SEC Form 3 · accession 0001144204-15-017030
Liquid Holdings Group, Inc. · LIQD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce P Cooper
Officer — Chief Technology Officer
Period of report
Mar 12, 2015
Accepted (ET)
Mar 18, 2015 · 6:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001562594
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 252,864 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF2 | $1.50 | holding | — | — | — | — | Nov 12, 2024 | Common Stock | 50,000 | — | D |
Explanation of responses
- F1Includes 16,047 unvested restricted stock units, which will vest on January 31, 2016. Each restricted stock unit represents a right to receive common stock as of the date of vesting.
- F2The option vests in three equal installments on November 13, 2015, 2016 and 2017.