-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MN8IEarWcg9CG7uw+l8hsUezVw5Zcpu1m6irpB2R968uSwaBVHj3yVfNzN4ypbyJ nCdAom9CrGbZ+5xZq+o5HA== 0001140361-11-011441.txt : 20110223 0001140361-11-011441.hdr.sgml : 20110223 20110223140721 ACCESSION NUMBER: 0001140361-11-011441 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110223 DATE AS OF CHANGE: 20110223 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN GROUP HOLDING CO CENTRAL INDEX KEY: 0001162283 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 134196940 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80917 FILM NUMBER: 11631641 BUSINESS ADDRESS: STREET 1: 401 THEODORE FREMD AVENUE CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 9149218821 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAULCH T CENTRAL INDEX KEY: 0001286530 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 5315-B STREET 2: FM 1960 WEST #239 CITY: HOUSTON STATE: TX ZIP: 77069 FORMER COMPANY: FORMER CONFORMED NAME: BAULCH T D JR DATE OF NAME CHANGE: 20040408 SC 13G/A 1 doc1.htm Schedule 13G


 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
 
 
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
 
MORGAN GROUP HOLDING CO. 

(Name of Issuer)
 
Common Stock

(Title of Class of Securities)
 
61735R104

(CUSIP Number)
 
February 15, 2011

(Date of Event Which Requires Filing of this Statement)
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
     o  Rule 13d-1(b)
 
     x  Rule 13d-1(c)
 
     o  Rule 13d-1(d)
 
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 


 
 

 
 
CUSIP No.  61735R104      
 
< TD align="left" colSpan="4">9.98%
      
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 BAULCH T
N/A
   
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 (a)   o
 (b)   o
   
3 SEC USE ONLY
  
  
   
4 CITIZENSHIP OR PLACE OF ORGANIZATION
  
 USA
    
NUMBER OF SHARES BENEFICIALLY  OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER
  
 198,573
   
6 SHARED VOTING POWER
  
 106,427
   
7 SOLE DISPOSITIVE POWER
  
 198,573
   
8 SHARED DISPOSITIVE POWER
  
 106,427
   
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
 305,000
   
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
  
 o
   
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
  
 
   
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
  
 IN
 

FOOTNOTES
  
 6 - Securities held of record by the wife of T. Baulch.
8 - Securities held of record by the wife of T. Baulch.
 
 

 
 
Item 1.

 
(a)
Name of Issuer
 
 
MORGAN GROUP HOLDING CO.

 
(b)
Address of Issuer’s Principal Executive Offices
 
 
401 Theodore Fremd Avenue
Rye, New York 10580

Item 2.

 
(a)
Name of Person Filing
 
 
T. Baulch

 
(b)
Address of Principal Business Office or, if none, Residence
 
 
5315-B FM 1960 West, #239
Houston, Tx 77069

 
(c)
Citizenship
 
 
USA

 
(d)
Title of Class of Securities
 
 
Common Stock

 
(e)
CUSIP Number
 
 
61735R104

 
Item 3.
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 
(a)
o
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 
(b)
o
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 
(c)
o
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 
(d)
o
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 
(e)
o
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 
(f)
o
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 
(g)
o
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 
(h)
o
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 
(i)
o
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 
(j)
o
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).

 
(k)
o
A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

 
 
 

 
 
Item 4.
Ownership.
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 
(a)
Amount beneficially owned: 305,000

 
(b)
Percent of class: 9.98

 
(c)
Number of shares as to which the person has:

 
(i)
Sole power to vote or to direct the vote: 198,573

 
(ii)
Shared power to vote or to direct the vote: 106,427

 
(iii)
Sole power to dispose or to direct the disposition of: 198,573

 
(iv)
Shared power to dispose or to direct the disposition of: 106,427

Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o .
 
 
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
 
 
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
 
 
 
Item 8.
Identification and Classification of Members of the Group
 
 
 
Item 9.
Notice of Dissolution of Group
 
 
 
 
 

 
 
 
Item 10.
Certification
  
By signing below I certify that, to the best of my knowledge and belief, the foreign regulatory scheme applicable to [insert particular category of institutional investor] is substantially comparable to the regulatory scheme applicable to the functionally equivalent U.S. institution(s). I also undertake to furnish to the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D.
 
 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
 
  
    
Date: February 21, 2011
By:
/s/  T. Baulch 
   Name: T. Baulch 
   Title:   
    
 
Footnotes:
Item 4(c)(ii) - Securities held of record by the wife of T. Baulch.
Item 4(c)(iv) - Securities held of record by the wife of T. Baulch.

Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
 
 


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