0001251109-12-000009.txt : 20120209
0001251109-12-000009.hdr.sgml : 20120209
20120209113038
ACCESSION NUMBER: 0001251109-12-000009
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120209
DATE AS OF CHANGE: 20120209
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ZIMMERMAN BERNARD
CENTRAL INDEX KEY: 0001240139
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 333-73996
FILM NUMBER: 12585254
MAIL ADDRESS:
STREET 1: 18 HIGH MEADOW RD
CITY: WESTON
STATE: CT
ZIP: 06883
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: MORGAN GROUP HOLDING CO
CENTRAL INDEX KEY: 0001162283
STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770]
IRS NUMBER: 134196940
BUSINESS ADDRESS:
STREET 1: 401 THEODORE FREMD AVENUE
CITY: RYE
STATE: NY
ZIP: 10580
BUSINESS PHONE: 9149218821
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CARUCCI WALTER P /NY
CENTRAL INDEX KEY: 0001005385
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 333-73996
FILM NUMBER: 12585255
MAIL ADDRESS:
STREET 1: C/O CARR SECURITIES CORP
STREET 2: 14 VANDERVENTER AVENUE, SUITE 210
CITY: PORT WASHINGTON
STATE: NY
ZIP: 11050
5
1
primary_doc.xml
PRIMARY DOCUMENT
X0304
5
2011-12-31
0
0
1
0001162283
MORGAN GROUP HOLDING CO
MGHL
0001005385
CARUCCI WALTER P /NY
C/O CARR SECURITIES CORP
14 VANDERVENTER AVENUE, SUITE 210
PORT WASHINGTON
NY
11050
0
0
1
1
See Remarks
0001240139
ZIMMERMAN BERNARD
18 HIGH MEADOW RD
WESTON
CT
06883
0
0
1
1
See Remarks
Common Stock, $0.01 Par Value
2011-06-17
4
S
0
L
5000
0.135
D
219489
D
Common Stock, $0.01 Par Value
2011-09-09
4
P
0
L
10000
0.145
A
219489
D
Common Stock, $0.01 Par Value
2011-10-27
4
P
0
L
3500
0.13
A
219489
D
This amount includes 182,763 shares of the Issuer owned by Walter P. Carucci individually, 33,200 shares owned by Uncle Mills Partners, of which Mr. Carucci is a partner, and 3526 shares owned by Carr Securities Corporation, of which Mr. Carucci is the President. Mr. Carucci and Bernard Zimmerman & Company, Inc., the other Reporting Person for this Group filing, collectively own 435,589 shares of the Issuer.
By Walter P. Carucci.
Walter P. Carucci and Bernard Zimmerman & Company, Inc. may collectively be deemed a 10% Owner of the Issuer.
/s/ Beth N. Lowson, as Attorney-in-Fact for Walter P. Carucci and Bernard Zimmerman
2012-02-09
EX-24
2
poacarucci2.txt
CARUCCI POWER OF ATTORNEY
POWER OF ATTORNEY
The undersigned does hereby constitute and appoint Stephen J. Nelson,
Mary Anne Mayo, Scott M. Dubowsky, Beth N. Lowson, and Sean McDowell,
each of The Nelson Law Firm, LLC, White Plains Plaza, One North Broadway,
White Plains, NY 10601, signing singly, with full power of substitution, as
the true and lawful attorney of the undersigned, and authorizes and
designates each of them to sign on behalf of the undersigned, and to file
filings and any amendments thereto made by or on behalf of the undersigned
in respect of the beneficial ownership of equity securities held by the
undersigned, directly, indirectly or beneficially, pursuant to Sections
13(d), 13(g) and 16 of the Securities Exchange Act of 1934, as amended
(the "Exchange Act"), and the rules and regulations thereunder. The
undersigned acknowledges that the foregoing attorneys-in-fact, in serving
in such capacity at the request of the undersigned, are not assuming any
of the undersigned's responsibilities to comply with Sections 13(d),
13(g) or 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect until
withdrawn by the undersigned in a signed writing delivered to the foregoing
attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 7th day of February, 2011.
By: /s/ Walter P. Carucci
____________________________
Walter P. Carucci
EX-24
3
poazimmerman.txt
ZIMMERMAN POWER OF ATTORNEY
POWER OF ATTORNEY
The undersigned does hereby constitute and appoint Stephen J. Nelson,
Mary Anne Mayo, Beth N. Lowson, and Joseph D. Zargari, each of The
Nelson Law Firm, LLC, White Plains Plaza, One North Broadway, White
Plains, NY 10601, signing singly, with full power of substitution, as
the true and lawful attorney of the undersigned, and authorizes and
designates each of them to sign on behalf of the undersigned, and to file
filings and any amendments thereto made by or on behalf of the undersigned
in respect of the beneficial ownership of equity securities held by the
undersigned, directly, indirectly or beneficially, pursuant to Sections
13(d), 13(g) and 16 of the Securities Exchange Act of 1934, as amended
(the "Exchange Act"), and the rules and regulations thereunder. The
undersigned acknowledges that the foregoing attorneys-in-fact, in serving
in such capacity at the request of the undersigned, are not assuming any
of the undersigned's responsibilities to comply with Sections 13(d),
13(g) or 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect until
withdrawn by the undersigned in a signed writing delivered to the foregoing
attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 31st day of January, 2007.
By: /s/ Bernard Zimmerman
____________________________
Bernard Zimmerman