SEC Form 4 · accession 0001213900-19-000702
LiveOne, Inc. · LVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas D Schaer
Officer — Chief Operating Officer
Period of report
Jan 10, 2019
Accepted (ET)
Jan 14, 2019 · 9:02 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 StockF1,F2,F3 | Jan 10, 2019 | P | 8,334 | $3.00 | A | 175,001 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares reported herein were acquired by the Reporting Person in a private transaction from an unrelated third party.
- F2Includes 166,667 shares subject to certain vesting conditions as reported in the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on December 21, 2017.
- F3Represents shares held by the Schaer Family Trust UA 02/04/2008 (the "Trust"), as the Reporting Person, a trustee of the Trust, shares voting and dispositive power with his spouse over such shares. The Reporting Person disclaims beneficial ownership in such shares held by the Trust, except for his pecuniary interest therein.