0001144204-14-032876.txt : 20140521 0001144204-14-032876.hdr.sgml : 20140521 20140521175333 ACCESSION NUMBER: 0001144204-14-032876 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140519 FILED AS OF DATE: 20140521 DATE AS OF CHANGE: 20140521 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: Bernstein Jay Howard CENTRAL INDEX KEY: 0001581368 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36024 FILM NUMBER: 14861761 MAIL ADDRESS: STREET 1: C/O LIQUID HOLDINGS GROUP, INC. STREET 2: 800 THIRD AVENUE, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 form468346_20140521055310-.xml X0306 4 2014-05-19 0 0001562594 Liquid Holdings Group, Inc. LIQD 0001581368 Bernstein Jay Howard C/O LIQUID HOLDINGS GROUP, INC. 800 THIRD AVE., 38TH FLOOR NEW YORK NY US 10022 1 0 0 0 Common Stock 2014-05-19 4 P 0 50000 1.2773 A 273967 I By Hunter Creek, LLC Common Stock 2014-05-20 4 P 0 25000 1.35 A 298967 I By Hunter Creek, LLC Common Stock 2085884 D Purchased pursuant to an order that was filled in multiple transactions at prices ranging from $1.2699 to $1.29 per share, with a volume-weighted average price of $1.2773 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. These shares are held by Hunter Creek, LLC, an entity owned by a trust for the benefit of the reporting person's children. The reporting person's spouse is a co-trustee of the trust. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is otherwise the beneficial owner of the shares for purposes of Section 16 or any other purpose. /s/ Jose Ibietatorremendia, attorney-in-fact 2014-05-21