0001213900-23-098677.txt : 20231226
0001213900-23-098677.hdr.sgml : 20231226
20231226184323
ACCESSION NUMBER: 0001213900-23-098677
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231221
FILED AS OF DATE: 20231226
DATE AS OF CHANGE: 20231226
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wool Kyle Michael
CENTRAL INDEX KEY: 0001856536
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41845
FILM NUMBER: 231514333
MAIL ADDRESS:
STREET 1: 650 5TH AVE, 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Yu Soo
CENTRAL INDEX KEY: 0001933417
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41845
FILM NUMBER: 231514332
MAIL ADDRESS:
STREET 1: ONE ROCKEFELLER PLAZA
STREET 2: 11TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10020
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Dominari Holdings Inc.
CENTRAL INDEX KEY: 0000012239
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
ORGANIZATION NAME: 07 Trade & Services
IRS NUMBER: 520849320
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 725 FIFTH AVENUE
STREET 2: 22ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 393-4540
MAIL ADDRESS:
STREET 1: 725 FIFTH AVENUE
STREET 2: 22ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: AIkido Pharma Inc.
DATE OF NAME CHANGE: 20210111
FORMER COMPANY:
FORMER CONFORMED NAME: Aikido Pharma Inc.
DATE OF NAME CHANGE: 20200317
FORMER COMPANY:
FORMER CONFORMED NAME: SPHERIX INC
DATE OF NAME CHANGE: 20010815
4
1
ownership.xml
X0508
4
2023-12-21
0
0000012239
Dominari Holdings Inc.
DOMH
0001856536
Wool Kyle Michael
725 5TH AVENUE, 22ND FLOOR
NEW YORK
NY
10022
1
1
1
0
President
0001933417
Yu Soo
725 5TH AVENUE, 22ND FLOOR
NEW YORK
NY
10022
1
0
1
0
0
Common Stock
4000
I
By Mr. Wool's SEP-IRA
Common Stock
24000
I
By Mr. Wool's Rollover IRA
Common Stock
2023-12-21
4
A
0
630050
2.02
A
1448908
D
Common Stock
1477
I
Catatonk Creek LLC
Common Stock
1476
I
Tioga 22 LLC
Common Stock
3559
I
Wool c/f Alison Cottone UTMA/NY Age 18
Common Stock
1477
I
Dongam, LLC
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.
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.
The Reporting Person has the right to receive 1,287,129 shares of the Issuer's common stock pursuant to the Issuer's 2022 Equity Incentive Plan (the "Plan") and her employment agreement with Dominari Securities LLC, an affiliate of the Issuer. Of the 1,287,129 shares, 657,079 shares were concurrently withheld at the time of grant by the Issuer for tax withholding purposes as permitted by Section 15(b) of the Plan.
Of the 1,448,908 shares reported as beneficially owned directly, 206,919 shares are beneficially owned directly by Mr. Wool and 1,241,989 shares are beneficially owned directly by Ms. Yu.
Mr. Wool is the sole member of Catatonk Creek, LLC and Tioga 22, LLC.
Mr. Wool controls this UTMA account until Ms. Cottone is 18 years old.
Ms. Yu is the sole member of Dongam, LLC.
/s/ Kyle Wool
2023-12-26
/s/ Soo Yu
2023-12-26