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Liveperson Inc. — Director's Dealing 2023
Aug 16, 2023
6896_rns_2023-08-16_f47aba38-56c2-413f-b0b4-8a6c8007c4c3.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 | |
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| OMB Number: | 3235-0287 |
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| Collins John DeNeen | 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 |
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|---|---|---|---|---|---|---|---|---|
| (Last) C/O LIVEPERSON, INC. 530 7th Ave, Floor M1 |
(First) (Middle) |
3. Date of Earliest Transaction (Month/Day/Year) 08/11/2023 |
Officer (give title Other (specify X below) below) Interim CEO and CFO |
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| (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 |
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| (City) | (State) | (Zip) | Form filed by More than One Reporting Person | |||||
| Rule 10b5-1(c) Transaction Indication Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
| 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) |
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|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Reported Transaction(s) (Instr. 3 and 4) |
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| Common Stock | 08/11/2023 | A | (1) 150,104 |
A | \$0 | (2) 322,592 |
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) |
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| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Explanation of Responses:
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The reporting person was granted an award of restricted stock units under the terms of the LivePerson, Inc. 2019 Stock Incentive Plan consisting of a grant of 150,104 restricted stock units (the "RSUs"), each of which represents a contingent right to receive one share of common stock. Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these RSUs are scheduled to vest on August 11, 2024.
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The amount reported includes 294,354 unvested restricted stock units granted to and held by the reporting person as of the date hereof.
| /s/ Monica L. Greenberg, Attorney-in-Fact for John DeNeen Collins |
08/15/2023 |
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** 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.