Item 5. Other Information
ITEM 5. Other Information
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
Effective August 13, 2021, the Company and Michael J. Stein, the Company’s Senior Vice President & General Counsel , agreed to a mutual separation of Mr. Stein’s employment from all positions he held at the Company and its subsidiaries. The last day of Mr. Stein’s employment will be November 12, 2021, or such earlier date as mutually agreed by the Company and Mr. Stein.
38
ITEM 6. Exhibits
The following exhibits are filed with or incorporated by reference into this Quarterly Report.
Exhibit
Number
Exhibit Description
Form
File
Number
Exhibit
Number
Filing Date
3.1
Amended and Restated Articles of Incorporation
8-K
000-24217
3.1
08/15/07
3.2
Certificate of Change
8-K
001-333937
3.1
09/07/10
3.3
Certificate of Correction
8-K
001-333937
3.1
03/11/13
3.4
Certificate of Change
10-Q
001-333937
3.1
02/14/14
3.5
Articles of Merger
8-K
001-333937
3.1.4
10/08/15
3.6
Certificate of Change
8-K
001-333937
3.1.5
11/25/16
3.7
Certificate of Designation for Series B Convertible Preferred Stock filed with Secretary of State for the State of Nevada on December 23, 2016, and effective as of December 27, 2016
10-K
001-333937
3.1.6
12/29/16
3.8
Bylaws of Live Ventures Incorporated
10-Q
001-33937
3.8
08/14/18
10.1
Membership Interest Purchase Agreement, dated as of June 14, 2021 by and among Angia Holdings LLC, a New York limited liability company, Salomon Whitney LLC, d/b/a SW Financial, and SW Affiliated Holdings, LLC
8-K
001-33937
2.1
06/17/21
31.1
*
Certification of the President and Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2
*
Certification of the Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
32.1
*
Certification of the President and Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
32.2
*
Certification of the Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
101.INS
*
Inline XBRL Instance Document
101.SCH
*
Inline XBRL Taxonomy Extension Schema Document
101.CAL
*
Inline XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF
*
Inline XBRL Taxonomy Extension Definition Linkbase Document
101.LAB
*
Inline XBRL Taxonomy Extension Label Linkbase Document
101.PRE
*
Inline XBRL Taxonomy Extension Presentation Linkbase Document
104
Cover Page Interactive Data File (formatted in Inline XBRL and contained in Exhibit 101)
*
Filed herewith
39
SIGNAT URES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Live Ventures Incorporated
Dated: August 16, 2021
/s/ Jon Isaac
President and Chief Executive Officer
(Principal Executive Officer)
Dated: August 16, 2021
/s/ Virland A. Johnson
Chief Financial Officer
(Principal Financial Officer)
40
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.