IPO registrations (S-1, F-1) · Registrants
MORGAN GROUP HOLDING CO
- SEC CIK
- 1162283 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 2001-11-27, last 2020-07-15; 2 initial registrations, 3 amendments
- Outcome
- Final prospectus filed 2020-07-31; declared effective 2020-07-28
- Industry (SIC)
- Security & Commodity Brokers, Dealers, Exchanges & Services 6200
- Business address
- 401 THEODORE FREMD AVENUE, Rye, NY 10580
- EIN
- 13-4196940
- Ticker
- MGHL (OTC)
- EDGAR entity type
- operating
- Insiders and CEO pay
- MORGAN GROUP HOLDING CO on the corporate pages
Offering terms
- Shares offered
- 500,000
- Listing
- NYSE under the symbol AC
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: MORGAN GROUP HOLDING CO. Fuzzy (name and state)
- Form 5500 plan sponsor: MORGAN GROUP HOLDING CO EXACT (EIN (EXACT))
- SEC filer: MORGAN GROUP HOLDING CO EXACT (CIK (EXACT))
Filings 7
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2001-11-27 | S-1 | S-1 (registration) | MORGAN GROUP HOLDING CO | 0000921895-01-500535 ↗ |
| 2001-12-31 | S-1/A | S-1/A (amendment) | MORGAN GROUP HOLDING CO | 0000921895-01-500602 ↗ |
| 2002-01-16 | S-1/A | S-1/A (amendment) | MORGAN GROUP HOLDING CO | 0000921895-02-000024 ↗ |
| 2020-05-26 | S-1 | S-1 (registration) | MORGAN GROUP HOLDING CO | 0001140361-20-012478 ↗ |
| 2020-07-15 | S-1/A | S-1/A (amendment) | MORGAN GROUP HOLDING CO | 0001140361-20-016070 ↗ |
| 2020-07-28 | EFFECT | EFFECT (declared effective) | MORGAN GROUP HOLDING CO | 9999999995-20-001938 ↗ |
| 2020-07-31 | 424B1 | 424B1 (final prospectus) | MORGAN GROUP HOLDING CO | 0001140361-20-017211 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2020-07-15 | S-1/A | registration statement | 500,000 | - | NYSE AC | 0 | primary document; shares headline | document ↗ | ||
| 2020-07-31 | 424B1 | final prospectus | 500,000 | - | NYSE AC | 0 | primary document; shares headline | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| CARUCCI WALTER P /NY | TenPercentOwnerOther | 3 | 2011–2013 | ||
| ZIMMERMAN BERNARD | TenPercentOwner; TenPercentOwnerOther | 4 | 2011–2014 | ||
| Carucci Claudia B | TenPercentOwner; TenPercentOwnerOther | 2 | 2014–2017 | ||
| Uncle Mills Partners, LLC | TenPercentOwner; TenPercentOwnerOther | 2 | 2014–2017 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | MORGAN GROUP HOLDING CO. | NY | State business registries | name and state |
| Plan sponsor | MORGAN GROUP HOLDING CO | NY | Form 5500 (employee benefit plans) | name and state |
| SEC filer | MORGAN GROUP HOLDING CO | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | MORGAN GROUP HOLDING CO | EIN (EXACT) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Security & Commodity Brokers, Dealers, Exchanges & Services, NY first:
- NATIONAL HOLDINGS CORP NY
- SAXON ACQUISITION CORP NY
- ML JWH STRATEGIC JOINT VENTURE LLC NY
- TD WATERHOUSE GROUP INC NY
- BGC Group, Inc. NY
- NYMEX HOLDINGS INC NY
- PRIMUS GUARANTY LTD NY
- GFI Group Inc. NY
- International Securities Exchange Holdings, Inc. NY
- ACA Capital Holdings Inc NY
In other datasets, the same topic (Finance) in NY:
- Lobbying client: 3B1 PARTNERS (Federal lobbying (LDA))
Interests: Security & Commodity Brokers, Dealers, Exchanges & Services · Finance