SEC Form 4 · accession 0001251109-17-000032
MORGAN GROUP HOLDING CO · MGHL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 11, 2017
Accepted (ET)
Oct 2, 2017 · 11:13 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001162283
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 Par ValueF1 | Aug 11, 2017 | S | 18,900 | $5,292.00 | D | 177,999 | I | See FN |
| Common Stock, $0.01 Par Value | Aug 11, 2017 | S | 18,099 | $4,382.96 | D | 159,900 | D | |
| Common Stock, $0.01 Par Value | Aug 15, 2017 | S | 259 | $46.36 | D | 159,641 | D | |
| Common Stock, $0.01 Par Value | Aug 21, 2017 | S | 1,106 | $235.58 | D | 158,535 | D | |
| Common Stock, $0.01 Par Value | Sep 6, 2017 | S | 1,000 | $187.00 | D | 157,535 | D | |
| Common Stock, $0.01 Par Value | Sep 11, 2017 | S | 5,000 | $1,060.00 | D | 152,535 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares owned by Uncle Mills Partners, LLC, of which Ms. Carucci is the Manager. Subsequent to the sale, Uncle Mills Partners, LLC no longer owns any Common Stock of the Issuer.
Remarks
Prior to Sept. 25, 2017, the Reporting Persons were part of a group with Bernard Zimmerman & Company, Inc., which group was a 10% Owner of the Securities. On Sept. 25, 2017, the group was terminated (see Exhibit 99.3); therefore, the Reporting Persons are no longer considered a 10% Owner of the Securities.