Wool Kyle Michael 4

Accession 0001213900-25-032700

CIK 0000012239other

View on SEC.gov Company Profile

Filed

Apr 15, 8:00 PM ET

Accepted

Apr 16, 7:55 PM ET

Size

17.4 KB

Accession

0001213900-25-032700

Insider Transaction Report

Form 4

Period: 2025-04-16

Dominari Holdings Inc.DOMH

Yu Soo

Director10% Owner

Transactions

Award
Stock Option (right to buy)
2025-04-16+5,000,000→ 5,000,000 total
Exp: 2035-02-09→ Common Stock (5,000,000 underlying)

Holdings

Common Stock
(indirect: By IRA)
24,000
Common Stock
(indirect: Wool c/f Alison Cottone UTMA/NY Age 18)
3,559
Common Stock
2,355,328
Common Stock
(indirect: By Ms. Yu's Pension)
13,750
Common Stock
(indirect: By LLC)
1,477
Common Stock
(indirect: By LLC)
1,476
Series B Warrants (right to buy)
→ Common Stock (288,184 underlying)
288,184
Common Stock
(indirect: By IRA)
27,750
Common Stock
(indirect: By LLC)
1,477
Series A Warrants (right to buy)
→ Common Stock (288,184 underlying)
288,184

Wool Kyle Michael

DirectorPresident10% Owner

Transactions

Award
Stock Option (right to buy)
2025-04-16+5,000,000→ 5,000,000 total
Exp: 2035-02-09→ Common Stock (5,000,000 underlying)

Holdings

Common Stock
(indirect: By LLC)
1,477
Series A Warrants (right to buy)
→ Common Stock (288,184 underlying)
288,184
Common Stock
(indirect: By Ms. Yu's Pension)
13,750
Common Stock
(indirect: By LLC)
1,477
Common Stock
2,355,328
Series B Warrants (right to buy)
→ Common Stock (288,184 underlying)
288,184
Common Stock
(indirect: By IRA)
27,750
Common Stock
(indirect: By IRA)
24,000
Common Stock
(indirect: By LLC)
1,476
Common Stock
(indirect: Wool c/f Alison Cottone UTMA/NY Age 18)
3,559

Footnotes (9)

[F1]Of the 2,355,328 shares reported as beneficially owned directly, 1,113,339 shares are beneficially owned directly by Mr. Wool and 1,241,989 shares are beneficially owned directly by Ms. Yu.
[F2]The securities are directly held by Mr. Wool's SEP-IRA, and they are indirectly held by Mr. Wool. Mr. Wool exercises control over the SEP-IRA, and as such, has voting and investment power over the shares held by the SEP-IRA.
[F3]The securities are directly held by Ms. Yu's pension, and they are indirectly held by Ms. Yu. Ms. Yu exercises control over the pension, and as such, has voting and investment power over the shares held by the pension.
[F4]The securities are directly held by Mr. Wool's Rollover IRA, and they are indirectly held by Mr. Wool. Mr. Wool exercises control over the Rollover IRA, and as such, has voting and investment power over the shares held by the Rollover IRA.
[F5]Mr. Wool is the sole member of Catatonk Creek, LLC and Tioga 22, LLC.
[F6]Mr. Wool controls this UTMA account until Ms. Cottone is 18 years old.
[F7]Ms. Yu is the sole member of Dongam, LLC.
[F8]On April 16, 2025, the Reporting Person accepted a stock option to purchase 5,000,000 shares of the Issuer's Common Stock by the Compensation Committee of the Issuer's board of directors under the Issuer's 2022 Equity Incentive Plan, which are exercisable upon the filing of a Form S-8 to register the shares of Common Stock subject to the stock option, and have an exercise price of $6.16 and expire February 9, 2035.
[F9]Mr. Wool holds Series A Warrants, which have an exercise price of $3.72 per share and expire February 14, 2030, and Series B Warrants, which have an exercise price of $4.22 and expire February 14, 2030, of the Issuer which were purchased in the Issuer's private placement offering consummated in February 2025, at a combined offering price of $3.47.

Documents

1 file

4
ownership.xmlPrimary

Issuer

Dominari Holdings Inc.

CIK 0000012239

→

Entity typeother

Related Parties

filerCIK 0001856536

Filing Metadata

Form type: 4
Filed: Apr 15, 8:00 PM ET
Accepted: Apr 16, 7:55 PM ET
Size: 17.4 KB

View on SEC.gov