LIVE VENTURES Inc — Director's Dealing 2021

Jan 13, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: LIVE VENTURES Inc (LIVE)
CIK: 0001045742
Period of Report: 2021-01-11

Reporting Person: Stein Michael Jason (Sr. VP, General Counsel)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-09-05	Incentive Stock Option	$23.41	D	4000	Disposed	2027-09-05	Common Stock (4000)	Direct
2017-09-05	Incentive Stock Option	$27.60	D	4000	Disposed	2027-09-05	Common Stock (4000)	Direct
2017-09-05	Incentive Stock Option	$31.74	D	4000	Disposed	2027-09-05	Common Stock (4000)	Direct
2017-09-05	Incentive Stock Option	$36.50	D	4000	Disposed	2027-09-05	Common Stock (4000)	Direct
2017-09-05	Incentive Stock Option	$41.9762	D	4000	Disposed	2027-09-05	Common Stock (4000)	Direct
2017-09-05	Incentive Stock Option	$11.80	A	4000	Acquired	2027-09-05	Common Stock (4000)	Direct
2017-09-05	Incentive Stock Option	$11.80	A	4000	Acquired	2027-09-05	Common Stock (4000)	Direct
2017-09-05	Incentive Stock Option	$11.80	A	4000	Acquired	2027-09-05	Common Stock (4000)	Direct
2017-09-05	Incentive Stock Option	$12.98	A	4000	Acquired	2027-09-05	Common Stock (4000)	Direct
2017-09-05	Incentive Stock Option	$14.27	A	4000	Acquired	2027-09-05	Common Stock (4000)	Direct
2021-01-11	Non-Qualified Stock Option	$	A	5000	Acquired	2027-01-11	Common Stock (5000)	Direct

Footnotes

F1: The reported transaction involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on September 5, 2017 and provides for the vesting described in this Form 4. The exercise price of the "old" option was amended as described in this Form 4.

F2: The Reporting Person was granted an option to purchase 5000 shares of common stock, with a grant of 1250 shares deemed to be made on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021. The exercise price of each such option grant will be the closing price of the common stock on the Nasdaq Capital Market on March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021, respectively.

F3: The Reporting Person was granted an option to purchase 5000 shares of common stock, with a grant of 1250 shares deemed to be made on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021.

F4: The Reporting Person was granted an option to purchase 5000 shares of common stock, with a grant of 1250 shares deemed to be made on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021. Each grant of 1,250 shares vests on the one year anniversary of the date of its grant.