0001144204-15-018345.txt : 20150325 0001144204-15-018345.hdr.sgml : 20150325 20150325160305 ACCESSION NUMBER: 0001144204-15-018345 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150323 FILED AS OF DATE: 20150325 DATE AS OF CHANGE: 20150325 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Liquid Holdings Group, Inc. CENTRAL INDEX KEY: 0001562594 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 455070568 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 800 THIRD AVE., 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 293-1836 MAIL ADDRESS: STREET 1: 800 THIRD AVE., 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Liquid Holdings Group LLC DATE OF NAME CHANGE: 20121120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ibietatorremendia Jose CENTRAL INDEX KEY: 0001580155 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36024 FILM NUMBER: 15724752 MAIL ADDRESS: STREET 1: LIQUID HOLDINGS GROUP, INC. STREET 2: 800 THIRD AVENUE, 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 form473772_20150325040248-.xml X0306 4 2015-03-23 0 0001562594 Liquid Holdings Group, Inc. LIQD 0001580155 Ibietatorremendia Jose C/O LIQUID HOLDINGS GROUP, INC. 800 THIRD AVE., 38TH FLOOR NEW YORK NY US 10022 0 1 0 0 General Counsel Common Stock 2015-03-23 4 F 0 6725 0.3145 D 39478 D Common Stock 20000 I By Jose Ibietatorremendia IRA Employee Stock Optiom (right to buy) 1.5 2024-11-12 Common Stock 50000 50000 D Employee Stock Optiom (right to buy) 9 2023-07-30 Common Stock 46203 46203 D Shares withheld by Issuer to cover taxes associated with settlement of restricted stock units. The option vests in three equal installments on November 13, 2015, 2016 and 2017. The option vests in three equal installments on March 13, 2014, 2015 and 2016. Jose Ibietatorremendia 2015-03-25