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Filing Details

Accession Number:: 0001144204-14-013359
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-03-04 20:11:26
Reporting Period:: 2014-02-28

Filing Date:: 2014-03-04
Accepted Time:: 2014-03-04 20:11:26
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
1581216	Ferdinand Holdings, Llc	C/O Liquid Holdings Group, Inc. 800 Third Ave., 38Th Floor New York NY US 10022	Head Of Corporate Strategy	Yes	Yes	Yes	No
1581217	Ferdinand Trading Ii, Llc	C/O Liquid Holdings Group, Inc. 800 Third Ave., 38Th Floor New York NY US 10022	Head Of Corporate Strategy	Yes	Yes	Yes	No
1581231	Lt World Ltd Llc	C/O Liquid Holdings Group, Inc. 800 Third Ave., 38Th Floor New York NY US 10022	Head Of Corporate Strategy	Yes	Yes	Yes	No
1581248	Brian Ferdinand	C/O Liquid Holdings Group, Inc. 800 Third Ave., 38Th Floor New York NY US 10022	Head Of Corporate Strategy	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2014-02-28	69,839	$4.80	2,963,652	No	4	J	Indirect	By Ferdinand Holdings, LLC
Common Stock	Disposition	2014-02-28	314,830	$4.80	259,953	No	4	J	Indirect	By LT World Limited LLC
Common Stock	Acquisiton	2014-03-03	153,413	$5.18	153,413	No	4	P	Indirect	By LT World Partners LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	J	Indirect	By Ferdinand Holdings, LLC
No	4	J	Indirect	By LT World Limited LLC
No	4	P	Indirect	By LT World Partners LLC

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	654,943	Indirect	By Ferdinand Trading II LLC
Common Stock	1,353,323	Direct

Footnotes

Transferred pursuant to private agreements. No cash consideration was exchanged.
These shares are owned directly by Ferdinand Holdings, LLC, an entity of which Brian Ferdinand is the sole managing member. A portion of the economic interests in Ferdinand Holdings, LLC is held by Mr. Ferdinand's spouse and by trusts for the benefit of members of Mr. Ferdinand's family. Mr. Ferdinand disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Ferdinand is otherwise the beneficial owner of the shares for purposes of Section 16 or any other purpose.
These shares are owned directly by LT World Limited LLC and indirectly by Brian Ferdinand as the sole member of LT World Limited LLC.
Purchased pursuant to an order that was filled in multiple transactions at prices ranging from $4.82 to $5.40 per share, with a volume-weighted average price of $5.1759 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.
These shares are owned directly by LT World Partners LLC and indirectly by Brian Ferdinand as the sole member of LT World Partners LLC.
These shares are owned directly by Ferdinand Trading II LLC and indirectly by Brian Ferdinand as the sole member of Ferdinand Trading II LLC.