SEC Form 4 · accession 0001683168-17-001378
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
May 19, 2017
Accepted (ET)
May 23, 2017 · 12:51 pm EDT
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 StockF2,F1 | May 19, 2017 | P$0 | 6,500 | — | A | 1,489,298 | D | |
| Common StockF3,F1 | May 22, 2017 | P$0 | 2,030 | — | A | 1,491,328 | 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.
- F2Shares purchased with an average price of $10.8527 ($10.67 to $10.9584)
- F3Shares purchased with an average price of $10.4925 ($10.47 to $10.50)