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 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol LIVEPERSON INC [ LPSN ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 11/05/2021 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) 11/10/2021 | 6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 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) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock(1) | 11/05/2021 | D | 6,069 | D | $48.82(2) | 40,033(3) | D | |||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy) | $40.61 | 11/05/2021 | D | 17,970 | 10/29/2020(4) | 10/29/2029 | Common Stock | 17,970 | $48.82(2) | 27,818 | D | ||||
| Stock Option (Right to Buy) | $27.39 | 11/05/2021 | D | 12,374 | (4) | 04/16/2030 | Common Stock | 12,374 | $48.82(2) | 37,126 | D | ||||
| Explanation of Responses: |
| 1. On November 10, 2021, the reporting person filed a Form 4 which, due to an administrative error, inadvertently misstated the transaction date of the restricted stock unit ("RSU Shares") and option repurchases reported herein (as described below) as occurring on November 8, 2021 rather than November 5, 2021 and also mistakenly omitted reporting the RSU Share portion of the transaction. This amended report is being filed to correct this information. The total net proceeds received by Mr. Collins as reported in footnote 2 below remains unchanged from the amount reported in the original Form 4 filed on November 10, 2021. |
| 2. The RSU Shares and options were repurchased by issuer on November 5, 2021 by mutual agreement of the reporting person and the issuer. The reporting person received $504,190.04 as net consideration for the repurchase, which represents the total sale price, less the exercise price for each option and applicable taxes. |
| 3. The amount reported includes 32,562 unvested restricted stock units held by the reporting person as of the date hereof. |
| 4. These options are fully vested as of the date hereof. |
| Remarks: |
| /s/ Monica L. Greenberg, Attorney-in-Fact for John DeNeen Collins | 11/18/2021 | |
| ** 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. | ||