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Liquid Holdings Group, Inc. (LIQDQ) Create: Alert

All | News | Filings
Date FiledTypeDescription
02/19/2016 8-K Quarterly results
02/11/2016 8-K Bankruptcy or Receivership, Cost Associated with Exit or Disposal Activities
02/02/2016 8-K Bankruptcy or Receivership, Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "Liquid Files Voluntary Petition Under Chapter 11 of the Bankruptcy Code HOBOKEN, N.J., Jan. 27, 2016 -- Liquid Holdings Group, Inc. , a SaaS provider of investment management solutions for the buy side, announced today that it and its subsidiary Liquid Prime Holdings, LLC, each filed a voluntary petition in the United States Bankruptcy Court for the District of Delaware seeking relief under the provisions of Chapter 11 of the United States Bankruptcy Code. The Company believes the Chapter 11 process will provide the greatest flexibility to pursue viable options for asset sales or other alternatives. Liquid will continue to operate the business as a debtor-in-possession in its Chapter 11 case. The Company has filed a series of first-day motions with the Court that will allow it to continue ..."
12/01/2015 8-K Results of Operations and Financial Condition, Regulation FD Disclosure, Financial Statements and Exhibits
Docs: "June 30, 2015 Information"
10/27/2015 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Regulation FD Disclosure...
Docs: "Liquid to Delist From NASDAQ Stock Market and Explore Strategic Alternatives HOBOKEN, N.J., Oct. 27, 2015 -- Liquid Holdings Group, Inc. , a SaaS provider of investment management solutions for the buy side, announced that trading of the Company's common stock on The Nasdaq Capital Market will be suspended at the open of business on Wednesday, October 28, 2015, and Nasdaq will file a Form 25, Notification of Delisting, with the Securities and Exchange Commission. Liquid has withdrawn its pending appeal of the September 21, 2015 delisting notice issued by the Nasdaq Listing Qualifications Staff. Additionally, the Company has retained SenaHill Advisors, LLC to explore strategic alternatives. Such strategic alternatives may include, but are not limited to, a merger or other business combinati..."
10/08/2015 8-K Asset disposition
Docs: "INFORMATION EXPLANATORY NOTE Liquid Holdings Group, Inc. is providing this unaudited, unreviewed financial information in order to make publicly available the information that will be used to amend and restate the Company’ s Quarterly Report on Form 10-Q for the period ended September 30, 2014, which was filed with the Securities and Exchange Commission on November 14, 2014. This Ex. 99.1 contains the following information: · Item 1. Financial Statements; and · Item 2. Management’ s Discussion and Analysis of Financial Condition and Results of Operations. As previously reported, the Audit Committee of the Company’ s Board of Directors , with the assistance of outside legal counsel, has conducted an investigation into certain issues raised by counsel to one of the Company’ s s...",
"2014 INFORMATION EXPLANATORY NOTE Liquid Holdings Group, Inc. is providing this unaudited, unreviewed financial information as of, and for the year ended, December 31, 2014 in order to make publicly available the information that will be used to prepare and file the following items in the Company’ s Annual Report on Form 10-K for the year ended December 31, 2014: · Item 8. Financial Statements; · Item 1A. Risk Factors; · Item 3. Legal Proceedings; and · Item 7. Management’ s Discussion and Analysis of Financial Condition and Results of Operations. Cautionary Statement Regarding the Following Information The Company cautions not to place undue reliance upon the information contained in this Ex. 99.2, which is limited in scope and does not include all information ...",
"INFORMATION EXPLANATORY NOTE Liquid Holdings Group, Inc. is providing this unaudited, unreviewed financial information in order to make publicly available the information that will be used to prepare and file the following items in the Company’ s Quarterly Report on Form 10-Q for the period ended March 31, 2015: · Item 1. Financial Statements; and · Item 2. Management’ s Discussion and Analysis of Financial Condition and Results of Operations. Cautionary Statement Regarding the Following Information The Company cautions not to place undue reliance upon the information contained in this Ex. 99.3, which is limited in scope and does not include all information required to be disclosed in periodic reports pursuant to the SEC rules and regulations. The information was not audited ..."
09/24/2015 8-K Cost Associated with Exit or Disposal Activities, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Stand...
Docs: "Liquid Holdings Group Receives Delisting Notice from NASDAQ"
09/16/2015 8-K Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
09/09/2015 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
Docs: "Letter Agreement, between Liquid Holdings Group, Inc. and Brian Storms"
08/24/2015 8-K Other Events
07/23/2015 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and...
Docs: "Liquid Holdings Group Announces Transfer of Listing to The NASDAQ Capital Market and Additional Extensions to Regain Compliance With the NASDAQ Bid Price and Filing Requirements"
07/10/2015 8-K Results of Operations and Financial Condition, Financial Statements and Exhibits
Docs: "Liquid Holdings Group Announces Reorganization to Streamline Operations"
05/14/2015 8-K Entry into a Material Definitive Agreement, Results of Operations and Financial Condition, Financial Statements and Exhibits
Docs: "Agreement of Sublease, between Liquid Holdings Group, Inc. and Meridian Capital Group, LLC",
"Liquid Holdings Group Announces Sublease of Corporate Headquarters and Move to Hoboken"
04/22/2015 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and...
Docs: "Liquid Holdings Group Announces Receipt of NASDAQ Notification Letter Relating to Annual Report on Form 10-K"
03/17/2015 8-K Entry into a Material Definitive Agreement, Financial Statements and Exhibits
Docs: "Lock-Up and Support Agreement, among Liquid Holdings Group, Inc., Robert W. Pereira and Middlesex Corporation"
03/03/2015 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
Docs: "Transition Agreement, between Liquid Holdings Group, Inc. and Brian Storms",
"Liquid Holdings Group Announces Changes to Executive Management Team"
02/25/2015 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
01/26/2015 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and...
Docs: "Liquid Holdings Group Receives Delisting Notice From Nasdaq"
01/08/2015 8-K Results of Operations and Financial Condition, Other Events
12/23/2014 8-K Termination of a Material Definitive Agreement, Other Events
12/12/2014 8-K Entry into a Material Definitive Agreement, Material Modifications to Rights of Security Holders, Amendments to Articles of I...
Docs: "Certificate of Designation, Preferences, and Rights of Series A Junior Participating Preferred Stock of Liquid Holdings Group, Inc",
"Rights Agreement, by and between the Company and Continental Stock Transfer and Trust Company, as rights agent, which includes as Exhibit B the Form of Rights Certificate",
"Liquid Holdings Group Adopts Stockholders Rights Plan"
10/30/2014 8-K Quarterly results, Appointed a new director
Docs: "Executive Employment Agreement, between Liquid Holdings Group, Inc. and Peter R. Kent",
"LIQUID HOLDINGS GROUP, INC. AND SUBSIDIARIES RECONCILIATION OF GAAP TO NON-GAAP FINANCIAL MEASURES"
10/21/2014 8-K Entry into a Material Definitive Agreement, Financial Statements and Exhibits
Docs: "Amended & Restated Consulting Agreement, between Ferdinand Trading LLC and Liquid Holdings Group, Inc",
"Amendment of October 16, 2014 to Lock-up Agreement, in favor of Liquid Holdings Group, Inc"
09/26/2014 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
09/23/2014 8-K Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits
Docs: "Letter of KPMG to the SEC regarding statements included in this Form 8-K"
07/31/2014 8-K Quarterly results
Docs: "Liquid Holdings Group Reports Second Quarter 2014 Results Software Services Revenue Grows 20% Over Prior Quarter"
05/27/2014 8-K Submission of Matters to a Vote of Security Holders
05/13/2014 8-K Quarterly results
Docs: "Liquid Holdings Group Reports First Quarter 2014 Results Annual Contract Value Grows 16% and Customer Base Grows 55% Sequentially"
04/30/2014 8-K Results of Operations and Financial Condition
04/21/2014 8-K Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Departure of Directors or Certain...
Docs: "Consulting Agreement between Ferdinand Trading LLC and Liquid Holdings Group, Inc",
"Lock-up Agreement in favor of Liquid Holdings Group, Inc",
"Liquid Holdings Announces Board Transition"
02/27/2014 8-K Quarterly results
Docs: "Revolving Promissory Note, between Liquid Holdings Group, Inc. and Brian Ferdinand",
"Revolving Promissory Note, between Liquid Holdings Group, Inc. and Douglas J. Von Allmen",
"LIQUID HOLDINGS GROUP, INC. AND SUBSIDIARIES RECONCILIATION OF GAAP TO NON-GAAP MEASURES"
01/30/2014 8-K Other Events
12/27/2013 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
Docs: "Liquid Holdings Group Announces Victor R. Simone, Jr. as New Non-Executive Board Chairman Former Senior Executive at Goldman Sachs Brings Leadership and Deep Experience Growing Financial Technology Companies"
12/17/2013 8-K Other Events
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