LiveOne, Inc. — Director's Dealing 2021

Dec 9, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: LiveOne, Inc. (LVO)
CIK: 0001491419
Period of Report: 2021-11-30

Reporting Person: QUARTIERI MICHAEL (CFO, EVP & Secretary)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-30	Common Stock, $0.001 par value	M	250000	—	Acquired	269255	Direct
2021-12-06	Common Stock, $0.001 par value	J	66078	$1.7038	Disposed	203177	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-30	Restricted Stock Units	$	M	250000	Disposed		Common Stock, $0.001 par value (250000)	Direct

Footnotes

F1: Restricted Stock Units convert into Common Stock on a one-for-one basis.

F2: These Restricted Stock Units (the "RSUs") were granted pursuant to the Reporting Person's Employment Agreement, dated as of November 16, 2020 (the "EA"), and collectively represent the first portion of the unvested RSUs that vested as of November 2021. Each vested RSU was settled by the Issuer on the reported date by delivery to the Reporting Person of one share of the Issuer's common stock. The remaining restricted stock units granted pursuant to the EA vest as provided therein and previously reported on the Reporting Person's Form 3 filed with the U.S. Securities and Exchange Commission on December 7, 2020.

F3: On the reported date these shares were sold by the Issuer's broker into the open market solely to satisfy the Reporting Person's required tax withholding in connection with the settlement of the RSUs as reported in this footnote. The sale price represents a weighted average price as multiple executions were involved in completing the sale transaction. Additional detail regarding the individual execution prices is available upon request.