SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
FALCON FUND MANAGEMENT LTD

(Last) (First) (Middle)
5956 SHERRY LANE, SUITE 1810

(Street)
DALLAS TX 75225

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Merriman Holdings, Inc [ MERR ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
04/02/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 04/02/2014 P 4,166,667 A $0.06 14,166,667 I See Footnotes (1) (2) (3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Common Stock Warrants (right to buy) $0.08 04/02/2014 P 1,041,667 04/02/2014 04/02/2019 Common Stock 1,041,667 $0.00 3,541,667 I See Footnotes (1) (2) (3)
1. Name and Address of Reporting Person*
FALCON FUND MANAGEMENT LTD

(Last) (First) (Middle)
5956 SHERRY LANE, SUITE 1810

(Street)
DALLAS TX 75225

(City) (State) (Zip)
1. Name and Address of Reporting Person*
FALCON FUND LTD

(Last) (First) (Middle)
5956 SHERRY LANE, SUITE 1810

(Street)
DALLAS TX 75225

(City) (State) (Zip)
1. Name and Address of Reporting Person*
FFM GP LLC

(Last) (First) (Middle)
5956 SHERRY LANE, SUITE 1810

(Street)
DALLAS TX 75225

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Hall G. Houston

(Last) (First) (Middle)
5956 SHERRY LANE, SUITE 1810

(Street)
DALLAS TX 75225

(City) (State) (Zip)
Explanation of Responses:
1. This statement is jointly filed by and on behalf of each of Falcon Fund Management, Ltd., Falcon Fund, Ltd., FFM GP, LLC and G. Houston Hall. Falcon Fund, Ltd. is the record and direct beneficial owner of the securities covered by this statement. Falcon Fund Management, Ltd. is the general partner of, and may be deemed to beneficially own securities owned by, Falcon Fund, Ltd. FFM GP, LLC is the general partner of, and may be deemed to beneficially own securities owned by, Falcon Fund Management, Ltd. Mr. Hall is the managing member of, and may be deemed to beneficially own securities owned by, FFM GP, LLC.
2. Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act") or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
3. Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer.
Remarks:
Exhibit Index Exhibit 99.1 - Joint Filer Information (filed herewith) Exhibit 99.2 - Joint Filing Agreement (filed herewith)
FALCON FUND MANAGEMENT, LTD., By: FFM GP, LLC, Its: General Partner, By: /s/ G. Houston Hall, Name: G. Houston Hall, Title: Managing Member 04/04/2014
FALCON FUND, LTD., By: Falcon Fund Management, Ltd., Its: General Partner, By: FFM GP, LLC, Its: General Partner, By: /s/ G. Houston Hall, Name: G. Houston Hall, Title: Managing Member 04/04/2014
FFM GP, LLC, By: /s/ G. Houston Hall, Name: G. Houston Hall, Title: Managing Member 04/04/2014
/s/ G. Houston Hall 04/04/2014
** Signature of Reporting Person Date
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