SEC Form 3 · accession 0001213900-17-013571
LiveOne, Inc. · LVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maile M. Moore
10% Owner
Period of report
Dec 21, 2017
Accepted (ET)
Dec 21, 2017 · 9:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001491419
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par value | holding | — | — | — | 670,340 | D | ||
| Common Stock, $0.001 par valueF1,F2 | holding | — | — | — | 4,651,394 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents (i) 1,261,738 shares of the Issuer's common stock (the "Common Stock") owned by the Robert and Nancy Ellin Family Foundation (the "Foundation"), as the Reporting Person, the trustee of the Foundation, is deemed to have sole voting and dispositive power over such shares, and (ii) 3,235,224 shares of Common Stock owned by the Robert Ellin Family Trust (the "Trust"), as the Reporting Person, the trustee of the Trust, holds voting and dispositive power over such shares. Accordingly, securities owned by the Foundation and the Trust may be regarded as being beneficially owned by the Reporting Person.
- F2The Reporting Person disclaims beneficial ownership of the reported securities except for the (i) 670,340 shares of Common Stock directly beneficially owned by the Reporting person and (ii) the Reporting Person's indirect interest by virtue of being a beneficiary of the Foundation or the Trust. 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.