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