Isaac Jon 4/A

Accession 0001209191-21-009658

CIK 0001045742other

View on SEC.gov Company Profile

Filed

Feb 10, 7:00 PM ET

Accepted

Feb 11, 4:17 PM ET

Size

41.0 KB

Accession

0001209191-21-009658

Insider Transaction Report

Form 4/AAmended

Period: 2021-01-28

LIVE VENTURES IncLIVE

Isaac John

DirectorPresident and CEO10% Owner

Transactions

Exercise/Conversion
Warrant (right to buy)
2021-01-28−12,383→ 1,383,515 total
Exercise: $24.30From: 2012-12-11Exp: 2021-12-11→ Series B Preferred Stock (12,383 underlying)
Exercise/Conversion
Warrant (right to buy)
2021-01-28−17,857→ 1,311,262 total
Exercise: $16.80From: 2013-03-28Exp: 2022-03-28→ Series B Preferred Stock (17,857 underlying)
Exercise/Conversion
Warrant (right to buy)
2021-01-28−22,479→ 1,288,783 total
Exercise: $28.50From: 2014-12-03Exp: 2021-12-03→ Series B Preferred Stock (22,479 underlying)
Exercise/Conversion
Series B Preferred Stock
2021-01-28+8,826→ 1,297,609 total
→ Common Stock (44,130 underlying)
Tax Payment
Series B Preferred Stock
2021-01-28−2,088→ 1,297,609 total
→ Common Stock (10,440 underlying)
Exercise/Conversion
Series B Preferred Stock
2021-01-28+10,363→ 1,349,424 total
→ Common Stock (51,815 underlying)
Tax Payment
Series B Preferred Stock
2021-01-28−2,020→ 1,349,424 total
→ Common Stock (10,100 underlying)
Tax Payment
Series B Preferred Stock
2021-01-28−6,061→ 1,591,099 total
→ Common Stock (30,305 underlying)
Exercise/Conversion
Series B Preferred Stock
2021-01-28+18,179→ 1,761,209 total
→ Common Stock (90,895 underlying)
Exercise/Conversion
Warrant (right to buy)
2021-01-28−10,914→ 1,395,898 total
Exercise: $28.50From: 2012-09-10Exp: 2021-09-10→ Series B Preferred Stock (10,914 underlying)
Exercise/Conversion
Warrant (right to buy)
2021-01-28−54,396→ 1,329,119 total
Exercise: $16.60From: 2013-03-27Exp: 2022-03-27→ Series B Preferred Stock (54,396 underlying)
Exercise/Conversion
Series B Preferred Stock
2021-01-28+48,335→ 1,591,099 total
→ Common Stock (241,675 underlying)
Exercise/Conversion
Series B Preferred Stock
2021-01-28+15,843→ 1,670,314 total
→ Common Stock (79,215 underlying)
Tax Payment
Series B Preferred Stock
2021-01-28−2,014→ 1,670,314 total
→ Common Stock (10,070 underlying)
Tax Payment
Series B Preferred Stock
2021-01-28−4,300→ 1,761,209 total
→ Common Stock (21,500 underlying)

Isaac Capital Group, LLC

10% Owner

Transactions

Exercise/Conversion
Warrant (right to buy)
2021-01-28−10,914→ 1,395,898 total
Exercise: $28.50From: 2012-09-10Exp: 2021-09-10→ Series B Preferred Stock (10,914 underlying)
Exercise/Conversion
Warrant (right to buy)
2021-01-28−12,383→ 1,383,515 total
Exercise: $24.30From: 2012-12-11Exp: 2021-12-11→ Series B Preferred Stock (12,383 underlying)
Exercise/Conversion
Warrant (right to buy)
2021-01-28−54,396→ 1,329,119 total
Exercise: $16.60From: 2013-03-27Exp: 2022-03-27→ Series B Preferred Stock (54,396 underlying)
Exercise/Conversion
Warrant (right to buy)
2021-01-28−17,857→ 1,311,262 total
Exercise: $16.80From: 2013-03-28Exp: 2022-03-28→ Series B Preferred Stock (17,857 underlying)
Exercise/Conversion
Warrant (right to buy)
2021-01-28−22,479→ 1,288,783 total
Exercise: $28.50From: 2014-12-03Exp: 2021-12-03→ Series B Preferred Stock (22,479 underlying)
Exercise/Conversion
Series B Preferred Stock
2021-01-28+8,826→ 1,297,609 total
→ Common Stock (44,130 underlying)
Tax Payment
Series B Preferred Stock
2021-01-28−2,088→ 1,297,609 total
→ Common Stock (10,440 underlying)
Exercise/Conversion
Series B Preferred Stock
2021-01-28+10,363→ 1,349,424 total
→ Common Stock (51,815 underlying)
Tax Payment
Series B Preferred Stock
2021-01-28−2,020→ 1,349,424 total
→ Common Stock (10,100 underlying)
Exercise/Conversion
Series B Preferred Stock
2021-01-28+48,335→ 1,591,099 total
→ Common Stock (241,675 underlying)
Tax Payment
Series B Preferred Stock
2021-01-28−6,061→ 1,591,099 total
→ Common Stock (30,305 underlying)
Exercise/Conversion
Series B Preferred Stock
2021-01-28+15,843→ 1,670,314 total
→ Common Stock (79,215 underlying)
Tax Payment
Series B Preferred Stock
2021-01-28−2,014→ 1,670,314 total
→ Common Stock (10,070 underlying)
Exercise/Conversion
Series B Preferred Stock
2021-01-28+18,179→ 1,761,209 total
→ Common Stock (90,895 underlying)
Tax Payment
Series B Preferred Stock
2021-01-28−4,300→ 1,761,209 total
→ Common Stock (21,500 underlying)

Footnotes (6)

[F1]The Series B Preferred Stock and the underlying shares of common stock are subject to a lock-up agreement with the issuer that expires on December 31, 2021.
[F2]Each share of Series B Preferred Stock currently converts into five shares of Live Ventures Incorporated common stock. The Series B Preferred Stock and the underlying shares of common stock are subject to a lock-up agreement with the issuer that expires on December 31, 2021.
[F3]On January 28, 2021, Isaac Capital Group (ICG) of which Jon Isaac is the sole member, exercised a warrant to purchase 10,914 shares of Series B Convertible Preferred Stock (Series B Preferred Stock) of Live Ventures Incorporated (Live Ventures) for $28.50 per share. ICG paid the exercise price on a cashless basis, resulting in Live Ventures withholding 2,088 of the warrant shares to pay the exercise price and issuing to ICG the remaining 8,826 shares. Live Ventures also paid $16.39 to ICG in lieu of a fractional share.
[F4]On January 28, 2021, Isaac Capital Group (ICG) of which Jon Isaac is the sole member, exercised a warrant to purchase 12,383 shares of Series B Convertible Preferred Stock (Series B Preferred Stock) of Live Ventures Incorporated (Live Ventures) for $24.30 per share. ICG paid the exercise price on a cashless basis, resulting in Live Ventures withholding 2,020 of the warrant shares to pay the exercise price and issuing to ICG the remaining 10,363 shares. Live Ventures also paid $67.05 to ICG in lieu of a fractional share.
[F5]On January 28, 2021, Isaac Capital Group (ICG) of which Jon Isaac is the sole member, exercised a warrant to purchase 54,396 shares of Series B Convertible Preferred Stock (Series B Preferred Stock) of Live Ventures Incorporated (Live Ventures) for $16.60 per share. ICG paid the exercise price on a cashless basis, resulting in Live Ventures withholding 6,061 of the warrant shares to pay the exercise price and issuing to ICG the remaining 48,335 shares. Live Ventures also paid $129.63 to ICG in lieu of a fractional share.
[F6]On January 28, 2021, Isaac Capital Group (ICG) of which Jon Isaac is the sole member, exercised a warrant to purchase 17,857 shares of Series B Convertible Preferred Stock (Series B Preferred Stock) of Live Ventures Incorporated (Live Ventures) for $16.80 per share. ICG paid the exercise price on a cashless basis, resulting in Live Ventures withholding 2,014 of the warrant shares to pay the exercise price and issuing to ICG the remaining 15,843 shares. Live Ventures also paid $144.53 to ICG in lieu of a fractional share.

Documents

1 file

4
doc4a.xml
FORM 4/A SUBMISSION

Issuer

LIVE VENTURES Inc

CIK 0001045742

→

Entity typeother

Related Parties

filerCIK 0001512469

Filing Metadata

Form type: 4/A
Filed: Feb 10, 7:00 PM ET
Accepted: Feb 11, 4:17 PM ET
Size: 41.0 KB

View on SEC.gov