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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 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 | ||||||||
Phantom Shares | (1) | 11/02/2021 | A | 0 (1) | (1) | (1) | Class A Common Stock | 115,570.357 (1) (2) | $ 0 | 1 (1) | I | See Footnote (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MALLAH MARK EDWARD 655 MONTGOMERY STREET SUITE 1000 SAN FRANCISCO, CA 94111 |
General Counsel |
S. Gregory Clevenger, as Power of Attorney, for Mark E. Mallah | 11/04/2021 | |
**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 reported security represents interests in shares of Class A Common Stock beneficially held by LiveVox TopCo LLC which, at the discretion of the manager of LiveVox TopCo LLC, entitle the reporting person to a pro rata portion of any distribution made by LiveVox TopCo LLC. As a result of the post-closing adjustment issuance of additional shares to LiveVox TopCo LLC, the reporting person acquired an indirect interest in an additional 54.196 shares of Class A Common Stock. |
(2) | The reported security includes interests in shares of Class A Common Stock beneficially held by LiveVox TopCo, LLC that are subject to specified vesting conditions. |