Filing Details
- Accession Number:
- 0001209191-14-026070
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-04 21:52:14
- Reporting Period:
- 2014-04-02
- Filing Date:
- 2014-04-04
- Accepted Time:
- 2014-04-04 21:52:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 826683 | Merriman Holdings Inc | MERR | Security Brokers, Dealers & Flotation Companies (6211) | 112936371 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 868846 | Ltd Fund Falcon | 5956 Sherry Lane, Suite 1810 Dallas TX 75225 | No | No | Yes | No | |
| 1086439 | Ltd Management Fund Falcon | 5956 Sherry Lane, Suite 1810 Dallas TX 75225 | No | No | Yes | No | |
| 1280280 | Ffm Gp Llc | 5956 Sherry Lane, Suite 1810 Dallas TX 75225 | No | No | Yes | No | |
| 1576104 | Houston G. Hall | 5956 Sherry Lane, Suite 1810 Dallas TX 75225 | 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 | 2014-04-02 | 4,166,667 | $0.06 | 14,166,667 | No | 4 | P | Indirect | See Footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See Footnotes |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock Warrants (right to buy) | Acquisiton | 2014-04-02 | 1,041,667 | $0.00 | 1,041,667 | $0.08 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,541,667 | 2014-04-02 | 2019-04-02 | No | 4 | P | Indirect |
Footnotes
- This statement is jointly filed by and on behalf of each of Falcon Fund Management, Ltd., Falcon Fund, Ltd., FFM GP, LLC and G. Houston Hall. Falcon Fund, Ltd. is the record and direct beneficial owner of the securities covered by this statement. Falcon Fund Management, Ltd. is the general partner of, and may be deemed to beneficially own securities owned by, Falcon Fund, Ltd. FFM GP, LLC is the general partner of, and may be deemed to beneficially own securities owned by, Falcon Fund Management, Ltd. Mr. Hall is the managing member of, and may be deemed to beneficially own securities owned by, FFM GP, LLC.
- Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act") or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
- Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer.
Billionaire Hedge Funds
