SEC Form 4 · accession 0001638599-15-000220
Liquid Holdings Group, Inc. · LIQD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian M Storms
Officer — Vice Chairman · Director
Period of report
Sep 8, 2015
Accepted (ET)
Sep 10, 2015 · 5:17 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 | Sep 8, 2015 | D | 519,474 | $0.00 | D | 1,533,525 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Surrender of restricted stock units under Issuer's 2012 Amended and Restated Stock Incentive Plan in connection with Reporting Person's resignation as a director and Vice Chairman of Issuer.