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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock | $ 25.95 | 02/21/2019 | A | 116,410 | (3) | 02/21/2029 | Common Stock | 116,410 | $ 0 | 116,410 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LOCASCIO ROBERT P C/O LIVEPERSON INC., 475 TENTH AVENUE, 5TH FLOOR NEW YORK, NY 10018 |
X | Chief Executive Officer |
/s/ Monica L. Greenberg, Attorney-in-Fact | 02/25/2019 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The reporting person was granted two awards of restricted stock units under the terms of the LivePerson, Inc. 2009 Stock Incentive Plan consisting of (i) a grant of 35,366 restricted stock units, and (ii) a grant of 48,170 restricted stock units, each of which represents a contingent right to receive one share of common stock. Both restricted stock unit awards vest in equal installments on each of February 21, 2020, 2021 and 2022, subject to the reporting person's employment through each such vesting date. |
(2) | Number reported includes 262,702 unvested restricted stock units granted to and held by the reporting person following the transactions reported by this filing. |
(3) | This stock option, granted under the terms of the LivePerson, Inc. 2009 Stock Incentive Plan, is scheduled to vest in equal installments on each of February 21, 2020, 2021 and 2022, subject to the reporting person's employment through each such vesting date. |