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Material updates from SEC filings (8-K, 10-Q, 10-K) ranked by impact, with no firehose noise.
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. Effective as of May 1, 2026 (the “Effective Date”), LiveOne, Inc. (the “Company”) appointed Craig Christensen as the Company’s Interim Chief Financial Officer, Interim Treasurer and Interim Secretary, to succeed Ryan Carhart, the former Vice President, Chief Financial Officer, Treasurer and Secretary of the Company, who notified the Company on Apri…
Entry into a Material Definitive Agreement. The information set forth in
Unregistered Sales of Equity Securities. The information set forth in
Entry into a Material Definitive Agreement. On April 17, 2026, LiveOne, Inc. (the “Company”), Slacker, Inc., the Company’s wholly owned subsidiary (“Slacker”), and Broadcast Music, LLC (“BMI”) entered into a Shares Issuance Agreement (the “Shares Issuance Agreement”) pursuant to which the Company agreed to issue to BMI or its designee 1,000,000 shares (the “Shares”) of its common stock, $0.001 par value per share (the “common stock”), at a deemed issued price of $7.50 per share. The Shares wi…
Entry into a Material Definitive Agreement. On March 3, 2026, LiveOne, Inc. (the “Company”), Slacker, Inc. (“Slacker”), the Company’s wholly owned subsidiary, and Music and Entertainment Rights Licensing Independent Network Limited (“Merlin”) entered into a Shares Issuance Agreement (the “Agreement”) pursuant to which the Company agreed to issue to Merlin 500,000 shares (the “Shares”) of its common stock, $0.001 par value per share (the “common stock”), at a deemed issued price of $7.50 per s…
Results of Operations and Financial Condition. On February 12, 2026, LiveOne, Inc. (the “Company”) issued a press release announcing its operating and financial highlights and results for the third quarter and nine months ended December 31, 2025. A copy of the press release is attached hereto as Exhibit 99.1. The information included herein and in Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or oth…
Results of Operations and Financial Condition. On February 5, 2026, LiveOne, Inc. (the “Company”) issued a press release announcing certain preliminary financial results for its fiscal quarter and nine months ended December 31, 2025. A copy of the press release is attached hereto as Exhibit 99.1. The Company is in the process of finalizing its results for its fiscal quarter ended December 31, 2025. Such press release contains certain estimated preliminary unaudited financial results for the f…
of this Current Report on Form 8-K, including Exhibit 99.1, shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Exchange Act or the Securities Act of 1933, as amended, except as shall be expressly set forth by reference in such a filing. The Company cautions you that the Corporate Prese…
Results of Operations and Financial Condition. On November 12, 2025, LiveOne, Inc. (the “Company”) issued a press release announcing its operating and financial highlights and results for the second quarter and six months ended September 30, 2025. A copy of the press release is attached hereto as Exhibit 99.1. The information included herein and in Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or ot…
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. As previously reported, on March 28, 2025, the staff (the “Staff”) of the Listing Qualifications Department of The Nasdaq Stock Market, LLC (“Nasdaq”) notified LiveOne, Inc. (the “Company”) that the listing of the Company’s shares of common stock, $0.001 par value per share (the “common stock”), was not in compliance with Nasdaq Listing Rule 5550(a)(2) as a result of the bid price of the Compa…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. (d) Effective as of September 5, 2025, the Board of Directors (the “Board”) of LiveOne, Inc. (the “Company”) appointed Jay Krigsman, current member of the Board, to the Audit Committee of the Board and as the Chairman of the Audit Committee. The Board determined that Mr. Krigsman is an “independent” director pursuant to the definition of independen…
Results of Operations and Financial Condition. On August 13, 2025, LiveOne, Inc. (the “Company”) issued a press release announcing its operating and financial highlights and results for the first quarter ended June 30, 2025. A copy of the press release is attached hereto as Exhibit 99.1. The information included herein and in Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the…
Simultaneously with the closing of the Offering, pursuant to the Underwriting Agreement, the Company agreed to issue to the Underwriter and/or its designees, the Underwriter’s Warrant to purchase up to 544,333 shares of common stock (representing 4% of the aggregate number of Shares), as a portion of the underwriting compensation payable to the Underwriter in connection with the Offering (which includes the exercise of the Underwriter’s Option). The Underwriter’s Warrant will be exercisable d…
Entry into a Material Definitive Agreement. On July 15, 2025, LiveOne, Inc. (the “Company” or “LiveOne”) entered into an underwriting agreement (the “Underwriting Agreement”) with Lucid Capital Markets, LLC (the “Underwriter”) pursuant to which the Company will issue and sell to the Underwriter 13,608,334 shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “common stock”), at an offering price of $0.75 per Share and which includes the grant to the Underwriter…
Unregistered Sales of Equity Securities. The information described under
Entry into a Material Definitive Agreement. On July 15, 2025 (the “Effective Date”), LiveOne, Inc. (the “Company”) entered into letter agreements (collectively, the “Agreements”) with (i) Harvest Small Cap Partners Master, Ltd. (“HSCPM”), (ii) Harvest Small Cap Partners, L.P. (“HSCP” and together with HSCPM, the “Harvest Funds”), and (iii) Trinad Capital Master Fund Ltd., a fund controlled by Mr. Ellin, the Company’s Chief Executive Officer, Chairman, director and principal stockholder (“Trin…
Results of Operations and Financial Condition. On June 18, 2025, LiveOne, Inc. (the “Company”) issued a press release announcing its operating and financial highlights and results for the fourth quarter and fiscal year ended March 31, 2025. A copy of the press release is attached hereto as Exhibit 99.1.
Termination of a Material Definitive Agreement. On May 22, 2025, the Company paid off all obligations owing under, and terminated, that certain Business Loan Agreement, dated as of January 28, 2025, between East West Bank and the Company, and all related loan agreements, in the aggregate outstanding amount equal to approximately $2.57 million. 2
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. The information regarding the Debentures set forth under
Entry into a Material Definitive Agreement. On May 19, 2025 (the “Closing Date”), LiveOne, Inc. (the “Company”), and PodcastOne, Inc. (“PodcastOne”), the Company’s majority owned subsidiary, entered into a Securities Purchase Agreement (the “SPA”) with certain institutional investors (each, a “Purchaser” and collectively, the “Purchasers”), pursuant to which (i) the Company sold to the Purchasers the Company’s Original Issue Discount Senior Secured Convertible Debentures (the “Initial Debentu…
in its entirety. The Company issued the Initial Debentures to the Purchasers in reliance on the exemption from registration provided for under Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”), and Rule 506 promulgated thereunder. The Company relied on this exemption from registration for private placements based in part on the representations made by the Purchasers, including representations with respect to each Purchaser’s status as an accredited investor, as…
Results of Operations and Financial Condition. On April 7, 2025, LiveOne, Inc. (the “Company”) issued a press release announcing certain preliminary financial results for its fiscal year ended March 31, 2025 and other Company updates. A copy of the press release is attached hereto as Exhibit 99.1. The Company is in the process of finalizing its results for its fiscal year ended March 31, 2025. Such press release contains certain estimated preliminary unaudited financial results for the fiscal…
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. On March 28, 2025, LiveOne, Inc. (the “Company”) received a notification letter from the Listing Qualifications Department of The Nasdaq Stock Market, LLC (“Nasdaq”) notifying the Company that, based on the closing bid price for the previous 30 consecutive business days, the listing of the Company’s shares of common stock was not in compliance with Nasdaq Listing Rule 5550(a)(2) to maintain a…
of this Current Report on Form 8-K, including Exhibit 99.1, shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Exchange Act or the Securities Act of 1933, as amended, except as shall be expressly set forth by reference in such a filing. The Company cautions you that the Corporate Prese…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. Effective as of February 19, 2025 (the “Effective Date”), LiveOne, Inc. (the “Company”) appointed Ryan Carhart, the Company’s current Vice President and Controller, as the Company’s Chief Financial Officer, Treasurer and Secretary, to succeed Aaron Sullivan, the former Executive Vice President, Chief Financial Officer, Treasurer and Secretary of th…
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