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Liveperson Inc. — Director's Dealing 2018
May 22, 2018
6896_rns_2018-05-22_1c4b31bb-212c-4e7c-8d21-9804147589d0.pdf
Director's Dealing
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X
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* Vanounou Eran |
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) 05/14/2018 |
Director 10% Owner Officer (give title Other (specify X below) below) Chief Technology 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 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) | 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) |
7. Nature of Indirect Beneficial Ownership |
||||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Following Reported Transaction(s) (Instr. 3 and 4) |
(Instr. 4) | (Instr. 4) | |||
| Common Stock | 05/14/2018 | M | 100 | A | \$13.37 | 110,100 | D | |||
| Common Stock | 05/14/2018 | S | 100 | D | \$18.40 | 110,000 | 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 Stock Option (Right to Buy) \$13.37 05/14/2018 M 100 (1) 02/09/2024 Common Stock 100 \$13.37 49,900 D
- The option is fully vested and currently exercisable.
| /s/ Monica L. Greenberg, as attorney-in fact |
05/15/2018 |
|---|---|
** 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.
X
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* Vanounou Eran |
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) 05/15/2018 |
Officer (give title Other (specify X below) below) Chief Technology 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) |
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 | (A) or (D) |
Price | Following Reported Transaction(s) (Instr. 3 and 4) |
(Instr. 4) | (Instr. 4) | |||
| Common Stock | 05/15/2018 | M | 5,124 | A | \$13.37 | 115,124 | D | |||
| Common Stock | 05/15/2018 | S | 5,124 | D | \$18.25 | 110,000 | 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 Stock Option (Right to Buy) \$13.37 05/15/2018 M 5,124 (1) 02/09/2024 Common Stock 5,124 \$13.37 44,776 D
- The option is fully vested and currently exercisable.
| /s/ Monica L. Greenberg, as attorney-in fact |
05/16/2018 |
|---|---|
** 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.
X
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* Vanounou Eran |
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) 05/16/2018 |
Officer (give title Other (specify X below) below) Chief Technology Officer |
||||
| (Street) | 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) |
|||||
| NEW YORK | NY | 10018 | 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 | 05/16/2018 | M | 22,100 | A | \$13.37 | 132,100 | D | |||
| Common Stock | 05/16/2018 | S | 22,100 | D | \$18.23 (1) |
110,000 | 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 Stock Option (Right to Buy) \$13.37 05/16/2018 M 22,100 (2) 02/09/2024 Common Stock 22,100 \$13.37 22,676 D
-
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from \$18.15 to \$18.50, 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.
-
The option is fully vested and currently exercisable.
/s/ Monica L. Greenberg, as attorney-in fact 05/17/2018
** 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.
X
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 |
| Vanounou Eran | 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. |
(First) (Middle) 475 TENTH AVENUE, 5TH FLOOR |
3. Date of Earliest Transaction (Month/Day/Year) 05/17/2018 |
Officer (give title Other (specify X below) below) Chief Technology Officer |
||||||||
| (Street) | 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) |
|||||||||
| NEW YORK | NY | 10018 | 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) | 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) |
7. Nature of Indirect Beneficial Ownership |
||||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Following Reported Transaction(s) (Instr. 3 and 4) |
(Instr. 4) | (Instr. 4) | |||
| Common Stock | 05/17/2018 | M | 16,776 | A | \$13.37 | 126,776 | D | |||
| Common Stock | 05/17/2018 | S | 16,776 | D | \$18.49 (1) |
110,000 | 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 Stock Option (Right to Buy) \$13.37 05/17/2018 M 16,776 (2) 02/09/2024 Common Stock 16,776 \$13.37 5,900 D
-
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from \$18.45 to \$18.55, 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.
-
The option is fully vested and currently exercisable.
/s/ Monica L. Greenberg, as attorney-in fact 05/17/2018
** 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.