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Liquid Holdings Group, Inc. 4

Accession 0001144204-14-044731

CIK 0001562594operating

View on SEC.gov Company Profile

Filed

Jul 23, 8:00 PM ET

Accepted

Jul 24, 4:56 PM ET

Size

17.1 KB

Accession

0001144204-14-044731

Insider Transaction Report

Form 4

Period: 2014-07-23

Liquid Holdings Group, Inc.LIQD

Von Allmen Linda

10% Owner

Transactions

Other
Common Stock
2014-07-23$1.82/sh+55,000$100,001→ 11,966,141 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

D & L Partners, L.P.

10% Owner

Transactions

Other
Common Stock
2014-07-23$1.82/sh+55,000$100,001→ 11,966,141 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 Management Corp

10% Owner

Transactions

Other
Common Stock
2014-07-23$1.82/sh+55,000$100,001→ 11,966,141 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

Von Allmen Partners, L.P.

10% Owner

Transactions

Other
Common Stock
2014-07-23$1.82/sh+55,000$100,001→ 11,966,141 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

VON ALLMEN DOUGLAS J

10% Owner

Transactions

Other
Common Stock
2014-07-23$1.82/sh+55,000$100,001→ 11,966,141 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

Other
Common Stock
2014-07-23$1.82/sh+55,000$100,001→ 11,966,141 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

VA Family, LLC

10% Owner

Transactions

Other
Common Stock
2014-07-23$1.82/sh+55,000$100,001→ 11,966,141 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 (5)

[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.
[F5]These shares were acquired by D&L Partners in a private transaction.

Documents

1 file

4
v384621_4.xmlPrimary
FORM 4

Issuer

Liquid Holdings Group, Inc.

CIK 0001562594

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001562594

Filing Metadata

Form type: 4
Filed: Jul 23, 8:00 PM ET
Accepted: Jul 24, 4:56 PM ET
Size: 17.1 KB

View on SEC.gov