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Liveperson Inc. — Director's Dealing 2016
Nov 29, 2016
6896_rns_2016-11-29_cbb30531-951d-4d4d-b927-c7a575cb3bd0.pdf
Director's Dealing
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SEC Form 4
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) X Director 10% Owner |
|||
|---|---|---|---|---|---|
| (Last) (First) (Middle) C/O LIVEPERSON INC., 475 TENTH AVENUE, 5TH FLOOR |
3. Date of Earliest Transaction (Month/Day/Year) 11/23/2016 |
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) | 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 |
6. Ownership Form: Direct (D) or Indirect (I) |
7. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Following Reported Transaction(s) (Instr. 3 and 4) |
(Instr. 4) | ||||
| Common Stock | 11/23/2016 | M | 55,000 | A | \$5.90 | 142,120 | D | |||
| Common Stock | 11/23/2016 | (1) F |
45,107 | D | \$8.50 | 97,013 | D | |||
| Common Stock | 11/23/2016 | D | 9,893 | (2) D |
\$8.50 | 87,120 | 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) |
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 |
| Stock Option (Right to Buy) |
\$5.90 | 11/23/2016 | M | 55,000 | (3) (4) | 01/30/2017 | Common Stock | 55,000 | \$0 | 0 | D | ||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| -------------------------------- | -------- | ------------ | -- | --- | -- | -- | -------- | --------- | ------------ | -------------- | -------- | ----- | --- | --- | -- |
Explanation of Responses:
-
The exercise price of the option and related tax withholding were satisfied by the Issuer's withholding shares otherwise deliverable upon exercise of the option.
-
These shares were repurchased by the Issuer pursuant to its stock buyback program. The repurchase price was the closing market price of the shares on the date of repurchase.
-
The option is fully vested and currently exercisable.
-
If not exercised, the option would have expired on 01/30/2017.
| /s/ Monica L. Greenberg, as attorney-in-fact |
11/28/2016 |
|---|---|
** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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) (First) (Middle) C/O LIVEPERSON, INC., 475 TENTH AVENUE, 5TH FLOOR |
3. Date of Earliest Transaction (Month/Day/Year) 11/23/2016 |
Director 10% Owner Officer (give title Other (specify X below) below) EVP, Global Sales/Cust Success |
|||||
| (Street) NEW YORK (City) |
NY (State) |
10018 (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 | 11/23/2016 | M | 11,000 | A | \$5.90 | 89,401 | D | |||
| Common Stock | 11/23/2016 | (1) F |
9,019 | D | \$8.50 | 80,382 | D | |||
| Common Stock | 11/23/2016 | D | 1,981 | (2) D |
\$8.50 | 78,401 | 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) |
6. Date 5. Number of Exercisable and Derivative Expiration Date Securities (Month/Day/Year) Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
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 |
||||||||
| Stock Option (Right to Buy) |
\$5.90 | 11/23/2016 | M | 11,000 | (3) (4) | 01/30/2017 | Common Stock | 11,000 | \$0 | 0 | D |
Explanation of Responses:
-
The exercise price of the option and related tax withholding were satisfied by the Issuer's withholding shares otherwise deliverable upon exercise of the option.
-
These shares were repurchased by the Issuer pursuant to its stock buyback program. The repurchase price was the closing market price of the shares on the date of repurchase.
-
The option is fully vested and currently exercisable.
-
If not exercised, the option would have expired on 01/30/2017.
/s/ Monica L. Greenberg, as attorney-in
fact 11/28/2016
** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
SEC Form 4
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* | 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) 11/23/2016 |
Director 10% Owner Officer (give title Other (specify X below) below) EVP, General Counsel |
|||||||
| (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 | 11/23/2016 | M | 25,000 | A | \$5.90 | 77,269 | D | |||
| Common Stock | 11/23/2016 | (1) F |
20,502 | D | \$8.50 | 56,767 | D | |||
| Common Stock | 11/23/2016 | D | 4,498 | (2) D |
\$8.50 | 52,269 | D |
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 3. Transaction 2. 1. Title of Derivative Date Conversion (Month/Day/Year) if any Security (Instr. 3) or Exercise Price of Derivative Security |
3A. Deemed Execution Date, (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 |
||||||||
| Stock Option (Right to Buy) |
\$5.90 | 11/23/2016 | M | 25,000 | (3) (4) | 01/30/2017 | Common Stock | 25,000 | \$0 | 0 | D |
Explanation of Responses:
-
The exercise price of the option and related tax withholding were satisfied by the Issuer's withholding shares otherwise deliverable upon exercise of the option.
-
These shares were repurchased by the Issuer pursuant to its stock buyback program. The repurchase price was the closing market price of the shares on the date of repurchase.
-
The option is fully vested and currently exercisable.
-
If not exercised, the option would have expired on 01/30/2017.
/s/ Monica L. Greenberg 11/28/2016
** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.