Filing Details

Accession Number:
0001144204-14-032828
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-05-21 16:54:03
Reporting Period:
2014-05-20
Filing Date:
2014-05-21
Accepted Time:
2014-05-21 16:54:03
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
1468331 Jr R Victor Simone C/O Liquid Holdings Group, Inc.
800 Third Ave., 38Th Floor
New York NY US 10022
Yes No 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 Acquisiton 2014-05-20 25,000 $1.58 100,612 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 40,000 Indirect By Victor R. Simone Jr. IRA
Footnotes
  1. Purchased pursuant to an order that was filled in multiple transactions at prices ranging from $1.36 to $1.94 per share, with a volume-weighted average price of $1.5840 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.