LiveOne, Inc. Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2025-05-23: Federal exemption Rule 506(b); Types of securities offered Equity; SecurityToBeAcquired; Convertible debentures convertible into shares of common stock; Date of first sale 2025-05-19; Total offering amount $27,775,000.
- 2020-09-22: Federal exemption Rule 506(b); Types of securities offered Equity; Debt; On September 15, 2020, the Issuer completed a private placement transaction in which the Issuer issued 8.5% Senior Secured Convertible Notes in the aggregate principal amount of $15.0 million and 800,000 shares of the Issuer's common stock.; Date of first sale 2020-09-15; Total offering amount $15,000,000.
- 2017-05-09: Federal exemption Rule 506(b); Types of securities offered Equity; Debt; OptionToAcquire; SecurityToBeAcquired; Certain investors and noteholders in the offering were issued additional warrants for conversion, extension and/or amendment of their securities issued by the issuer.; Date of first sale 2014-09-10; Total offering amount $8,878,577.
- 2015-08-07: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2015-07-23; Total offering amount $3,000,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
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| 2025-05-23 | Rule 506(b) | Equity; SecurityToBeAcquired; Convertible debentures convertible into shares of common stock | 2025-05-19 | $27,775,000 | $16,775,000 | $11,000,000 | 5 |
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| 2020-09-22 | Rule 506(b) | Equity; Debt; On September 15, 2020, the Issuer completed a private placement transaction in which the Issuer issued 8.5% Senior Secured Convertible Notes in the aggregate principal amount of $15.0 million and 800,000 shares of the Issuer's common stock. | 2020-09-15 | $15,000,000 | $15,000,000 | $0 | 2 |
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| 2017-05-09 | Rule 506(b) | Equity; Debt; OptionToAcquire; SecurityToBeAcquired; Certain investors and noteholders in the offering were issued additional warrants for conversion, extension and/or amendment of their securities issued by the issuer. | 2014-09-10 | $8,878,577 | $8,878,577 | $0 | 29 |
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| 2015-08-07 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2015-07-23 | $3,000,000 | $237,500 | $2,762,500 | 4 |
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