Filing Details
- Accession Number:
- 0001144204-14-014436
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-10 14:36:17
- Reporting Period:
- 2014-03-06
- Filing Date:
- 2014-03-10
- Accepted Time:
- 2014-03-10 14:36:17
- 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 |
|---|---|---|---|---|---|---|---|
| 945555 | J Douglas Allmen Von | 9 Isla Bahia Ft Lauderdale FL 33316 | No | No | Yes | No | |
| 1581888 | D & L Partners, L.p. | 9 Isla Bahia Ft. Lauderdale FL 33316 | No | No | Yes | No | |
| 1581890 | Ngng, Inc | 9 Isla Bahia Ft. Lauderdale FL 33316 | No | No | Yes | No | |
| 1581891 | Von Allmen Partners, L.p. | 9 Isla Bahia Ft. Lauderdale FL 33316 | No | No | Yes | No | |
| 1581951 | Linda Allmen Von | 9 Isla Bahia Ft. Lauderdale FL 33316 | No | No | Yes | No | |
| 1581953 | D & L Management Corp | 9 Isla Bahia Ft. Lauderdale FL 33316 | No | No | Yes | No | |
| 1581955 | Va Family, Llc | 9 Isla Bahia Ft. Lauderdale FL 33316 | 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 | Acquisiton | 2014-03-06 | 600 | $5.27 | 4,984,294 | No | 4 | P | Indirect | By D&L Partners, L.P. |
| Common Stock | Acquisiton | 2014-03-06 | 700 | $5.28 | 4,984,994 | No | 4 | P | Indirect | By D&L Partners, L.P. |
| Common Stock | Acquisiton | 2014-03-06 | 10,000 | $5.30 | 4,994,994 | No | 4 | P | Indirect | By D&L Partners, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By D&L Partners, L.P. |
| No | 4 | P | Indirect | By D&L Partners, L.P. |
| No | 4 | P | Indirect | By D&L Partners, L.P. |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 690,500 | Indirect | By Von Allmen Dynasty Trust |
| Common Stock | 219,556 | Indirect | By Von Allmen Partners, L.P. |
| Common Stock | 110,258 | Indirect | By NGNG, Inc. |
Footnotes
- These shares are owned directly by D&L Partners, L.P. ("D&L Partners"). The general partner of D&L Partners is D&L Management Corporation ("D&L Management"). The controlling shareholders of D&L Management are Douglas Von Allmen and Linda Von Allmen.
- These shares are owned directly by Von Allmen Dynasty Trust (the "Trust"). The trustee of the Trust is Linda Von Allmen.
- These shares are owned directly by Von Allmen Partners, L.P. ("VA Partners"). The general partner of VA Partners is VA Family, LLC ("VA Family"). The manager of VA Family is Douglas Von Allmen.
- These shares are owned directly by NGNG, Inc. ("NGNG"). The controlling shareholder of NGNG is Douglas Von Allmen.
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