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LIVE VENTURES Inc — Director's Dealing 2021
Feb 11, 2021
34508_dirs_2021-02-11_8ad3003a-0de5-4854-931a-56496133bd9e.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: LIVE VENTURES Inc (LIVE)
CIK: 0001045742
Period of Report: 2021-01-28
Reporting Person: Isaac Jon (Director, CEO and President, 10% Owner)
Reporting Person: Isaac Capital Group, LLC (10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-28 | Warrant (right to buy) | $28.50 | M | 10914 | Disposed | 2021-09-10 | Series B Preferred Stock (10914) | Direct |
| 2021-01-28 | Warrant (right to buy) | $24.30 | M | 12383 | Disposed | 2021-12-11 | Series B Preferred Stock (12383) | Direct |
| 2021-01-28 | Warrant (right to buy) | $16.60 | M | 54396 | Disposed | 2022-03-27 | Series B Preferred Stock (54396) | Direct |
| 2021-01-28 | Warrant (right to buy) | $16.80 | M | 17857 | Disposed | 2022-03-28 | Series B Preferred Stock (17857) | Direct |
| 2021-01-28 | Warrant (right to buy) | $28.50 | M | 22479 | Disposed | 2021-12-03 | Series B Preferred Stock (22479) | Direct |
| 2021-01-28 | Series B Preferred Stock | $ | M | 8826 | Acquired | Common Stock (44130) | Direct | |
| 2021-01-28 | Series B Preferred Stock | $ | F | 2088 | Disposed | Common Stock (10440) | Direct | |
| 2021-01-28 | Series B Preferred Stock | $ | M | 10363 | Acquired | Common Stock (51815) | Direct | |
| 2021-01-28 | Series B Preferred Stock | $ | F | 2020 | Disposed | Common Stock (10100) | Direct | |
| 2021-01-28 | Series B Preferred Stock | $ | M | 48335 | Acquired | Common Stock (241675) | Direct | |
| 2021-01-28 | Series B Preferred Stock | $ | F | 6061 | Disposed | Common Stock (30305) | Direct | |
| 2021-01-28 | Series B Preferred Stock | $ | M | 15843 | Acquired | Common Stock (79215) | Direct | |
| 2021-01-28 | Series B Preferred Stock | $ | F | 2014 | Disposed | Common Stock (10070) | Direct | |
| 2021-01-28 | Series B Preferred Stock | $ | M | 18179 | Acquired | Common Stock (90895) | Direct | |
| 2021-01-28 | Series B Preferred Stock | $ | F | 4300 | Disposed | Common Stock (21500) | Direct |
Footnotes
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.