4//SEC Filing
Liquid Holdings Group, Inc. 4
Accession 0001144204-14-075591
CIK 0001562594operating
Filed
Dec 22, 7:00 PM ET
Accepted
Dec 23, 2:04 PM ET
Size
14.8 KB
Accession
0001144204-14-075591
Insider Transaction Report
Form 4
D & L Management Corp
10% Owner
Transactions
- Other
Put Option (right to sell)
2014-12-10+535,000→ 535,000 total(indirect: By Trust)Exercise: $5.50From: 2016-01-31Exp: 2016-02-28→ Common Stock (535,000 underlying) - Other
Put Option (right to sell)
2014-12-10+535,000→ 535,000 total(indirect: By D&L Partners, L.P.)Exercise: $5.50From: 2016-01-31Exp: 2016-02-28→ Common Stock (535,000 underlying)
Von Allmen Dynasty Trust
10% Owner
Transactions
- Other
Put Option (right to sell)
2014-12-10+535,000→ 535,000 total(indirect: By D&L Partners, L.P.)Exercise: $5.50From: 2016-01-31Exp: 2016-02-28→ Common Stock (535,000 underlying) - Other
Put Option (right to sell)
2014-12-10+535,000→ 535,000 total(indirect: By Trust)Exercise: $5.50From: 2016-01-31Exp: 2016-02-28→ Common Stock (535,000 underlying)
VON ALLMEN DOUGLAS J
10% Owner
Transactions
- Other
Put Option (right to sell)
2014-12-10+535,000→ 535,000 total(indirect: By D&L Partners, L.P.)Exercise: $5.50From: 2016-01-31Exp: 2016-02-28→ Common Stock (535,000 underlying) - Other
Put Option (right to sell)
2014-12-10+535,000→ 535,000 total(indirect: By Trust)Exercise: $5.50From: 2016-01-31Exp: 2016-02-28→ Common Stock (535,000 underlying)
D & L Partners, L.P.
10% Owner
Transactions
- Other
Put Option (right to sell)
2014-12-10+535,000→ 535,000 total(indirect: By Trust)Exercise: $5.50From: 2016-01-31Exp: 2016-02-28→ Common Stock (535,000 underlying) - Other
Put Option (right to sell)
2014-12-10+535,000→ 535,000 total(indirect: By D&L Partners, L.P.)Exercise: $5.50From: 2016-01-31Exp: 2016-02-28→ Common Stock (535,000 underlying)
Von Allmen Linda
10% Owner
Transactions
- Other
Put Option (right to sell)
2014-12-10+535,000→ 535,000 total(indirect: By D&L Partners, L.P.)Exercise: $5.50From: 2016-01-31Exp: 2016-02-28→ Common Stock (535,000 underlying) - Other
Put Option (right to sell)
2014-12-10+535,000→ 535,000 total(indirect: By Trust)Exercise: $5.50From: 2016-01-31Exp: 2016-02-28→ Common Stock (535,000 underlying)
Footnotes (4)
- [F1]These securities were acquired by the Reporting Persons in a private transaction in which no cash consideration was exchanged.
- [F2]The Reporting Persons collectively have the right to sell an aggregate of 535,000 shares, as may be apportioned between them in their discretion.
- [F3]These securities 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.
- [F4]These securities are owned directly by Von Allmen Dynasty Trust (the "Trust"). The trustee of the Trust is Linda Von Allmen.
Documents
Issuer
Liquid Holdings Group, Inc.
CIK 0001562594
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001562594
Filing Metadata
- Form type
- 4
- Filed
- Dec 22, 7:00 PM ET
- Accepted
- Dec 23, 2:04 PM ET
- Size
- 14.8 KB