Statement of Changes in Beneficial Ownership (4)
04 September 2020 - 12:48AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Isaac Jon |
2. Issuer Name and Ticker or Trading Symbol
LIVE VENTURES Inc
[
LIVE
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO and President |
(Last)
(First)
(Middle)
C/O LIVE VENTURES, INC., 325 EAST WARM SPRINGS ROAD, STE. 102 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/2/2020 |
(Street)
LAS VEGAS, NV 89119
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 9/2/2020 | | P | | 10082 | A | (1) | 1593221 (3) | D | |
Common Stock | 9/3/2020 | | P | | 10000 | A | (2) | 1603221 (3) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Purchase prices range from $8.80 to $9.20 for a weighted average purchase price of $9.05 per share. |
(2) | Purchase prices range from $9.20 to $9.36 for a weighted average purchase price of $9.29 per share. |
(3) | Includes (i) 158,333 shares of Series B Preferred Convertible Stock ("Series B Preferred Stock") and (ii) shares to purchase up to 118,029 shares of Series B Preferred Stock upon the exercise of warrants held by Isaac Capital Group, LLC, the sole member of which is Jon Isaac. The Series B Preferred 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. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Isaac Jon C/O LIVE VENTURES, INC. 325 EAST WARM SPRINGS ROAD, STE. 102 LAS VEGAS, NV 89119 | X | X | CEO and President |
|
Signatures
|
/s/ Jon Isaac | | 9/3/2020 |
**Signature of Reporting Person | Date |
Live Ventures (NASDAQ:LIVE)
Historical Stock Chart
From Apr 2024 to May 2024
Live Ventures (NASDAQ:LIVE)
Historical Stock Chart
From May 2023 to May 2024