Filing Details
- Accession Number:
- 0001144204-14-056835
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-19 11:38:43
- Reporting Period:
- 2014-09-18
- Filing Date:
- 2014-09-19
- Accepted Time:
- 2014-09-19 11:38:43
- 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 | 2014-09-18 | 13,480 | $1.43 | 50,712 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Footnotes
- Sold pursuant to a 10b5-1 trading plan entered into by Reporting Person.
- Sold pursuant to an order that was filled in multiple transactions at prices ranging from $1.4000 to $1.4750 per share, with a volume-weighted average price of $1.4349 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.
Billionaire Hedge Funds
