Filing Details

Accession Number:
0001144204-14-052034
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-08-22 10:06:30
Reporting Period:
2014-08-20
Filing Date:
2014-08-22
Accepted Time:
2014-08-22 10:06:30
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
1330919 David Kenneth Shifrin C/O Liquid Holdings Group, Inc.
800 Third Ave., 38Th Floor
New York NY US 10022
Chief Financial Officer 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 2014-08-20 20,260 $1.35 64,192 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 entered into by Reporting Person.
  2. Sold pursuant to an order that was filled in multiple transactions at prices ranging from $1.33 to $1.36 per share, with a volume-weighted average price of $1.3456 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.