Home/Filings/4/0001144204-14-012907

4//SEC Filing

Liquid Holdings Group, Inc. 4

Accession 0001144204-14-012907

CIK 0001562594operating

View on SEC.gov Company Profile

Filed

Mar 2, 7:00 PM ET

Accepted

Mar 3, 4:12 PM ET

Size

25.2 KB

Accession

0001144204-14-012907

Insider Transaction Report

Form 4

Period: 2014-02-27

Liquid Holdings Group, Inc.LIQD

Von Allmen Linda

10% Owner

Transactions

Purchase
Common Stock
2014-02-28$5.00/sh+700$3,500→ 4,250,902 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.65/sh+3,921$18,233→ 4,160,936 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+1,066$5,000→ 4,162,802 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.75/sh+40,000$190,000→ 4,157,015 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+800$3,752→ 4,161,736 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.70/sh+87,400$410,780→ 4,250,202 total(indirect: By D&L Partners, L.P.)

Holdings

Common Stock
(indirect: By Von Allmen Partners, L.P.)
219,556
Common Stock
(indirect: By NGNG, Inc.)
110,258
Common Stock
(indirect: By Trust)
690,500

VON ALLMEN DOUGLAS J

10% Owner

Transactions

Purchase
Common Stock
2014-02-27$4.65/sh+3,921$18,233→ 4,160,936 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+800$3,752→ 4,161,736 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+1,066$5,000→ 4,162,802 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.70/sh+87,400$410,780→ 4,250,202 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.75/sh+40,000$190,000→ 4,157,015 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$5.00/sh+700$3,500→ 4,250,902 total(indirect: By D&L Partners, L.P.)

Holdings

Common Stock
(indirect: By Trust)
690,500
Common Stock
(indirect: By Von Allmen Partners, L.P.)
219,556
Common Stock
(indirect: By NGNG, Inc.)
110,258

D & L Partners, L.P.

10% Owner

Transactions

Purchase
Common Stock
2014-02-27$4.75/sh+40,000$190,000→ 4,157,015 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$5.00/sh+700$3,500→ 4,250,902 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.65/sh+3,921$18,233→ 4,160,936 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+1,066$5,000→ 4,162,802 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+800$3,752→ 4,161,736 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.70/sh+87,400$410,780→ 4,250,202 total(indirect: By D&L Partners, L.P.)

Holdings

Common Stock
(indirect: By Trust)
690,500
Common Stock
(indirect: By NGNG, Inc.)
110,258
Common Stock
(indirect: By Von Allmen Partners, L.P.)
219,556

NGNG, Inc

10% Owner

Transactions

Purchase
Common Stock
2014-02-28$5.00/sh+700$3,500→ 4,250,902 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.75/sh+40,000$190,000→ 4,157,015 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.70/sh+87,400$410,780→ 4,250,202 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.65/sh+3,921$18,233→ 4,160,936 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+800$3,752→ 4,161,736 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+1,066$5,000→ 4,162,802 total(indirect: By D&L Partners, L.P.)

Holdings

Common Stock
(indirect: By Trust)
690,500
Common Stock
(indirect: By NGNG, Inc.)
110,258
Common Stock
(indirect: By Von Allmen Partners, L.P.)
219,556

D & L Management Corp

10% Owner

Transactions

Purchase
Common Stock
2014-02-27$4.75/sh+40,000$190,000→ 4,157,015 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.65/sh+3,921$18,233→ 4,160,936 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+800$3,752→ 4,161,736 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+1,066$5,000→ 4,162,802 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.70/sh+87,400$410,780→ 4,250,202 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$5.00/sh+700$3,500→ 4,250,902 total(indirect: By D&L Partners, L.P.)

Holdings

Common Stock
(indirect: By Trust)
690,500
Common Stock
(indirect: By NGNG, Inc.)
110,258
Common Stock
(indirect: By Von Allmen Partners, L.P.)
219,556

Von Allmen Partners, L.P.

10% Owner

Transactions

Purchase
Common Stock
2014-02-28$4.69/sh+1,066$5,000→ 4,162,802 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$5.00/sh+700$3,500→ 4,250,902 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.75/sh+40,000$190,000→ 4,157,015 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.65/sh+3,921$18,233→ 4,160,936 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+800$3,752→ 4,161,736 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.70/sh+87,400$410,780→ 4,250,202 total(indirect: By D&L Partners, L.P.)

Holdings

Common Stock
(indirect: By Von Allmen Partners, L.P.)
219,556
Common Stock
(indirect: By Trust)
690,500
Common Stock
(indirect: By NGNG, Inc.)
110,258

VA Family, LLC

10% Owner

Transactions

Purchase
Common Stock
2014-02-28$4.69/sh+800$3,752→ 4,161,736 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.65/sh+3,921$18,233→ 4,160,936 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.69/sh+1,066$5,000→ 4,162,802 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$4.70/sh+87,400$410,780→ 4,250,202 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-28$5.00/sh+700$3,500→ 4,250,902 total(indirect: By D&L Partners, L.P.)
Purchase
Common Stock
2014-02-27$4.75/sh+40,000$190,000→ 4,157,015 total(indirect: By D&L Partners, L.P.)

Holdings

Common Stock
(indirect: By Von Allmen Partners, L.P.)
219,556
Common Stock
(indirect: By NGNG, Inc.)
110,258
Common Stock
(indirect: By Trust)
690,500

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

4
v370432_4.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

Liquid Holdings Group, Inc.

CIK 0001562594

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001562594

Filing Metadata

Form type: 4
Filed: Mar 2, 7:00 PM ET
Accepted: Mar 3, 4:12 PM ET
Size: 25.2 KB

View on SEC.gov