Liquid Holdings Group, Inc. 4
4 · Liquid Holdings Group, Inc. · Filed Dec 23, 2014
Insider Transaction Report
Form 4
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)
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.