Filing Details
- Accession Number:
- 0001144204-14-005223
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-01-31 14:08:58
- Reporting Period:
- 2014-01-29
- Filing Date:
- 2014-01-31
- Accepted Time:
- 2014-01-31 14:08:58
- 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 |
|---|---|---|---|---|---|---|---|
| 1246052 | Richard Schaeffer | C/O Liquid Holdings Group, Inc. 800 Third Ave., 38Th Floor New York NY US 10022 | No | No | Yes | No | |
| 1581092 | Schaeffer Holdings, Llc | C/O Liquid Holdings Group, Inc. 800 Third Ave., 38Th Floor New York NY US 10022 | No | No | Yes | No | |
| 1581093 | Shaf Holdings Llc | C/O Liquid Holdings Group, Inc. 800 Third Ave., 38Th Floor New York NY US 10022 | No | No | Yes | No | |
| 1581181 | Schaeffer Group, Llc | C/O Liquid Holdings Group, Inc. 800 Third Ave., 38Th Floor New York NY US 10022 | 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 | Disposition | 2014-01-29 | 361,880 | $5.50 | 296,085 | No | 4 | S | Indirect | By Schaeffer Holdings, LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Schaeffer Holdings, LLC |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 0 | Indirect | By SHAF Holdings LLC |
| Common Stock | 1,253,660 | Direct | |
| Common Stock | 626,808 | Indirect | By Schaeffer Group, LLC |
Footnotes
- On January 23, 2014, SHAF Holdings LLC distributed all of the Common Stock that it held to its members, including its managing member Mr. Schaeffer, on a pro rata basis and without the payment of any additional consideration.
- As a result of the sale by Schaeffer Holdings, LLC, Mr. Schaeffer is no longer a 10% owner of the Issuer. Furthermore, he is not currently a member of the Issuer's board of directors. As such, Mr. Schaeffer has ceased to be a Sec. 16 reporting person. Each of SHAF Holdings LLC, Schaeffer Holdings, LLC and Schaeffer Group, LLC has also ceased to be a Sec. 16 reporting person, as they were reporting persons solely due to Mr. Schaeffer's status as such.
Billionaire Hedge Funds
