AI assistant
Liveperson Inc. — Director's Dealing 2016
Dec 25, 2016
6896_rns_2016-12-25_6b2c3f6b-69c6-4843-98d0-bc7c27d13a9f.pdf
Director's Dealing
Open in viewerOpens in your device viewer
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
| OMB APPROVAL | |||||||
|---|---|---|---|---|---|---|---|
| OMB Number: | 3235-0287 | ||||||
| Expires: | _ | ||||||
| Estimated average burden | |||||||
| hours per response: | 0.5 |
| 1. Name and Address of Reporting Person* LOCASCIO ROBERT P |
2. Issuer Name and Ticker or Trading Symbol LIVEPERSON INC [ LPSN ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
||||
|---|---|---|---|---|---|---|
| (Last) (First) (Middle) C/O LIVEPERSON INC., 475 TENTH AVENUE, 5TH FLOOR |
3. Date of Earliest Transaction (Month/Day/Year) 12/21/2016 |
X Director 10% Owner Officer (give title Other (specify X below) below) Chief Executive Officer |
||||
| (Street) NEW YORK NY 10018 (City) (State) (Zip) |
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1. Title of Security (Instr. 3) | 2A. Deemed Execution Date, if any (Month/Day/Year) (Month/Day/Year) |
3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of Indirect Beneficial Ownership |
||||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Following Reported Transaction(s) (Instr. 3 and 4) |
(Instr. 4) | ||||
| Common Stock | 12/21/2016 | S | (1) 2,493 |
D | (2) \$8.05 |
84,627 | D | |||
| Common Stock | 4,686,983 | I | By Ikon, LP |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
and 5) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 |
Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Explanation of Responses:
-
Shares sold in order to cover the reporting person's tax liability incurred in connection with the vesting of the reporting person's restricted stock units on December 16, 2016.
-
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from \$8.013 to \$8.05, inclusive. The reporting person undertakes to provide to LivePerson, Inc., any security holder of LivePerson, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
/s/ Monica L. Greenberg, as attorney-in-fact 12/23/2016
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
| OMB APPROVAL | ||||||||
|---|---|---|---|---|---|---|---|---|
| OMB Number: 3235-0287 |
||||||||
| Expires: | _ | |||||||
| Estimated average burden | ||||||||
| hours per response: | 0.5 |
| 1. Name and Address of Reporting Person* Murphy Daniel Richard |
2. Issuer Name and Ticker or Trading Symbol LIVEPERSON INC [ LPSN ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
|||||
|---|---|---|---|---|---|---|---|
| (Last) (First) C/O LIVEPERSON, INC., 475 TENTH AVENUE, 5TH FLOOR |
(Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 12/21/2016 |
Director 10% Owner Officer (give title Other (specify X below) below) Chief Financial Officer |
||||
| (Street) NEW YORK NY 10018 (City) (State) (Zip) |
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date, if any (Month/Day/Year) |
3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Reported Transaction(s) (Instr. 3 and 4) |
|||||
| Common Stock | 12/21/2016 | S | (1) 2,236 |
D | (2) \$8.05 |
92,053 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Explanation of Responses:
-
Shares sold in order to cover the reporting person's tax liability incurred in connection with the vesting of the reporting person's restricted stock units on December 16, 2016.
-
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from \$8.005 to \$8.05, inclusive. The reporting person undertakes to provide to LivePerson, Inc., any security holder of LivePerson, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
/s/ Monica L. Greenberg, as attorney-in-fact 12/23/2016
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
| OMB APPROVAL | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|
| OMB Number: 3235-0287 |
|||||||||||
| Expires: _ |
|||||||||||
| Estimated average burden | |||||||||||
| hours per response: | 0.5 |
| Greenberg Monica L. | 1. Name and Address of Reporting Person* | LIVEPERSON INC [ LPSN ] | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner |
||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| (Last) C/O LIVEPERSON, INC., |
(First) 475 TENTH AVENUE, 5TH FLOOR |
(Middle) | 12/21/2016 | 3. Date of Earliest Transaction (Month/Day/Year) | Officer (give title X below) EVP, General Counsel |
Other (specify below) |
||||||
| (Street) NEW YORK |
NY | 10018 | 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person |
||||||||
| (City) | (State) | (Zip) | Form filed by More than One Reporting Person | |||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date, if any (Month/Day/Year) |
3. Transaction |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and |
5. Amount of Securities |
6. Ownership Form: Direct |
7. Nature of Indirect |
| Code (Instr. 8) |
5) | Beneficially Owned Following |
(D) or Indirect (I) (Instr. 4) |
Beneficial Ownership (Instr. 4) |
||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Reported Transaction(s) (Instr. 3 and 4) |
|||||
| Common Stock | 12/21/2016 | S | (1) 1,497 |
D | (2) \$8.05 |
50,772 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Explanation of Responses:
-
Shares sold in order to cover the reporting person's tax liability incurred in connection with the vesting of the reporting person's restricted stock units on December 16, 2016.
-
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from \$8.025 to \$8.05, inclusive. The reporting person undertakes to provide to LivePerson, Inc., any security holder of LivePerson, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
| OMB APPROVAL | ||||||||
|---|---|---|---|---|---|---|---|---|
| OMB Number: | 3235-0287 | |||||||
| Expires: | _ | |||||||
| Estimated average burden | ||||||||
| hours per response: | 0.5 |
| Dean Dustin | 1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol LIVEPERSON INC [ LPSN ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
||||
|---|---|---|---|---|---|---|---|
| (Last) C/O LIVEPERSON, INC., 475 TENTH AVENUE, 5TH FLOOR |
(First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 12/21/2016 |
Director 10% Owner Officer (give title Other (specify X below) below) EVP, Global Sales/Cust Success |
|||
| (Street) NEW YORK NY 10018 (City) (State) (Zip) |
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1. Title of Security (Instr. 3) | 2A. Deemed Execution Date, if any (Month/Day/Year) |
3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned |
6. Ownership Form: Direct (D) or Indirect (I) |
7. Nature of Indirect Beneficial Ownership |
||||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | Following Reported (A) or Price Transaction(s) (D) (Instr. 3 and 4) |
(Instr. 4) | (Instr. 4) | |||||
| Common Stock | 12/21/2016 | S | (1) 2,244 |
D | (2) \$8.05 |
76,157 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Explanation of Responses:
-
Shares sold in order to cover the reporting person's tax liability incurred in connection with the vesting of the reporting person's restricted stock units on December 16, 2016.
-
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from \$8.013 to \$8.05, inclusive. The reporting person undertakes to provide to LivePerson, Inc., any security holder of LivePerson, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
/s/ Monica L. Greenberg, as attorney-in-fact 12/23/2016
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
| OMB APPROVAL | |
|---|---|
| OMB Number: | 3235-0287 |
| Expires: | _ |
| Estimated average burden | |
| hours per response: | 0.5 |
| Carlough Daryl | 1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol LIVEPERSON INC [ LPSN ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner |
||||
|---|---|---|---|---|---|---|---|
| (Last) (First) (Middle) C/O LIVEPERSON, INC. 475 TENTH AVENUE, 5TH FLOOR |
3. Date of Earliest Transaction (Month/Day/Year) 12/21/2016 |
Officer (give title Other (specify X below) below) SVP, Global & Corp Controller |
|||||
| (Street) NEW YORK NY 10018 |
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person |
|||||
| (City) | (State) | (Zip) | Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date, if any (Month/Day/Year) |
3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Reported Transaction(s) (Instr. 3 and 4) |
|||||
| Common Stock | 12/21/2016 | S | (1) 450 |
D | (2) \$8.05 |
17,233 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
and 5) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 |
Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Explanation of Responses:
-
Shares sold in order to cover the reporting person's tax liability incurred in connection with the vesting of the reporting person's restricted stock units on December 16, 2016.
-
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from \$8.013 to \$8.05, inclusive. The reporting person undertakes to provide to LivePerson, Inc., any security holder of LivePerson, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
/s/ Monica L. Greenberg, as attorney-in-fact 12/23/2016
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.