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