Statement of Changes in Beneficial Ownership (4)
August 20 2021 - 4:26PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
CLEVENGER S GREGORY |
2. Issuer Name and Ticker or Trading Symbol
LiveVox Holdings, Inc.
[
LVOX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP and CFO |
(Last)
(First)
(Middle)
655 MONTGOMERY STREET, SUITE 1000 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/18/2021 |
(Street)
SAN FRANCISCO, CA 94111
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 8/18/2021 | | A | | 80625 (1)(2) | A | $0.00 | 90625 | D | |
Common Stock | 8/18/2021 | | A | | 161250 (1)(3) | A | $0.00 | 251875 | D | |
Common Stock | 8/18/2021 | | A | | 80625 (1)(4) | A | $0.00 | 332500 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Explanation of Responses: |
(1) | Each restricted stock unit ("RSU") and performance stock unit ("PSU") represents a contingent right to receive one share of Common Stock of LiveVox Holdings, Inc. |
(2) | The reported securities are RSUs subject to service vesting, 25% at 6/21/22 and 6.25% quarterly thereafter, with full vesting by 6/21/25. |
(3) | The reported securities are PSUs divided into two equal Performance Tranches, with the PSUs subject to each Performance Tranche vesting if, for any 20 trading days out of 30 consecutive trading days beginning after the grant date, the per share volume-weighted average price (the "VWAP") over such period is greater than the applicable VWAP hurdle. The VWAP hurdles are $15.00 and $17.50, respectively. |
(4) | The reported securities are PSUs that are subject to both service and performance vesting. The PSUs will service vest 25% at 6/21/22 and 6.25% quarterly thereafter, with full vesting by 6/21/25. In addition, the PSUs are divided into three equal performance tranches with performance vesting to occur if, for any 20 trading days out of 30 consecutive trading days beginning after the grant date, the per share VWAP is greater than the applicable VWAP hurdle. The VWAP hurdles for the first, second and third performance tranches are $12.50, $15.00 and $17.50, respectively. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CLEVENGER S GREGORY 655 MONTGOMERY STREET SUITE 1000 SAN FRANCISCO, CA 94111 |
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| EVP and CFO |
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Signatures
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Mark Mallah, by Power of Attorney for S. Gregory Clevenger | | 8/20/2021 |
**Signature of Reporting Person | Date |
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