LiveOne (LVO) director settles 21,153 RSUs into stock, holding 278,680 shares

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

LiveOne, Inc. director Patrick D. Wachsberger exercised 21,153 restricted stock units into 21,153 shares of common stock. The RSUs converted on a one-for-one basis at an exercise price of $0.00 per share and were granted as director fees for service from October 1, 2024 to September 30, 2025.

After this settlement, Wachsberger directly holds 278,680 shares of LiveOne common stock. The filing reflects a compensation-related derivative exercise and share issuance, with no open-market purchase or sale involved.

Insider Trade Summary

21,153 shares exercised/converted

Mixed 2 txns

Insider Wachsberger Patrick D

Role Director

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units	21,153	$0.00	--
Exercise	Common Stock, $0.001 par value	21,153	$0.00	--

Holdings After Transaction: Restricted Stock Units — 0 shares (Direct); Common Stock, $0.001 par value — 278,680 shares (Direct)

Footnotes (1)

Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis. Represents vested Restricted Stock Units (the "RSUs") that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

Key Figures

RSUs exercised: 21,153 units Common shares issued: 21,153 shares Exercise price: $0.00 per share +2 more

5 metrics

RSUs exercised 21,153 units Restricted Stock Units converted on March 31, 2026

Common shares issued 21,153 shares Shares received upon RSU settlement, one-for-one basis

Exercise price $0.00 per share Conversion of RSUs into common stock

Shares held after transaction 278,680 shares Direct LiveOne common stock holdings after March 31, 2026

Director service period October 1, 2024–September 30, 2025 Period for which RSUs were granted as director fees

Key Terms

Restricted Stock Units, derivative security, director fees, common stock, $0.001 par value

4 terms

Restricted Stock Units financial

"Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

derivative security financial

"transaction_code_description: Exercise or conversion of derivative security"

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

director fees financial

"previously granted to the Reporting Person as director fees for service on the Issuer's board of directors"

common stock, $0.001 par value financial

"underlying_security_title: Common Stock, $0.001 par value"

Form 4 Insider Transactions: What Each Field Means →

04/02/2026 - 09:00 PM

SEC Form 4

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
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Wachsberger Patrick D

(Last)

(First)

(Middle)

C/O LIVEONE, INC.

269 SOUTH BEVERLY DRIVE, SUITE 1450

(Street)

BEVERLY HILLS

CALIFORNIA

90212

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
LiveOne, Inc. [ LVO ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/31/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, $0.001 par value	03/31/2026		M		21,153	A	⁽¹⁾	278,680	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽¹⁾	03/31/2026		M			21,153	⁽²⁾	⁽²⁾	Common Stock, $0.001 par value	21,153	$0	0	D

Explanation of Responses:

1. Restricted Stock Units convert into the Issuer's common stock on a one-for-one basis.

2. Represents vested Restricted Stock Units (the "RSUs") that were settled on the reported date, which RSUs were previously granted to the Reporting Person as director fees for service on the Issuer's board of directors for the period from October 1, 2024 to September 30, 2025. Each vested RSU was settled by the Issuer by delivery to the Reporting Person of one share of Issuer's common stock.

	/s/ Patrick Wachsberger	04/02/2026
	** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did LiveOne (LVO) director Patrick D. Wachsberger report in this Form 4?

Patrick D. Wachsberger reported exercising 21,153 restricted stock units into 21,153 shares of LiveOne common stock. This was a compensation-related conversion, not an open-market trade, reflecting settlement of previously granted RSUs for his board service.

How many LiveOne (LVO) shares did Wachsberger receive from the RSU settlement?

He received 21,153 shares of LiveOne common stock from settling 21,153 restricted stock units. Each RSU converted into one share, consistent with the one-for-one conversion terms disclosed in the filing’s footnotes.

What is Patrick Wachsberger’s LiveOne (LVO) shareholding after these transactions?

After the RSU settlement, Patrick Wachsberger directly holds 278,680 shares of LiveOne common stock. This figure reflects his position immediately following the March 31, 2026 derivative exercise and related common stock issuance.

Were the LiveOne (LVO) RSUs part of Patrick Wachsberger’s director compensation?

Yes. The RSUs were previously granted to Patrick Wachsberger as director fees for serving on LiveOne’s board from October 1, 2024 to September 30, 2025. Each vested RSU was settled in one share of common stock.

Did Patrick Wachsberger buy or sell LiveOne (LVO) shares on the open market?

No. The Form 4 shows an exercise of restricted stock units into common shares with an exercise price of $0.00. It does not report any open-market purchases or sales, only settlement of compensation-related RSUs.