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4//SEC Filing

Liquid Holdings Group, Inc. 4

Accession 0001144204-14-005243

CIK 0001562594operating
View on SEC.govCompany Profile

Filed

Jan 30, 7:00 PM ET

Accepted

Jan 31, 3:17 PM ET

Size

19.7 KB

Accession

0001144204-14-005243

Insider Transaction Report

Form 4
Period: 2014-01-29
Liquid Holdings Group, Inc.LIQD
NGNG, Inc
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+400,000$2,200,000→ 4,117,015 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+16,891$92,901→ 219,556 total(indirect: By Von Allmen Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+135,000$742,500→ 690,500 total(indirect: By Trust)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+8,000$44,000→ 110,258 total(indirect: By NGNG, Inc.)
VON ALLMEN DOUGLAS J
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+400,000$2,200,000→ 4,117,015 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+135,000$742,500→ 690,500 total(indirect: By Trust)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+16,891$92,901→ 219,556 total(indirect: By Von Allmen Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+8,000$44,000→ 110,258 total(indirect: By NGNG, Inc.)
Von Allmen Linda
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+400,000$2,200,000→ 4,117,015 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+135,000$742,500→ 690,500 total(indirect: By Trust)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+16,891$92,901→ 219,556 total(indirect: By Von Allmen Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+8,000$44,000→ 110,258 total(indirect: By NGNG, Inc.)
D & L Partners, L.P.
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+400,000$2,200,000→ 4,117,015 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+16,891$92,901→ 219,556 total(indirect: By Von Allmen Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+8,000$44,000→ 110,258 total(indirect: By NGNG, Inc.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+135,000$742,500→ 690,500 total(indirect: By Trust)
D & L Management Corp
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+400,000$2,200,000→ 4,117,015 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+135,000$742,500→ 690,500 total(indirect: By Trust)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+16,891$92,901→ 219,556 total(indirect: By Von Allmen Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+8,000$44,000→ 110,258 total(indirect: By NGNG, Inc.)
VA Family, LLC
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+400,000$2,200,000→ 4,117,015 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+135,000$742,500→ 690,500 total(indirect: By Trust)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+16,891$92,901→ 219,556 total(indirect: By Von Allmen Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+8,000$44,000→ 110,258 total(indirect: By NGNG, Inc.)
Von Allmen Partners, L.P.
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+400,000$2,200,000→ 4,117,015 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+135,000$742,500→ 690,500 total(indirect: By Trust)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+16,891$92,901→ 219,556 total(indirect: By Von Allmen Partners, L.P.)
  • Purchase

    Common Stock

    2014-01-29$5.50/sh+8,000$44,000→ 110,258 total(indirect: By NGNG, Inc.)
Footnotes (4)
  • [F1]These shares are owned directly by D&L Partners, L.P. ("D&L Partners"). The general partner of D&L Partners is D&L Management Corporation ("D&L Management"). The controlling shareholders of D&L Management are Douglas Von Allmen and Linda Von Allmen.
  • [F2]These shares are owned directly by Von Allmen Dynasty Trust (the "Trust"). The trustee of the Trust is Linda Von Allmen.
  • [F3]These shares are owned directly by Von Allmen Partners, L.P. ("VA Partners"). The general partner of VA Partners is VA Family, LLC ("VA Family"). The manager of VA Family is Douglas Von Allmen.
  • [F4]These shares are owned directly by NGNG, Inc. ("NGNG"). The controlling shareholder of NGNG is Douglas Von Allmen.

Documents

1 file

Issuer

Liquid Holdings Group, Inc.

CIK 0001562594

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001562594

Filing Metadata

Form type
4
Filed
Jan 30, 7:00 PM ET
Accepted
Jan 31, 3:17 PM ET
Size
19.7 KB
View on SEC.gov