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 |
|---|---|---|---|---|---|---|
| September 06, 2018 Filed Sep 10, 2018 21:32 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 900 | $5.35 | $4,815.00 |
DisclosureSEC source: 0001213900-18-012349 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,090 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.30 to $5.40, 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 05, 2018 Filed Sep 6, 2018 20:17 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 300 | $5.45 | $1,635.00 |
DisclosureSEC source: 0001213900-18-012238 · ownership.xml · nonDerivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,190 Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 20:17 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 400 | $5.40 | $2,160.00 |
DisclosureSEC source: 0001213900-18-012238 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,890 Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 20:17 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 300 | $5.47 | $1,641.00 |
DisclosureSEC source: 0001213900-18-012238 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,490 Read SEC document |
| August 31, 2018 Filed Aug 31, 2018 18:58 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 2,900 | $5.03 | $14,586.42 |
DisclosureSEC source: 0001213900-18-012038 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,190 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.77 to $5.10, 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 2. Read SEC document |
| August 30, 2018 Filed Aug 31, 2018 18:58 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 1,171 | $4.49 | $5,260.95 |
DisclosureSEC source: 0001213900-18-012038 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,290 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.45 to $4.50, 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 |
| August 29, 2018 Filed Aug 30, 2018 20:26 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 900 | $4.48 | $4,034.97 |
DisclosureSEC source: 0001213900-18-011960 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,119 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.43 to $4.52, 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 |
| August 28, 2018 Filed Aug 30, 2018 20:26 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 2,300 | $4.51 | $10,375.07 |
DisclosureSEC source: 0001213900-18-011960 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,219 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.49 to $4.53, 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 |
| August 27, 2018 Filed Aug 28, 2018 19:47 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 4,300 | $4.46 | $19,190.04 |
DisclosureSEC source: 0001213900-18-011839 · ownership.xml · nonDerivative · entry 4 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,919 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.3 to $4.60, 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 |
| August 24, 2018 Filed Aug 28, 2018 19:47 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 5,269 | $4.47 | $23,571.93 |
DisclosureSEC source: 0001213900-18-011839 · ownership.xml · nonDerivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,619 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.43 to $4.5, 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 |
| August 23, 2018 Filed Aug 23, 2018 18:56 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 400 | $4.62 | $1,848.00 |
DisclosureSEC source: 0001213900-18-011661 · ownership.xml · nonDerivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,850 Read SEC document |
| August 23, 2018 Filed Aug 23, 2018 18:56 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 500 | $4.50 | $2,250.00 |
DisclosureSEC source: 0001213900-18-011661 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,450 Read SEC document |
| August 23, 2018 Filed Aug 28, 2018 19:47 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 1,000 | $4.55 | $4,550.00 |
DisclosureSEC source: 0001213900-18-011839 · ownership.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,350 Read SEC document |
| August 23, 2018 Filed Aug 28, 2018 19:47 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 500 | $4.52 | $2,260.00 |
DisclosureSEC source: 0001213900-18-011839 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,350 Read SEC document |
| August 22, 2018 Filed Aug 23, 2018 18:56 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 13,650 | $4.29 | $58,600.82 |
DisclosureSEC source: 0001213900-18-011661 · ownership.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,950 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.23 to $4.47, 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 |
| March 29, 2018 Filed Apr 5, 2018 21:55 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 400 | $3.80 | $1,519.96 |
DisclosureSEC source: 0001213900-18-004109 · f4032818ellin_livexlive.xml · nonDerivative · entry 5 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 17,332,530 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. F2 · ownership.nature: Includes (i) 6,862,420 shares of the Issuer's common stock (the "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) 716,216 shares of 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) 6,814,210 shares of 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, (continued to footnote 3) F3 · ownership.nature: (continued from footnote 2) (iv) 1,213,210 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) 1,726,474 shares of Common Stock issuable 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 4,496,962 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. Read SEC document |
| March 29, 2018 Filed Apr 5, 2018 21:55 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 1,500 | $3.80 | $5,700.00 |
DisclosureSEC source: 0001213900-18-004109 · f4032818ellin_livexlive.xml · nonDerivative · entry 3 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,300 Read SEC document |
| March 29, 2018 Filed Apr 5, 2018 21:55 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 600 | $3.80 | $2,278.98 |
DisclosureSEC source: 0001213900-18-004109 · f4032818ellin_livexlive.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,800 Read SEC document |
| March 29, 2018 Filed Apr 5, 2018 21:55 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 500 | $3.80 | $1,898.75 |
DisclosureSEC source: 0001213900-18-004109 · f4032818ellin_livexlive.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,200 Read SEC document |
| March 28, 2018 Filed Apr 5, 2018 21:55 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 1,000 | $3.80 | $3,800.00 |
DisclosureSEC source: 0001213900-18-004109 · f4032818ellin_livexlive.xml · nonDerivative · entry 4 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 17,332,130 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. F2 · ownership.nature: Includes (i) 6,862,420 shares of the Issuer's common stock (the "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) 716,216 shares of 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) 6,814,210 shares of 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, (continued to footnote 3) F3 · ownership.nature: (continued from footnote 2) (iv) 1,213,210 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) 1,726,474 shares of Common Stock issuable 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 4,496,962 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. Read SEC document |
| March 26, 2018 Filed Apr 5, 2018 21:30 UTC Amendment | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 700 | $3.85 | $2,695.00 |
DisclosureSEC source: 0001213900-18-004105 · f4032218a1ellin_livexlive.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,700 Read SEC document |
| March 22, 2018 Filed Mar 28, 2018 21:34 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 700 | $3.85 | $2,695.00 |
DisclosureSEC source: 0001213900-18-003598 · f4032218ellin_livexlive.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,700 Read SEC document |
| March 22, 2018 Filed Mar 28, 2018 21:34 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 1,000 | $3.99 | $3,990.00 |
DisclosureSEC source: 0001213900-18-003598 · f4032218ellin_livexlive.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| March 22, 2018 Filed Apr 5, 2018 21:30 UTC Amendment | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 1,000 | $3.99 | $3,990.00 |
DisclosureSEC source: 0001213900-18-004105 · f4032218a1ellin_livexlive.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| February 22, 2018 Filed Feb 26, 2018 21:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 3,100 | $4.02 | $12,462.00 |
DisclosureSEC source: 0001213900-18-002308 · f4022218ellin_livexlive.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.00 to $4.10, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4 Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 21:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 1,100 | $4.05 | $4,455.00 |
DisclosureSEC source: 0001213900-18-002176 · f4021618ellin_livexlivemedia.xml · nonDerivative · entry 2 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,900 Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 21:30 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 1,500 | $3.95 | $5,925.00 |
DisclosureSEC source: 0001213900-18-002176 · f4021618ellin_livexlivemedia.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,800 Read SEC document |
| February 15, 2018 Filed Feb 16, 2018 21:53 UTC | LiveOne, Inc. LIVX · Entity 7199 | PurchaseCommon Stock | 8,300 | $3.90 | $32,370.00 |
DisclosureSEC source: 0001213900-18-002041 · f4021518ellin_livexlive.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,300 Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 16:51 UTC | LiveOne, Inc. GRMS · Entity 7199 | PurchaseCommon Stock | 700,000 | $4.00 | $2,800,000.00 |
DisclosureSEC source: 0001213900-17-013748 · f4122717ellin_livexlive.xml · nonDerivative · entry 1 ELLIN ROBERT S · CIK 0001071292 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 17,700,505 F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. in the Issuer's underwritten Public Offering (as defined below) completed on December 27, 2017. F2 · ownership.nature: Includes (i) 6,161,020 shares of the Issuer's common stock (the "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) 1,085,591 shares of 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) 6,814,210 shares of 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, (continued to footnote 2) F3 · ownership.nature: (Continued from footnote 2) (iv) 1,213,210 shares of Common Stock owned by the Robert Ellin Profit Sharing Plan (the "Profit Sharing Plan"), as the Reporting Person, the trustee of the Profit Sharing Plan, is deemed to have sole voting and dispositive power over such shares, and (v) 1,726,474 shares of Common Stock issuable upon conversion of the Issuer's convertible notes held by Trinad Capital, which Trinad Capital shall have the right to convert at the conversion price of $4.00 per share upon the consummation of the Issuer's public offering (the "Public Offering") pursuant to the Issuer's Registration Statement on Form S-1, as amended (File No. 333-217893), including the preliminary prospectus contained therein, filed by the Issuer with the Securities and Exchange Commission (the "SEC") under the Securities Act of 1933, as amended, a free writing prospectus filed with the SEC on December 21, 2017 and a final prospectus dated December 22, 2017 (the "Public Offering"). 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 4,496,962 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. 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.