Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LiveOne, Inc.LVO · Entity 7199 | CFO, Controller & EVP | June 07, 2024 | June 13, 2024 |
| PodcastOne, Inc.PODC · Entity 6886 | CFO, Treas & Secr | January 24, 2024 | January 31, 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.
LiveOne, Inc.
Report date June 07, 2024 · Filed June 13, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 122,956 |
Ending reported balance
After 2024-06-07 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-06-07 · Exercise / conversion · Acquired 75,000 · Balance 150,356 F1: Restricted Stock Units convert into Common Stock on a one-for-one basis. Row 2 · 2024-06-07 · Other · Disposed 27,400 · Balance 122,956 F3: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-06-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-06-07 · Exercise / conversion · Disposed 75,000 · Balance 0 F1: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2: Represents 75,000 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of 75,000 RSUs granted to the Reporting Person on April 4, 2022. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted Stock Units convert into Common Stock on a one-for-one basis.
F2: Represents 75,000 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of 75,000 RSUs granted to the Reporting Person on April 4, 2022. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock.
F3: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request.
PodcastOne, Inc.
Report date January 24, 2024 · Filed January 31, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 100,000 |
Reported balance
After 2024-01-24 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-01-24 · Grant · Acquired 100,000 · Balance 100,000 F1: Represents Restricted Stock Units (the "RSUs") granted to the Reporting Person pursuant to the Employment Agreement, dated as of January 24, 2024 (the "EA"), entered into between the Reporting Person and LiveOne, Inc., the Issuer's parent ("LiveOne"). 50,000 of the RSUs shall vest during the first open trading window under the Issuer's Insider Trading Policy which occurs after October 1, 2024 (anticipated to be in November 2024) (the "Initial Vesting Date"), and the remaining RSUs shall vest thereafter in equal amounts of 12,500 RSUs on each successive quarterly anniversary of the Initial Vesting Date, with the last tranche to vest on October 1, 2025 (inclusive), (continued to Footnote 2) F2: (continued from Footnote 1) subject to the Reporting Person's continued employment with LiveOne through each applicable vesting date and subject to earlier full vesting upon a PodcastOne Change of Control (as defined in EA) or such other earlier vesting acceleration conditions as provided in the EA. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) promptly after the applicable vesting date, (ii) the date of a PodcastOne Change of Control and (iii) such other earlier settlement as provided in the EA. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Restricted Stock Units (the "RSUs") granted to the Reporting Person pursuant to the Employment Agreement, dated as of January 24, 2024 (the "EA"), entered into between the Reporting Person and LiveOne, Inc., the Issuer's parent ("LiveOne"). 50,000 of the RSUs shall vest during the first open trading window under the Issuer's Insider Trading Policy which occurs after October 1, 2024 (anticipated to be in November 2024) (the "Initial Vesting Date"), and the remaining RSUs shall vest thereafter in equal amounts of 12,500 RSUs on each successive quarterly anniversary of the Initial Vesting Date, with the last tranche to vest on October 1, 2025 (inclusive), (continued to Footnote 2)
F2: (continued from Footnote 1) subject to the Reporting Person's continued employment with LiveOne through each applicable vesting date and subject to earlier full vesting upon a PodcastOne Change of Control (as defined in EA) or such other earlier vesting acceleration conditions as provided in the EA. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) promptly after the applicable vesting date, (ii) the date of a PodcastOne Change of Control and (iii) such other earlier settlement as provided in the EA.
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 |
|---|---|---|---|---|---|---|
| June 07, 2024 Filed Jun 13, 2024 01:31 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-052214 · ownership.xml · derivative · entry 3 Sullivan Aaron · CIK 0001941801 · CFO, Controller & EVP 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · 75,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Represents 75,000 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of 75,000 RSUs granted to the Reporting Person on April 4, 2022. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. F2 · derivative.expiration_date: Represents 75,000 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of 75,000 RSUs granted to the Reporting Person on April 4, 2022. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. Read SEC document |
| June 07, 2024 Filed Jun 13, 2024 01:31 UTC | LiveOne, Inc. LVO · Entity 7199 | OtherCommon Stock, $0.001 par value | 27,400 | $1.70 | $46,610.14 |
DisclosureSEC source: 0001213900-24-052214 · ownership.xml · nonDerivative · entry 2 Sullivan Aaron · CIK 0001941801 · CFO, Controller & EVP 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 122,956 F3 · price: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. Read SEC document |
| June 07, 2024 Filed Jun 13, 2024 01:31 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 75,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-24-052214 · ownership.xml · nonDerivative · entry 1 Sullivan Aaron · CIK 0001941801 · CFO, Controller & EVP 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,356 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis. Read SEC document |
| January 24, 2024 Filed Jan 31, 2024 01:46 UTC | LiveOne, Inc. LVO · Entity 7199 | GrantRestricted Stock Units · Derivative | 350,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-008073 · ownership.xml · derivative · entry 1 Sullivan Aaron · CIK 0001941801 · CFO, EVP, Treas & Secr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock, $0.001 par value · 350,000 shares Expires not disclosed F1 · derivative.exercise_date: Represents Restricted Stock Units (the "RSUs") granted to the Reporting Person pursuant to the Employment Agreement, dated as of January 24, 2024 (the "EA"), entered into between the Reporting Person and the Issuer. 175,000 of the RSUs shall vest during the first open trading window under the Issuer's Insider Trading Policy which occurs after October 1, 2024 (anticipated to be in November 2024) (the "Initial Vesting Date"), and the remaining RSUs shall vest thereafter in equal amounts of 43,750 RSUs on each successive quarterly anniversary of the Initial Vesting Date, with the last tranche to vest on October 1, 2025 (inclusive), subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date (continued to Footnote 2) F2 · derivative.exercise_date: (continued from Footnote 1) and subject to earlier full vesting upon a Company Change of Control (as defined in the EA), or such other earlier vesting acceleration conditions as provided in the EA. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) promptly after the applicable vesting date, (ii) the date of a Company Change of Control, (iii) the date of the Reporting Person's death or Disability (as defined in the EA), and (iv) such other earlier settlement as provided in the EA. F1 · derivative.expiration_date: Represents Restricted Stock Units (the "RSUs") granted to the Reporting Person pursuant to the Employment Agreement, dated as of January 24, 2024 (the "EA"), entered into between the Reporting Person and the Issuer. 175,000 of the RSUs shall vest during the first open trading window under the Issuer's Insider Trading Policy which occurs after October 1, 2024 (anticipated to be in November 2024) (the "Initial Vesting Date"), and the remaining RSUs shall vest thereafter in equal amounts of 43,750 RSUs on each successive quarterly anniversary of the Initial Vesting Date, with the last tranche to vest on October 1, 2025 (inclusive), subject to the Reporting Person's continued employment with the Issuer through each applicable vesting date (continued to Footnote 2) F2 · derivative.expiration_date: (continued from Footnote 1) and subject to earlier full vesting upon a Company Change of Control (as defined in the EA), or such other earlier vesting acceleration conditions as provided in the EA. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) promptly after the applicable vesting date, (ii) the date of a Company Change of Control, (iii) the date of the Reporting Person's death or Disability (as defined in the EA), and (iv) such other earlier settlement as provided in the EA. Read SEC document |
| January 24, 2024 Filed Jan 31, 2024 01:56 UTC | PodcastOne, Inc. PODC · Entity 6886 | GrantRestricted Stock Units · Derivative | 100,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-008078 · ownership.xml · derivative · entry 1 Sullivan Aaron · CIK 0001941801 · CFO, Treas & Secr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock, $0.00001 par value · 100,000 shares Expires not disclosed F1 · derivative.exercise_date: Represents Restricted Stock Units (the "RSUs") granted to the Reporting Person pursuant to the Employment Agreement, dated as of January 24, 2024 (the "EA"), entered into between the Reporting Person and LiveOne, Inc., the Issuer's parent ("LiveOne"). 50,000 of the RSUs shall vest during the first open trading window under the Issuer's Insider Trading Policy which occurs after October 1, 2024 (anticipated to be in November 2024) (the "Initial Vesting Date"), and the remaining RSUs shall vest thereafter in equal amounts of 12,500 RSUs on each successive quarterly anniversary of the Initial Vesting Date, with the last tranche to vest on October 1, 2025 (inclusive), (continued to Footnote 2) F2 · derivative.exercise_date: (continued from Footnote 1) subject to the Reporting Person's continued employment with LiveOne through each applicable vesting date and subject to earlier full vesting upon a PodcastOne Change of Control (as defined in EA) or such other earlier vesting acceleration conditions as provided in the EA. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) promptly after the applicable vesting date, (ii) the date of a PodcastOne Change of Control and (iii) such other earlier settlement as provided in the EA. F1 · derivative.expiration_date: Represents Restricted Stock Units (the "RSUs") granted to the Reporting Person pursuant to the Employment Agreement, dated as of January 24, 2024 (the "EA"), entered into between the Reporting Person and LiveOne, Inc., the Issuer's parent ("LiveOne"). 50,000 of the RSUs shall vest during the first open trading window under the Issuer's Insider Trading Policy which occurs after October 1, 2024 (anticipated to be in November 2024) (the "Initial Vesting Date"), and the remaining RSUs shall vest thereafter in equal amounts of 12,500 RSUs on each successive quarterly anniversary of the Initial Vesting Date, with the last tranche to vest on October 1, 2025 (inclusive), (continued to Footnote 2) F2 · derivative.expiration_date: (continued from Footnote 1) subject to the Reporting Person's continued employment with LiveOne through each applicable vesting date and subject to earlier full vesting upon a PodcastOne Change of Control (as defined in EA) or such other earlier vesting acceleration conditions as provided in the EA. Each vested RSU shall be settled by delivery to the Reporting Person of one share of the Issuer's common stock on the first to occur of: (i) promptly after the applicable vesting date, (ii) the date of a PodcastOne Change of Control and (iii) such other earlier settlement as provided in the EA. Read SEC document |
| August 14, 2023 Filed Aug 18, 2023 23:30 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 6,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-069081 · ownership.xml · derivative · entry 3 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · 6,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of June 6, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. F2 · derivative.expiration_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of June 6, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. Read SEC document |
| August 14, 2023 Filed Aug 18, 2023 23:30 UTC | LiveOne, Inc. LVO · Entity 7199 | OtherCommon Stock, $0.001 par value | 2,709 | $1.81 | $4,903.29 |
DisclosureSEC source: 0001213900-23-069081 · ownership.xml · nonDerivative · entry 2 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,356 F3 · shares: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. F3 · price: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. Read SEC document |
| August 14, 2023 Filed Aug 18, 2023 23:30 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 6,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-069081 · ownership.xml · nonDerivative · entry 1 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,065 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis. Read SEC document |
| March 01, 2023 Filed Mar 7, 2023 02:00 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 6,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-017904 · ownership.xml · derivative · entry 3 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · 6,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. F2 · derivative.expiration_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. Read SEC document |
| March 01, 2023 Filed Mar 7, 2023 02:00 UTC | LiveOne, Inc. LVO · Entity 7199 | OtherCommon Stock, $0.001 par value | 2,630 | $1.09 | $2,866.70 |
DisclosureSEC source: 0001213900-23-017904 · ownership.xml · nonDerivative · entry 2 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,815 F3 · shares: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. F3 · price: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. Read SEC document |
| March 01, 2023 Filed Mar 7, 2023 02:00 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 6,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-017904 · ownership.xml · nonDerivative · entry 1 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,445 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis. Read SEC document |
| December 01, 2022 Filed Dec 6, 2022 01:30 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 6,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-077745 · ownership.xml · derivative · entry 3 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,250 Underlying: Common Stock, $0.001 par value · 6,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on September 9, 2022. F2 · derivative.expiration_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019, as amended. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on September 9, 2022. Read SEC document |
| December 01, 2022 Filed Dec 6, 2022 01:30 UTC | LiveOne, Inc. LVO · Entity 7199 | OtherCommon Stock, $0.001 par value | 2,346 | $0.65 | $1,524.90 |
DisclosureSEC source: 0001213900-22-077745 · ownership.xml · nonDerivative · entry 2 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,195 F3 · shares: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. F3 · price: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. Read SEC document |
| December 01, 2022 Filed Dec 6, 2022 01:30 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 6,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-077745 · ownership.xml · nonDerivative · entry 1 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,541 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis. Read SEC document |
| November 15, 2022 Filed Nov 18, 2022 01:31 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-073600 · ownership.xml · derivative · entry 3 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · 12,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Represents 12,500 vested Restricted Stock Units ("RSUs") that were settled on the reported date granted to the Reporting Person pursuant to Amendment No. 1 to his employment agreement, dated as of October 25, 2020 and effective as October 1, 2020. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. F2 · derivative.expiration_date: Represents 12,500 vested Restricted Stock Units ("RSUs") that were settled on the reported date granted to the Reporting Person pursuant to Amendment No. 1 to his employment agreement, dated as of October 25, 2020 and effective as October 1, 2020. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. Read SEC document |
| November 15, 2022 Filed Nov 18, 2022 01:31 UTC | LiveOne, Inc. LVO · Entity 7199 | OtherCommon Stock, $0.001 par value | 4,782 | $0.74 | $3,538.68 |
DisclosureSEC source: 0001213900-22-073600 · ownership.xml · nonDerivative · entry 2 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,291 F3 · shares: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. F3 · price: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. Read SEC document |
| November 15, 2022 Filed Nov 18, 2022 01:31 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 12,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-073600 · ownership.xml · nonDerivative · entry 1 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,073 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis. Read SEC document |
| September 01, 2022 Filed Sep 10, 2022 00:30 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 6,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-055173 · ownership.xml · derivative · entry 3 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,250 Underlying: Common Stock, $0.001 par value · 6,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on August 16, 2022. F2 · derivative.expiration_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on August 16, 2022. Read SEC document |
| September 01, 2022 Filed Sep 10, 2022 00:30 UTC | LiveOne, Inc. LVO · Entity 7199 | OtherCommon Stock, $0.001 par value | 2,122 | $0.98 | $2,079.56 |
DisclosureSEC source: 0001213900-22-055173 · ownership.xml · nonDerivative · entry 2 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,573 F3 · shares: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. F3 · price: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. Read SEC document |
| September 01, 2022 Filed Sep 10, 2022 00:30 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 6,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-055173 · ownership.xml · nonDerivative · entry 1 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,695 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis. Read SEC document |
| August 15, 2022 Filed Aug 19, 2022 00:14 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionRestricted Stock Units · Derivative | 6,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-049467 · ownership.xml · derivative · entry 3 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock, $0.001 par value · 6,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019 (the "Employment Agreement"). Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on August 16, 2022. F2 · derivative.expiration_date: Represents 6,250 vested Restricted Stock Units ("RSUs") that were settled on the reported date out of the original 100,000 RSUs granted to the Reporting Person pursuant to his employment agreement, dated as of March 26, 2019 (the "Employment Agreement"). Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock. The remaining unvested RSUs shall vest as previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on August 16, 2022. Read SEC document |
| August 15, 2022 Filed Aug 19, 2022 00:14 UTC | LiveOne, Inc. LVO · Entity 7199 | OtherCommon Stock, $0.001 par value | 3,037 | $1.05 | $3,188.85 |
DisclosureSEC source: 0001213900-22-049467 · ownership.xml · nonDerivative · entry 2 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,408 F3 · shares: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. F3 · price: On the reported date these shares were sold by Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs reported herein. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request. Read SEC document |
| August 15, 2022 Filed Aug 19, 2022 00:14 UTC | LiveOne, Inc. LVO · Entity 7199 | Exercise / conversionCommon Stock, $0.001 par value | 6,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-049467 · ownership.xml · nonDerivative · entry 1 Sullivan Aaron · CIK 0001941801 · Interim CFO, Controller & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,445 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units convert into Common Stock on a one-for-one basis. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.