2020 Filed Dec 18, 2020 21:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 200 | $3.13 | $626.00 |
DisclosureSEC source: 0001213900-20-043630 · 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: 1,566,566 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.12 to $3.14, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| December 16, 2020 Filed Dec 18, 2020 21:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 500 | $2.90 | $1,450.00 |
DisclosureSEC source: 0001213900-20-043630 · 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: 1,566,366 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.81 to $2.93, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| December 15, 2020 Filed Dec 16, 2020 20:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 800 | $2.75 | $2,201.04 |
DisclosureSEC source: 0001213900-20-043129 · 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: 1,565,866 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.70 to $2.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| December 14, 2020 Filed Dec 16, 2020 20:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 3,600 | $2.93 | $10,550.88 |
DisclosureSEC source: 0001213900-20-043129 · 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: 1,565,066 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.85 to $3.02, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| December 11, 2020 Filed Dec 14, 2020 09:23 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 1,800 | $2.70 | $4,860.00 |
DisclosureSEC source: 0001213900-20-042426 · 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: 1,561,466 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.59 to $2.82, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 09:23 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 100 | $2.60 | $260.00 |
DisclosureSEC source: 0001213900-20-042426 · 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: 1,559,666 Read SEC document |
| December 09, 2020 Filed Dec 10, 2020 21:51 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 3,300 | $2.53 | $8,337.12 |
DisclosureSEC source: 0001213900-20-042123 · 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: 1,559,566 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.40 to $2.59, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| December 08, 2020 Filed Dec 10, 2020 21:51 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 400 | $2.53 | $1,012.00 |
DisclosureSEC source: 0001213900-20-042123 · 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: 1,556,266 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.54 to $2.50, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| December 04, 2020 Filed Dec 7, 2020 10:02 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 1,400 | $2.41 | $3,372.04 |
DisclosureSEC source: 0001213900-20-041240 · 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: 1,555,866 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.40 to $2.43, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 10:02 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 400 | $2.36 | $944.00 |
DisclosureSEC source: 0001213900-20-041240 · 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: 1,554,466 F1 · 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 LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| December 02, 2020 Filed Dec 3, 2020 20:38 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 1,000 | $2.43 | $2,429.50 |
DisclosureSEC source: 0001213900-20-040863 · 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: 1,554,066 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.42 to $2.43, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 20:38 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 1,400 | $2.56 | $3,578.96 |
DisclosureSEC source: 0001213900-20-040863 · 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: 1,553,066 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.55 to $2.58, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| November 30, 2020 Filed Nov 30, 2020 20:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 2,800 | $2.51 | $7,036.12 |
DisclosureSEC source: 0001213900-20-040080 · 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: 1,551,666 F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.46 to $2.58, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 3. Read SEC document |
| November 27, 2020 Filed Nov 30, 2020 20:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 2,700 | $2.49 | $6,711.12 |
DisclosureSEC source: 0001213900-20-040080 · 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: 1,548,866 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.48 to $2.51, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 20:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 3,500 | $2.23 | $7,802.90 |
DisclosureSEC source: 0001213900-20-040080 · 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: 1,546,166 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.18 to $2.39, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 08:58 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 4,300 | $2.26 | $9,726.17 |
DisclosureSEC source: 0001213900-20-039223 · 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: 1,542,666 F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.22 to $2.33, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 3. Read SEC document |
| November 23, 2020 Filed Nov 25, 2020 08:58 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 9,567 | $2.18 | $20,835.97 |
DisclosureSEC source: 0001213900-20-039223 · 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: 1,538,366 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.07 to $2.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| November 23, 2020 Filed Nov 25, 2020 08:58 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 5,000 | $2.15 | $10,736.00 |
DisclosureSEC source: 0001213900-20-039223 · 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: 1,528,799 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.13 to $2.16, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| November 20, 2020 Filed Nov 23, 2020 08:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 16,653 | $1.99 | $33,221.07 |
DisclosureSEC source: 0001213900-20-038647 · 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: 1,523,799 F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.93 to $2.10, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 3. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 08:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 17,200 | $1.89 | $32,568.20 |
DisclosureSEC source: 0001213900-20-038647 · 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: 1,507,146 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.84 to $1.94, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 08:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 10,000 | $1.88 | $18,766.00 |
DisclosureSEC source: 0001213900-20-038647 · 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: 1,489,946 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.865 to $1.97, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| September 22, 2020 Filed Sep 25, 2020 13:29 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 1,000 | $2.83 | $2,833.00 |
DisclosureSEC source: 0001213900-20-028400 · 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: 1,479,946 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.72 to $2.92, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| September 21, 2020 Filed Sep 22, 2020 13:50 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 900 | $2.98 | $2,678.04 |
DisclosureSEC source: 0001213900-20-027794 · 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: 1,478,946 F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.95 to $3.03, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of 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 |
| September 18, 2020 Filed Sep 22, 2020 13:50 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 1,905 | $2.86 | $5,447.16 |
DisclosureSEC source: 0001213900-20-027794 · 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: 1,478,046 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.79 to $3.07, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of 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 |
| September 17, 2020 Filed Sep 22, 2020 13:50 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 1,595 | $2.74 | $4,374.61 |
DisclosureSEC source: 0001213900-20-027794 · 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: 1,476,141 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.70 to $2.8602, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 10:18 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 2,000 | $2.72 | $5,446.00 |
DisclosureSEC source: 0001213900-20-027062 · 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: 1,474,546 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.58 to $2.78, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of 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 |
| September 15, 2020 Filed Sep 17, 2020 10:18 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 700 | $2.66 | $1,865.43 |
DisclosureSEC source: 0001213900-20-027062 · 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: 1,472,546 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.6482 to $2.68, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| September 14, 2020 Filed Sep 15, 2020 10:44 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 2,600 | $2.64 | $6,862.96 |
DisclosureSEC source: 0001213900-20-026586 · 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: 1,471,846 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.50 to $2.69, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of 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 |
| September 11, 2020 Filed Sep 15, 2020 10:44 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 400 | $2.60 | $1,041.64 |
DisclosureSEC source: 0001213900-20-026586 · 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: 1,469,246 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.5988 to $2.62, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| September 10, 2020 Filed Sep 11, 2020 20:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 3,500 | $2.59 | $9,073.05 |
DisclosureSEC source: 0001213900-20-026311 · 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: 1,468,846 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.54 to $2.65, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of 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 |
| September 09, 2020 Filed Sep 11, 2020 20:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 1,400 | $2.56 | $3,581.06 |
DisclosureSEC source: 0001213900-20-026311 · 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: 1,465,346 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.50 to $2.60, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 08:31 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 6,300 | $2.48 | $15,602.58 |
DisclosureSEC source: 0001213900-20-025730 · 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: 1,463,946 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.35 to $2.558, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of 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 |
| September 04, 2020 Filed Sep 9, 2020 08:31 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 2,100 | $2.34 | $4,906.02 |
DisclosureSEC source: 0001213900-20-025730 · 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: 1,457,646 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.26 to $2.42, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 1. Read SEC document |
| September 03, 2020 Filed Sep 4, 2020 21:00 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock, $0.001 par value | 2,500 | $2.31 | $5,784.00 |
DisclosureSEC source: 0001213900-20-025488 · 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: 1,455,546 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.31 to $2.34, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.