<SEC-DOCUMENT>0001213900-23-008720-index.html : 20230207 <SEC-HEADER>0001213900-23-008720.hdr.sgml : 20230207 <ACCEPTANCE-DATETIME>20230207080038 ACCESSION NUMBER: 0001213900-23-008720 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 16 CONFORMED PERIOD OF REPORT: 20230203 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant ITEM INFORMATION: Unregistered Sales of Equity Securities ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers ITEM INFORMATION: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20230207 DATE AS OF CHANGE: 20230207 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LiveOne, Inc. CENTRAL INDEX KEY: 0001491419 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 980657263 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-38249 FILM NUMBER: 23592812 BUSINESS ADDRESS: STREET 1: 9200 SUNSET BOULEVARD STREET 2: SUITE #1201 CITY: WEST HOLLYWOOD STATE: CA ZIP: 90069 BUSINESS PHONE: (310) 601-2505 MAIL ADDRESS: STREET 1: 9200 SUNSET BOULEVARD STREET 2: SUITE #1201 CITY: WEST HOLLYWOOD STATE: CA ZIP: 90069 FORMER COMPANY: FORMER CONFORMED NAME: LiveXLive Media, Inc. DATE OF NAME CHANGE: 20170808 FORMER COMPANY: FORMER CONFORMED NAME: LOTON, CORP DATE OF NAME CHANGE: 20100507 </SEC-HEADER> <DOCUMENT> <TYPE>8-K <SEQUENCE>1 <FILENAME>ea172780-8k_liveoneinc.htm <DESCRIPTION>CURRENT REPORT <TEXT> Document 1 - file: ea172780-8k_liveoneinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.1 <SEQUENCE>2 <FILENAME>ea172780ex4-1_liveoneinc.htm <DESCRIPTION>CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A PERPETUAL CONVERTIBLE PREFERRED STOCK OF THE COMPANY, DATED AS OF FEBRUARY 2, 2023 <TEXT> Document 2 - file: ea172780ex4-1_liveoneinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.1 <SEQUENCE>3 <FILENAME>ea172780ex10-1_liveoneinc.htm <DESCRIPTION>EXCHANGE AGREEMENT, DATED AS OF FEBRUARY 3, 2023, BETWEEN THE COMPANY AND HARVEST SMALL CAP PARTNERS, L.P <TEXT> Document 3 - file: ea172780ex10-1_liveoneinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.2 <SEQUENCE>4 <FILENAME>ea172780ex10-2_liveoneinc.htm <DESCRIPTION>EXCHANGE AGREEMENT, DATED AS OF FEBRUARY 3, 2023, BETWEEN THE COMPANY AND HARVEST SMALL CAP PARTNERS, LTD <TEXT> Document 4 - file: ea172780ex10-2_liveoneinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.3 <SEQUENCE>5 <FILENAME>ea172780ex10-3_liveoneinc.htm <DESCRIPTION>EXCHANGE AGREEMENT, DATED AS OF FEBRUARY 3, 2023, BETWEEN THE COMPANY AND TRINAD CAPITAL MASTER FUND LTD <TEXT> Document 5 - file: ea172780ex10-3_liveoneinc.htm
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