Home > Insider Trading > Filing (0001144204-14-032876)

Filing Details

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	2014-05-19	50,000	$1.28	273,967	No	4	P	Indirect	By Hunter Creek, LLC
Common Stock	Acquisiton	2014-05-20	25,000	$1.35	298,967	No	4	P	Indirect	By Hunter Creek, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Hunter Creek, LLC
No	4	P	Indirect	By Hunter Creek, LLC

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,085,884	Direct

Footnotes

Purchased pursuant to an order that was filled in multiple transactions at prices ranging from $1.2699 to $1.29 per share, with a volume-weighted average price of $1.2773 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 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.