0001144204-14-065421.txt : 20141105
0001144204-14-065421.hdr.sgml : 20141105
20141105201251
ACCESSION NUMBER: 0001144204-14-065421
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141103
FILED AS OF DATE: 20141105
DATE AS OF CHANGE: 20141105
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Liquid Holdings Group, Inc.
CENTRAL INDEX KEY: 0001562594
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 455070568
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 800 THIRD AVE., 38TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 293-1836
MAIL ADDRESS:
STREET 1: 800 THIRD AVE., 38TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: Liquid Holdings Group LLC
DATE OF NAME CHANGE: 20121120
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Guarino Alan C.
CENTRAL INDEX KEY: 0001561766
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36024
FILM NUMBER: 141198459
MAIL ADDRESS:
STREET 1: 100 EAST RIDGE ROAD
CITY: RIDGEFIELD
STATE: CT
ZIP: 06877
4
1
form471170_20141105081144-.xml
X0306
4
2014-11-03
0
0001562594
Liquid Holdings Group, Inc.
LIQD
0001561766
Guarino Alan C.
C/O LIQUID HOLDINGS GROUP, INC.
800 THIRD AVENUE, 38TH FLOOR
NEW YORK
NY
US 10022
1
0
0
0
Common Stock
2014-11-03
4
P
0
20000
0.7792
A
20000
D
Purchased pursuant to an order that was filled in multiple transactions at prices ranging from $0.7706 to $0.7800 per share, with a volume-weighted average price of $0.7792 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.
Jose Ibietatorremendia, attorney-in-fact
2014-11-05