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Liveperson Inc. — Director's Dealing 2016
Jun 21, 2016
6896_rns_2016-06-21_702d1f7c-a402-47c0-befc-d957c66e3cc8.pdf
Director's Dealing
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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 |
| 1. Name and Address of Reporting Person* Carlough Daryl |
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) 06/16/2016 |
Officer (give title Other (specify X below) below) SVP, Global & Corp Controller |
||||
| (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 | 06/16/2016 | F | (1) 1,849 |
D | \$6.75 | 18,151 | 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:
- Represents shares withheld by the Issuer to satisfy the tax withholding obligation of the Reporting Person in connection with the vesting of certain restricted stock units on June 16, 2016. These shares were not sold by the Reporting Person, but were instead offset from the total number of vested shares received by the Reporting Person from the Issuer.
** 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.
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) Director 10% Owner |
||||
|---|---|---|---|---|---|---|---|
| (Last) C/O LIVEPERSON, INC., 475 TENTH AVENUE, 5TH FLOOR |
(First) (Middle) |
3. Date of Earliest Transaction (Month/Day/Year) 06/16/2016 |
Officer (give title Other (specify X below) below) EVP, Global Sales/Cust Success |
||||
| (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 Reported Transaction(s) (Instr. 3 and 4) |
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 | ||||||
| Common Stock | 06/16/2016 | F | (1) 9,270 |
D | \$6.75 | 80,730 | 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. 5. Number of Transaction Derivative Code (Instr. Securities 8) Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) and 4) |
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 |
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:
- Represents shares withheld by the Issuer to satisfy the tax withholding obligation of the Reporting Person in connection with the vesting of certain restricted stock units on June 16, 2016. These shares were not sold by the Reporting Person, but were instead offset from the total number of vested shares received by the Reporting Person from the Issuer.
** 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
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
| continue. See Instruction 1(b). | Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 | hours per response: | 0.5 | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1. Name and Address of Reporting Person* Greenberg Monica L. |
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) C/O LIVEPERSON, INC., 475 TENTH AVENUE, 5TH FLOOR |
Officer (give title X 3. Date of Earliest Transaction (Month/Day/Year) below) 06/16/2016 EVP, General Counsel |
Other (specify below) |
||||||||||||||||
| (Street) NEW YORK NY 10018 |
4. If Amendment, Date of Original Filed (Month/Day/Year) Line) X |
6. Individual or Joint/Group Filing (Check Applicable Form filed by One Reporting Person Form filed by More than One Reporting Person |
||||||||||||||||
| (City) | (State) | (Zip) | ||||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction 2A. Deemed Execution Date, Date if any (Month/Day/Year) (Month/Day/Year) |
3. Transaction Code (Instr. 5) 8) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and |
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 | 06/16/2016 | F | (1) 6,180 |
D | \$6.75 | 53,820 | D | |||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
||||||||||||||||||
| 3. Transaction 3A. Deemed 2. 1. Title of Derivative 4. Date Execution Date, Conversion (Month/Day/Year) if any Security (Instr. 3) Transaction or Exercise (Month/Day/Year) Price of Code (Instr. Derivative Security 8) Code |
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) |
|||||||||||
| V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Explanation of Responses:
- Represents shares withheld by the Issuer to satisfy the tax withholding obligation of the Reporting Person in connection with the vesting of certain restricted stock units on June 16, 2016. These shares were not sold by the Reporting Person, but were instead offset from the total number of vested shares received by the Reporting Person from the Issuer.
/s/ Monica L. Greenberg 06/20/2016
** Signature of Reporting Person Date
OMB APPROVAL OMB Number: 3235-0287
Expires: _ Estimated average burden
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* 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) 06/16/2016 |
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) | 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 |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Reported Transaction(s) (Instr. 3 and 4) |
(Instr. 4) | ||||
| Common Stock | 06/16/2016 | F | (1) 10,299 |
D | \$6.75 | 89,701 | 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 |
Explanation of Responses:
- Represents shares withheld by the Issuer to satisfy the tax withholding obligation of the Reporting Person in connection with the vesting of certain restricted stock units on June 16, 2016. These shares were not sold by the Reporting Person, but were instead offset from the total number of vested shares received by the Reporting Person from the Issuer.
/s/ Monica L. Greenberg, as attorney-in-fact 06/20/2016
** 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 |
| Murphy Daniel Richard | 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) 06/16/2016 |
Officer (give title Other (specify X below) below) Chief Financial Officer |
||||||
| (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) |
7. Nature of Indirect Beneficial Ownership |
|||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Reported Transaction(s) (Instr. 3 and 4) |
(Instr. 4) | (Instr. 4) | |||
| Common Stock | 06/16/2016 | F | (1) 9,243 |
D | \$6.75 | 96,607 | 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:
- Represents shares withheld by the Issuer to satisfy the tax withholding obligation of the Reporting Person in connection with the vesting of certain restricted stock units on June 16, 2016. These shares were not sold by the Reporting Person, but were instead offset from the total number of vested shares received by the Reporting Person from the Issuer.
/s/ Monica L. Greenberg, as attorney-in-fact 06/20/2016
** 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.