SEC Form 4 · accession 0001683168-17-000030
LIVE VENTURES Inc · LIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jon Isaac
Officer — CEO and President · Director · 10% Owner
Period of report
Jan 6, 2017
Accepted (ET)
Jan 6, 2017 · 3:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001045742
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 6, 2017 | P | 118 | $18.58 | A | 1,465,121 | D | |
| Common StockF1 | Jan 6, 2017 | P | 2,000 | $18.63 | A | 1,467,121 | D | |
| Common StockF1 | Jan 6, 2017 | P | 1,500 | $18.67 | A | 1,468,621 | D | |
| Common StockF1 | Jan 6, 2017 | P | 200 | $18.64 | A | 1,468,821 | D | |
| Common StockF1 | Jan 6, 2017 | P | 1,200 | $18.64 | A | 1,470,021 | D | |
| Common StockF1 | Jan 6, 2017 | P | 2,025 | $18.77 | A | 1,472,046 | D | |
| Common StockF1 | Jan 6, 2017 | P | 5,000 | $18.54 | A | 1,477,046 | D | |
| Common StockF1 | Jan 6, 2017 | P | 562 | $18.41 | A | 1,477,608 | D | |
| Common StockF1 | Jan 6, 2017 | P | 1,190 | $18.50 | A | 1,478,798 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 158,333 shares of Series B Preferred Convertible Stock and warrants for the purchase of up to 118,029 shares of Series B Preferred Convertible Stock owner of record by Isaac Capital Group, LLC. The Series B Preferred Convertible Stock and the underlying shares of common stock (791,666 and 590,146 warrant shares) are subject to a lock-up agreement with the issuer that expires on December 31, 2021.