UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934
Date of report (Date of earliest event reported): September 22, 2014
LIQUID HOLDINGS GROUP, INC.
(Exact name of registrant as specified in its charter)
| Delaware | | 1-36024 | | 46-3252142 |
(State or other jurisdiction of incorporation) | | (Commission File Number) | | (IRS Employer Identification No.) |
800 Third Avenue
38th Floor
New York, NY 10022
(Address of principal executive offices, including zip code)
Registrant’s telephone number, including area code: (212) 293-1836
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
| Item 5.02 | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory. |
| (b) | In connection with an effort to reduce the size of, and the costs associated with, the Board of Directors (the “Board”) of Liquid Holdings Group, Inc. (the “Company”), Mr. Darren Davy and Mr. Thomas R. Ross, having consulted with Mr. Victor R. Simone, Jr., Chairman of the Board, and Mr. David Francescani, Chairman of the Board’s Nominating and Governance Committee, tendered their resignations as members of the Board on September 22. Neither resignation was due to any disagreement with the Company, the Board or the Company’s management. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| | LIQUID HOLDINGS GROUP, INC. |
| | (Registrant) |
| | |
| | |
| | By: | /s/ Kenneth Shifrin |
| | | Kenneth Shifrin |
| | | Chief Financial Officer |
| Date: September 26, 2014 | | |
