IPO registrations (S-1, F-1) · Registrants
Liquid Holdings Group, Inc.
- SEC CIK
- 1562594 · filings on EDGAR ↗
- Former names
- Liquid Holdings Group LLC (2012–2013)
- Registration
- Form S-1, first filed 2013-04-11, last 2014-05-14; 2 initial registrations, 10 amendments
- Outcome
- Final prospectus filed 2013-07-26; declared effective 2013-07-25
- Industry (SIC)
- Services-Prepackaged Software 7372
- Incorporated in
- DE
- Business address
- 111 RIVER STREET, STE. 1204, Hoboken, NJ 07030
- EIN
- 45-5070568
- EDGAR entity type
- operating
- Insiders and CEO pay
- Liquid Holdings Group, Inc. on the corporate pages
Offering terms
- Proposed price range
- $9.00–$11.00 per share (S-1/A filed 2013-07-25)
- Final price
- $9.00 per share, within the range (424B4 filed 2013-07-26, an initial public offering)
- Shares sold
- 3,175,000
- Gross proceeds
- $28,575,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol LIQD
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: LIQUID HOLDINGS GROUP, INC. Fuzzy (name and state)
- Business registration: LIQUID HOLDINGS GROUP, INC. Fuzzy (name and state)
- SEC filer: Liquid Holdings Group, Inc. EXACT (CIK (EXACT))
- Person page: Alan C Guarino Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Brian M Storms Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer))
- Person page: Dennis A Suskind Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Other))
Filings 16
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2013-04-11 | S-1 | S-1 (registration) | Liquid Holdings Group LLC | 0001193125-13-150189 ↗ |
| 2013-05-13 | S-1/A | S-1/A (amendment) | Liquid Holdings Group LLC | 0001193125-13-214922 ↗ |
| 2013-05-31 | S-1/A | S-1/A (amendment) | Liquid Holdings Group LLC | 0001193125-13-243494 ↗ |
| 2013-06-19 | S-1/A | S-1/A (amendment) | Liquid Holdings Group LLC | 0001193125-13-263363 ↗ |
| 2013-07-05 | S-1/A | S-1/A (amendment) | Liquid Holdings Group LLC | 0001193125-13-283419 ↗ |
| 2013-07-09 | S-1/A | S-1/A (amendment) | Liquid Holdings Group LLC | 0001193125-13-285164 ↗ |
| 2013-07-24 | S-1/A | S-1/A (amendment) | Liquid Holdings Group, Inc. | 0001193125-13-299995 ↗ |
| 2013-07-25 | S-1/A | S-1/A (amendment) | Liquid Holdings Group, Inc. | 0001193125-13-301376 ↗ |
| 2013-07-25 | EFFECT | EFFECT (declared effective) | Liquid Holdings Group, Inc. | 9999999995-13-002202 ↗ |
| 2013-07-26 | 424B4 | 424B4 (final prospectus) | Liquid Holdings Group, Inc. | 0001193125-13-304587 ↗ |
| 2014-04-09 | S-1 | S-1 (registration) | Liquid Holdings Group, Inc. | 0001144204-14-021488 ↗ |
| 2014-04-30 | S-1/A | S-1/A (amendment) | Liquid Holdings Group, Inc. | 0001144204-14-025911 ↗ |
| 2014-05-13 | S-1/A | S-1/A (amendment) | Liquid Holdings Group, Inc. | 0001144204-14-029769 ↗ |
| 2014-05-14 | S-1/A | S-1/A (amendment) | Liquid Holdings Group, Inc. | 0001144204-14-030158 ↗ |
| 2014-05-14 | EFFECT | EFFECT (declared effective) | Liquid Holdings Group, Inc. | 9999999995-14-001474 ↗ |
| 2014-05-15 | 424B4 | 424B4 (final prospectus) | Liquid Holdings Group, Inc. | 0001144204-14-031236 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2013-07-25 | S-1/A | registration statement | $9.00–$11.00 | 4,200,000 | - | Nasdaq LIQD | 0 | primary document; range, shares headline | document ↗ | |
| 2013-07-26 | 424B4 | final prospectus | $9.00 | 3,175,000 | $28,575,000 | Nasdaq LIQD | 0 | primary document; price table, shares headline, proceeds table | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Bernstein Jay Howard | Director; Other | 6 | 2013–2015 | ||
| CMK Keller Holdings, LLC | Other; TenPercentOwner | 2 | 2013–2014 | ||
| Davy Darren | Director; Other | 5 | 2013–2015 | ||
| D & L Management Corp | TenPercentOwner | 11 | 2013–2014 | ||
| D & L Partners, L.P. | TenPercentOwner | 11 | 2013–2014 | ||
| Ferdinand Brian | Director,Officer,TenPercentOwner | Head of Corporate Strategy | 4 | 2013–2014 | |
| Ferdinand Holdings, LLC | Director,Officer,TenPercentOwner; Director,TenPercentOwner | Head of Corporate Strategy | 4 | 2013–2014 | |
| Ferdinand Trading II, LLC | Director,Officer,TenPercentOwner; Director,TenPercentOwner | Head of Corporate Strategy | 4 | 2013–2014 | |
| Ferris Ventures, LLC | Other; TenPercentOwner | 2 | 2013–2014 | ||
| Francescani David | Director; Other | 6 | 2013–2016 | ||
| Ibietatorremendia Jose | Officer; Other | General Counsel | 6 | 2013–2016 | |
| Keller Robert | Other; TenPercentOwner | 2 | 2013–2014 | ||
| Lee James P. | Officer; Other | Chief Administrative Officer | 3 | 2013–2015 | |
| LT World Ltd LLC | Director,Officer,TenPercentOwner; Director,TenPercentOwner | Head of Corporate Strategy | 4 | 2013–2014 | |
| NGNG, Inc | TenPercentOwner | 10 | 2013–2014 | ||
| O'Boyle Robert | Officer | Executive Vice President; President | 6 | 2013–2015 | |
| Raquet Walter F | Director | 3 | 2013–2014 | ||
| Ross Thomas Rogerson | Director | 3 | 2013–2014 | ||
| Schaeffer Group, LLC | Director,TenPercentOwner; TenPercentOwner | 3 | 2013–2014 | ||
| Schaeffer Holdings, LLC | Director,TenPercentOwner; TenPercentOwner | 3 | 2013–2014 | ||
| SCHAEFFER RICHARD | Director,TenPercentOwner; TenPercentOwner | 3 | 2013–2014 | ||
| SHAF Holdings LLC | Director,TenPercentOwner; TenPercentOwner | 3 | 2013–2014 | ||
| Shifrin Kenneth David | Officer; Other | Chief Financial Officer | 5 | 2013–2015 | |
| Simone Victor R Jr | Director; Other | 6 | 2013–2016 | ||
| STORMS BRIAN M | Director,Officer | Chief Executive Officer; Vice Chairman | 6 | 2013–2015 | person page Fuzzy |
| SUSKIND DENNIS A | Director; Other | 5 | 2013–2016 | person page Fuzzy | |
| VA Family, LLC | TenPercentOwner | 10 | 2013–2014 | ||
| VON ALLMEN DOUGLAS J | TenPercentOwner | 11 | 2013–2014 | ||
| Von Allmen Linda | TenPercentOwner | 11 | 2013–2014 | ||
| Von Allmen Partners, L.P. | TenPercentOwner | 10 | 2013–2014 | ||
| Zavarro Allan | Director; Other | 4 | 2013–2015 | ||
| Von Allmen Dynasty Trust | TenPercentOwner | 2 | 2013–2014 | ||
| LT WORLD PARTNERS, LLC | Other | 1 | 2014 | ||
| MSDC Management, L.P. | TenPercentOwner | 2 | 2014–2015 | ||
| MSD Credit Opportunity Master Fund, L.P. | TenPercentOwner | 2 | 2014–2015 | ||
| KENT PETER R | Officer; Other | Chief Financial Officer | 3 | 2014–2016 | |
| Guarino Alan C. | Director | 2 | 2014 | person page Fuzzy | |
| Cooper Bruce P | Officer; Other | Chief Technology Officer | 2 | 2015–2016 | |
| Hunter Creek, LLC | Other | 1 | 2015 |
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 | LIQUID HOLDINGS GROUP, INC. | NJ | State business registries | name and state |
| Business registration | LIQUID HOLDINGS GROUP, INC. | NJ | State business registries | name and state |
| SEC filer | Liquid Holdings Group, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Person page | Alan C Guarino | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Brian M Storms | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer) | |
| Person page | Dennis A Suskind | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Other) |
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 Services-Prepackaged Software, NJ first:
- ALL TECH INVESTMENT GROUP INC /DE/ NJ
- BIO KEY INTERNATIONAL INC NJ
- FUNDTECH LTD NJ
- AREMISSOFT CORP /DE/ NJ
- COMMVAULT SYSTEMS INC NJ
- Zerify, Inc. NJ
- Amber Road, Inc. NJ
- Axiologix Education Corp NJ
- GROOVY COMPANY, INC. NJ
- CareCloud, Inc. NJ
In other datasets, the same topic (Technology) in NJ:
- Form D issuer: A2Zlogix, Inc. (Form D private offerings)
- Lobbying client: 1KOSMOS INC (Federal lobbying (LDA))
Interests: Services-Prepackaged Software · Technology