Filing Details
- Accession Number:
- 0001144204-14-031836
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-16 21:01:58
- Reporting Period:
- 2014-05-15
- Filing Date:
- 2014-05-16
- Accepted Time:
- 2014-05-16 21:01:58
- 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 |
|---|---|---|---|---|---|---|---|
| 1581368 | Howard Jay Bernstein | C/O Liquid Holdings Group, Inc. 800 Third Ave., 38Th Floor New York NY US 10022 | Yes | No | 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 | Acquisiton | 2014-05-15 | 1,800,000 | $1.25 | 2,085,884 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-05-16 | 50,300 | $1.26 | 223,967 | No | 4 | P | Indirect | By Hunter Creek, LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | By Hunter Creek, LLC |
Footnotes
- These shares are held by Hunter Creek, LLC, an entity owned by a trust for the benefit of the reporting person's children. The reporting person's spouse is a co-trustee of the trust. The reporting person 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 the reporting person is otherwise the beneficial owner of the shares for purposes of Section 16 or any other purpose.
Billionaire Hedge Funds
