Filing Details

Accession Number:
0001144204-14-021465
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-04-08 18:50:05
Reporting Period:
2014-04-04
Filing Date:
2014-04-08
Accepted Time:
2014-04-08 17:50:05
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
1581165 Robert O'boyle C/O Liquid Holdings Group, Inc.
800 Third Ave., 38Th Floor
New York NY US 10022
Executive Vice President No Yes No 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 Disposition 2014-04-04 5,660 $3.93 39,906 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Footnotes
  1. Sold pursuant to a 10b5-1 Trading Plan to cover taxes associated with settlement of restricted stock units. The shares were sold in multiple transactions at prices ranging from $3.84 to $4.14 per share, with a volume-weighted average price of $3.9273 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.