SoundHound CFO awarded 1M RSUs, merger shares

SOUN’s chief financial officer received merger-related shares and a 1,000,000-unit RSU grant vesting monthly over four years.

Available on EDGAR 09/09/2026 - 05:39 PM EDT Accepted by SEC EDGAR 09/09/2026 - 05:39 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

SOUNDHOUND AI, INC. (SOUN) reported that Chief Financial Officer John DeNeen Collins acquired company equity on September 4, 2026. He received 50,573 shares of Class A common stock through conversion of his LivePerson equity in connection with the completed LivePerson merger, and was also granted 1,000,000 restricted stock units that vest in 48 equal monthly installments from the grant date.

Insider Trade Summary

Grant/Award: 1,050,573 shares

Grant/Award 2 txns

Insider Collins John DeNeen

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Class A Common Stock F1, F2	50,573	--	--
Grant/Award	Class A Common Stock F3	1,000,000	$0.00	$0.00

Holdings After Transaction: Class A Common Stock — 1,050,573 shares (Direct)

Footnotes (3)

1. F1. Pursuant to that Amended and Restated Merger Agreement, dated July 2, 2026 (as it may be amended from time to time, the "Merger Agreement") by and among LivePerson, Inc. ("LivePerson"), the Issuer, Lightspeed Merger Sub Inc., an indirect wholly owned subsidiary of the Issuer ("Merger Sub I") and Lightspeed Merger Sub II Inc., an indirect wholly owned subsidiary of the Issuer ("Merger Sub II"), Merger Sub I merged with and into LivePerson, with LivePerson continuing as the surviving corporation and becoming an indirect, wholly owned subsidiary of the Issuer (the "First Merger") and immediately following the First Merger, a merger of Merger Sub II with and into the surviving corporation with LivePerson continuing as the surviving corporation and becoming an indirect, wholly owned subsidiary of the Issuer (the "Second Merger").
2. F2. Pursuant to the Merger Agreement, the Reporting Person's LivePerson common stock and restricted stock units converted into the Issuer's Class A common stock and restricted stock units, respectively, according to the terms of the Merger Agreement.
3. F3. Represents a grant of restricted stock units. These restricted stock units vest in 48 equal monthly installments commencing on grant.

Key Figures

Shares acquired via merger conversion: 50,573 shares Restricted stock units granted: 1,000,000 units RSU vesting schedule: 48 monthly installments +2 more

5 metrics

Shares acquired via merger conversion 50,573 shares Class A Common Stock received by CFO on September 4, 2026 under the LivePerson Merger Agreement

Restricted stock units granted 1,000,000 units RSU grant to CFO on September 4, 2026

RSU vesting schedule 48 monthly installments RSUs vest in 48 equal monthly installments commencing on grant

RSU grant price per unit $0.0000 per unit Reported per-share amount for 1,000,000 RSUs granted to CFO

Number of acquire-type transactions 2 transactions Form 4 reports two non-derivative acquisition transactions for the CFO

Key Terms

restricted stock units, Amended and Restated Merger Agreement, surviving corporation, indirect, wholly owned subsidiary

4 terms

restricted stock units financial

"Represents a grant of restricted stock units. These restricted stock units vest"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Amended and Restated Merger Agreement regulatory

"Pursuant to that Amended and Restated Merger Agreement, dated July 2, 2026"

surviving corporation financial

"with LivePerson continuing as the surviving corporation and becoming an indirect"

The surviving corporation is the company entity that continues to exist after a merger, consolidation, or similar reorganization; it absorbs the assets, liabilities, contracts, and business of the combining firms and remains on the legal books while the other entities cease to exist. For investors, it matters because ownership, shareholder rights, outstanding securities, and regulatory or listing obligations move into that single continuing company—think of it as the ship that all passengers board after two boats are joined together.

indirect, wholly owned subsidiary financial

"LivePerson continuing as the surviving corporation and becoming an indirect, wholly owned subsidiary"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did SOUN’s CFO report on this Form 4?

The CFO, John DeNeen Collins, reported acquiring 50,573 shares of Class A common stock via conversion of LivePerson equity and receiving a grant of 1,000,000 restricted stock units on September 4, 2026.

How many SOUN restricted stock units were granted to the CFO?

John DeNeen Collins was granted 1,000,000 restricted stock units of SoundHound AI, Inc. These RSUs vest in 48 equal monthly installments beginning on the grant date.

How did the SOUN CFO receive the 50,573 Class A shares?

The 50,573 shares of SOUN Class A common stock reflect the CFO’s LivePerson common stock and restricted stock units converting into SoundHound equity under the Amended and Restated Merger Agreement with LivePerson, Lightspeed Merger Sub I and II.

Was there a purchase price for the 1,000,000 SOUN RSUs granted to the CFO?

The 1,000,000 restricted stock units reported for the SOUN CFO show a per-share value of $0.0000, reflecting that this is a stock-based compensation award rather than a market purchase.

Were the SOUN CFO’s reported transactions under a Rule 10b5-1 trading plan?

No. The filing indicates no Rule 10b5-1 trading plan was affirmed for these transactions involving the SOUN CFO’s equity awards and merger-related share conversion.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Collins John DeNeen

(Last) (First) (Middle)

C/O SOUNDHOUND AI, INC.

5400 BETSY ROSS DR

(Street)

SANTA CLARA CALIFORNIA 95054

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
SOUNDHOUND AI, INC. [ SOUN ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/04/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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
Class A Common Stock	09/04/2026		A		50,573	A	(1)(2)	50,573	D
Class A Common Stock	09/04/2026		A		1,000,000(3)	A	$0.00	1,050,573	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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

Explanation of Responses:

1. Pursuant to that Amended and Restated Merger Agreement, dated July 2, 2026 (as it may be amended from time to time, the "Merger Agreement") by and among LivePerson, Inc. ("LivePerson"), the Issuer, Lightspeed Merger Sub Inc., an indirect wholly owned subsidiary of the Issuer ("Merger Sub I") and Lightspeed Merger Sub II Inc., an indirect wholly owned subsidiary of the Issuer ("Merger Sub II"), Merger Sub I merged with and into LivePerson, with LivePerson continuing as the surviving corporation and becoming an indirect, wholly owned subsidiary of the Issuer (the "First Merger") and immediately following the First Merger, a merger of Merger Sub II with and into the surviving corporation with LivePerson continuing as the surviving corporation and becoming an indirect, wholly owned subsidiary of the Issuer (the "Second Merger").

2. Pursuant to the Merger Agreement, the Reporting Person's LivePerson common stock and restricted stock units converted into the Issuer's Class A common stock and restricted stock units, respectively, according to the terms of the Merger Agreement.

3. Represents a grant of restricted stock units. These restricted stock units vest in 48 equal monthly installments commencing on grant.

Remarks:

	/s /Warren Heit, attorney-in-fact for Collins John DeNeen	09/09/2026
	** 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.
* Form 4: SEC 1474 (03-26)