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