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8-K Filing
Live Ventures (LIVE) 8-KOther Events
Filed: 2 Sep 11, 12:00am
Name of Beneficial Owner | Amount and Nature of Beneficial Ownership | Percentage of Class |
Sheryle Bolton (1) | - | - |
Richard D. Butler, Jr. (2) | 1,053 | * |
Thomas J. Clarke, Jr. (3) | 1,053 | * |
Kevin A. Hall (4) | - | - |
Greg A. LeClaire (5) | 1,053 | * |
Lawrence W. Tomsic (6) | 4,824 | * |
All named executive officers and directors as a group (6 persons) | 7,983 | 1.2% |
Joseph R. Huber (7) | 179,695 | 26.0% |
(1) | Ms. Bolton is a director of the Company. In connection with her service as a director, Ms. Bolton was granted 1,053 shares of restricted common stock of the Company, but as of the date of this Proxy Statement, such shares remain subject to forfeiture upon Ms. Bolton’s separation from service as a director. Such shares will fully vest on October 1, 2011. |
(2) | Mr. Butler is a director of the Company. |
(3) | Mr. Clarke is a director of the Company. |
(4) | Mr. Hall is the Company’s President and Chief Executive Officer. |
(5) | Mr. LeClaire is a director of the Company. |
(6) | Mr. Tomsic is the Company’s Chief Financial Officer. Amount represents stock options that are vested and exercisable or will become vested and exercisable within 60 days after September 1, 2011. |
(7) | According to a Schedule 13D (Amendment No. 6) filed by Mr. Huber on November 5, 2010, Mr. Huber beneficially owns 179,695 shares of common stock. Of the 179,695 shares, 178,360 shares are directly owned by JRH Investments, which is 100% owned and managed by Mr. Huber, 843 shares are beneficially owned by Mr. Huber through his IRA, and 492 shares are beneficially owned by Mr. Huber as the custodian of a custodial account for the benefit of his child. In addition, Mr. Huber’s spouse owns 588 shares of Common Stock, over which Mr. Huber disclaims beneficial ownership. Mr. Huber disclaims the existence of a “group” within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934. Mr. Huber’s business address is 10940 Wilshire Boulevard, Suite 925, Los Angeles, California 90024. |