LiveOne, Inc. — Director's Dealing 2022

Nov 18, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: LiveOne, Inc. (LVO)
CIK: 0001491419
Period of Report: 2022-11-15

Reporting Person: Sullivan Aaron (Interim CFO, Controller & EVP)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-11-15	Common Stock, $0.001 par value	M	12500	—	Acquired	69073	Direct
2022-11-15	Common Stock, $0.001 par value	J	4782	$0.74	Disposed	64291	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-11-15	Restricted Stock Units	$	M	12500	Disposed		Common Stock, $0.001 par value (12500)	Direct

Footnotes

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

F2: Represents 12,500 vested Restricted Stock Units ("RSUs") that were settled on the reported date granted to the Reporting Person pursuant to Amendment No. 1 to his employment agreement, dated as of October 25, 2020 and effective as October 1, 2020. Each vested RSU was settled by Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

F3: On the reported date these shares were sold by 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 reported herein. 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.