Filing Details

Accession Number:
0001144204-14-013766
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-03-06 15:55:07
Reporting Period:
2014-03-04
Filing Date:
2014-03-06
Accepted Time:
2014-03-06 15:55:07
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1562594 Liquid Holdings Group Inc. LIQD Services-Prepackaged Software (7372) 455070568
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
945555 J Douglas Allmen Von 9 Isla Bahia
Ft Lauderdale FL 33316
No No Yes No
1581888 D & L Partners, L.p. 9 Isla Bahia
Ft. Lauderdale FL 33316
No No Yes No
1581890 Ngng, Inc 9 Isla Bahia
Ft. Lauderdale FL 33316
No No Yes No
1581891 Von Allmen Partners, L.p. 9 Isla Bahia
Ft. Lauderdale FL 33316
No No Yes No
1581951 Linda Allmen Von 9 Isla Bahia
Ft. Lauderdale FL 33316
No No Yes No
1581953 D & L Management Corp 9 Isla Bahia
Ft. Lauderdale FL 33316
No No Yes No
1581955 Va Family, Llc 9 Isla Bahia
Ft. Lauderdale FL 33316
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-03-04 500 $5.33 4,983,694 No 4 P Indirect By D&L Partners, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By D&L Partners, L.P.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 690,500 Indirect By Von Allmen Dynasty Trust
Common Stock 219,556 Indirect By Von Allmen Partners, L.P.
Common Stock 110,258 Indirect By NGNG, Inc.
Footnotes
  1. These shares are owned directly by D&L Partners, L.P. ("D&L Partners"). The general partner of D&L Partners is D&L Management Corporation ("D&L Management"). The controlling shareholders of D&L Management are Douglas Von Allmen and Linda Von Allmen.
  2. These shares are owned directly by Von Allmen Dynasty Trust (the "Trust"). The trustee of the Trust is Linda Von Allmen.
  3. These shares are owned directly by Von Allmen Partners, L.P. ("VA Partners"). The general partner of VA Partners is VA Family, LLC ("VA Family"). The manager of VA Family is Douglas Von Allmen.
  4. These shares are owned directly by NGNG, Inc. ("NGNG"). The controlling shareholder of NGNG is Douglas Von Allmen.