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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Merriman Holdings, Inc.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| March 30, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES AND EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File No. 001-15831 MERRIMAN HOLDINGS, INC. (Exact name of registrant as specified in |
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| March 30, 2016 |
As filed with the Securities and Exchange Commission on March 30, 2016 Registration No. |
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| March 30, 2016 |
As filed with the Securities and Exchange Commission on March 30, 2016 Registration No. |
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| March 30, 2016 |
As filed with the Securities and Exchange Commission on March 30, 2016 Registration No. |
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| March 30, 2016 |
As filed with the Securities and Exchange Commission on March 30, 2016 Registration No. |
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| March 30, 2016 |
As filed with the Securities and Exchange Commission on March 30, 2016 Registration No. |
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| March 30, 2016 |
As filed with the Securities and Exchange Commission on March 30, 2016 Registration No. |
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| March 30, 2016 |
As filed with the Securities and Exchange Commission on March 30, 2016 Registration No. |
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| March 17, 2016 |
8-K 1 v4346218k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): March 16, 2016 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commissio |
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| February 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): February 17, 2016 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS E |
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| January 7, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): December 31, 2015 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS E |
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| November 20, 2015 |
Merriman Holdings FORM 10-Q (Quarterly Report) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2015 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the Transition Period from to . Commission file number: 1-15831 MERRIMAN HOLDINGS, INC. (Exact |
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| November 16, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 to FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): o Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: September 30, 2015 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? |
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| November 16, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): o Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: September 30, 2015 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? Transition Report |
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| November 6, 2015 |
CERTIFICATE OF DESIGNATION SERIES F PREFERRED STOCK MERRIMAN HOLDINGS, INC. Exhibit 3.13 CERTIFICATE OF DESIGNATION OF SERIES F PREFERRED STOCK OF MERRIMAN HOLDINGS, INC. Merriman Holdings, Inc. (the ?Company?), organized and existing under the provisions of the General Corporation Law of the State of Delaware, does hereby certify that the Board of Directors of the Company adopted the following resolution on October 29, 2015: RESOLVED, that pursuant to the authority expre |
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| November 6, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): October 30, 2015 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Em |
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| August 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ? Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: June 30, 2015 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? Transition Report on Fo |
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| July 24, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): July 20, 2015 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Emplo |
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| May 15, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ? Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: March 31, 2015 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ?Transition Report on Fo |
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| May 4, 2015 |
Exhibit 10.52 SECURED PROMISSORY NOTE $1,000,000 April _, 2015 San Francisco, California FOR VALUE RECEIVED, MERRIMAN HOLDINGS, INC., a Delaware corporation (“Maker”), hereby promises to pay to the order of EGS, LLC, a Delaware limited liability company (“Lender”), its successors and assigns, in lawful money of the United States of America, the lesser of ONE MILLION DOLLARS ($1,000,000) or the pri |
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| May 4, 2015 |
Exhibit 10.53 STOCK PLEDGE AGREEMENT This STOCK PLEDGE AGREEMENT dated as of April , 2015 (this ?Pledge Agreement?) between MERRIMAN HOLDINGS, INC. a Delaware corporation (?Debtor?), and EGS, LLC, A Delaware limited liability company (the ?Secured Party?). RECITALS A. Debtor has executed a Promissory Note (as hereinafter defined) payable to the order of the Secured Party. B. In order to induce Sec |
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| May 4, 2015 |
EX-10.54 5 v409379ex10-54.htm EXHIBIT 10.54 Exhibit 10.54 INTERCREDITOR AGREEMENT INTERCREDITOR AGREEMENT dated as of April 20, 2015 (this “Agreement”) among Ronald L. Chez (“Chez”), First Bank & Trust as Custodian for Ronald L. Chez IRA (“Chez IRA”), D. Jonathan Merriman (“Merriman”), Kenneth R. Werner (“Werner”), William J. Febbo (“Febbo”), Patrick W. O’Brien (“O’Brien”), Manatuck Hill Scout Fun |
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| May 4, 2015 |
Exhibit 10.51 NOTE PURCHASE AGREEMENT NOTE PURCHASE AGREEMENT dated as of April , 2015 (this ?Agreement?) between the EGS, LLC, a Delaware limited liability company (the ?Purchaser?), and Merriman Holdings, Inc., a Delaware corporation (the ?Company?). WHEREAS, subject to the terms and conditions in this Agreement, the Purchaser is purchasing the Note and the Warrants (each as defined herein), sub |
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| May 4, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 28, 2015 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Empl |
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| March 31, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): March 31, 2015. MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Emp |
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| March 31, 2015 |
Merriman Holdings, Inc. Grows Revenues 60% Year over Year Exhibit 99.1 Merriman Holdings, Inc. Grows Revenues 60% Year over Year SAN FRANCISCO – March 31, 2015 – Merriman Holdings, Inc. (OTCQB: MERR), the parent company of Merriman Capital, Inc., today released earnings for the year ended December 31, 2014. 2014 Financial Highlights: · For the years ended December 31, 2014 and 2013, total revenues were $15.9 million and $9.9 million, respectively, up $6 |
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| February 6, 2015 |
MERR / Merriman Holdings, Inc. / Falcon Fund Management Ltd - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* MERRIMAN HOLDINGS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 590418109 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| November 21, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): November 17, 2014. MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS |
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| November 21, 2014 |
EX-99.1 2 v395075ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 CHANGE OF CONTROL AGREEMENT THIS CHANGE OF CONTROL AGREEMENT (this "Agreement") is entered into as of November 17, 2014, between Merriman Holdings, Inc., a Delaware company (the "Company"), and [] (the "Executive"). WHEREAS, the parties desire to enter into this Agreement setting forth certain of the terms and conditions for the employment rela |
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| November 12, 2014 |
Merriman Holdings, Inc. Third Quarter Revenue Up 131% Year Over year Exhibit 99.1 Merriman Holdings, Inc. Third Quarter Revenue Up 131% Year Over year SAN FRANCISCO – November 12, 2014 – Merriman Holdings, Inc. (OTCQX: MERR), the parent company of Merriman Capital, Inc., today released earnings for the third quarter ended September 30, 2014. Third Quarter 2014 Financial Highlights: - Third quarter total revenue was $4.5 million, up $2.6 million or 131% when compare |
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| November 12, 2014 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): November 12, 2014. MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS |
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| August 14, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 v3868718k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): August 14, 2014. MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Co |
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| August 14, 2014 |
Merriman Holdings, Inc. Doubles Revenues First Half 2014 Over 2013 EX-99.1 2 v386871ex99-1.htm EXHIBIT 99.1 Merriman Holdings, Inc. Doubles Revenues First Half 2014 Over 2013 SAN FRANCISCO – August 14, 2014 – Merriman Holdings, Inc. (OTCQX: MERR), the parent company of Merriman Capital, Inc., today released earnings for the second quarter ended June 30, 2014. Second Quarter 2014 Financial Highlights: - Second quarter total revenue was $4.6 million, up $2.3 millio |
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| July 2, 2014 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): June 27, 2014. MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Empl |
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| May 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State |
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| May 1, 2014 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits 8-K 1 v3769358-k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 25, 2014 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Com |
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| April 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| April 17, 2014 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 10, 2014 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Empl |
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| April 8, 2014 |
MERRIMAN HOLDINGS, INC. COMMON STOCK PURCHASE AGREEMENT , 2014 MERRIMAN HOLDINGS, INC. COMMON STOCK PURCHASE AGREEMENT This Common Stock Purchase Agreement (this “Agreement”) is made as of , 2014 , by and among Merriman Holdings, Inc., a Delaware corporation (the “Company”), and the persons and entities (each, an “Investor” and collectively, the “Investors”) shown on the signature pages hereto. SE |
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| April 8, 2014 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits 8-K 1 v3742618-k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 2, 2014 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Comm |
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| April 4, 2014 |
JOINT ACQUISITION STATEMENT PURSUANT TO RULE 13d-1(k)(1) EX-99.1 2 v373999ex99-1.htm EXHIBIT 1 EXHIBIT 1 JOINT ACQUISITION STATEMENT PURSUANT TO RULE 13d-1(k)(1) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional jo |
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| April 4, 2014 |
MERR / Merriman Holdings, Inc. / Byrne James Ross - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) Information to be Included in Statements Filed Pursuant to Rules 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to Rule 240.13d-2. Under the Securities Exchange Act of 1934 (Amendment No. )* Merriman Holdings, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 590419107s (CUSIP Nu |
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| March 31, 2014 |
List of Subsidiaries of Merriman Holdings, Inc. EX-21.1 2 v371844ex21-1.htm EXHIBIT 21.1 EXHIBIT 21.1 List of Subsidiaries of Merriman Holdings, Inc. Merriman Capital, Inc., California (active) Merriman Asset Management, Inc. (inactive) |
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| March 31, 2014 |
Merriman Holdings FORM 10-K (Annual Report) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2013 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-15831 MERRIMAN HOLDINGS, INC. (Exac |
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| January 6, 2014 |
Submission of Matters to a Vote of Security Holders - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): December 30, 2013. MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS |
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| December 18, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State |
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| December 11, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): December 5, 2013 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Em |
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| December 11, 2013 |
Merriman Holdings Names Robert Ward to its Board of Directors Merriman Holdings Names Robert Ward to its Board of Directors SAN FRANCISCO – December 4, 2013 – Merriman Holdings, Inc. |
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| September 10, 2013 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 4, 2013 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS E |
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| September 10, 2013 |
Merriman Acquires Transaction Platform EX-99.1 2 v354655ex99-1.htm EXHIBIT 99.1 Merriman Acquires Transaction Platform SAN FRANCISCO – September 10, 2013 – Merriman Capital, Inc., a wholly owned subsidiary of Merriman Holdings, Inc. (OTCQX: MERR), today announced the acquisition of Distribution Networks LLC’s transaction platform to help facilitate its growing private placement business. “Our Financial Entrepreneur Platform has reached |
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| May 6, 2013 |
MERR / Merriman Holdings, Inc. / Falcon Fund Management Ltd - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* MERRIMAN HOLDINGS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 590418109 (CUSIP Number) April 26, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| May 6, 2013 |
JOINT FILING AGREEMENT May 6, 2013 EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT May 6, 2013 Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation the |
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| May 1, 2013 |
Merriman Capital Completes Recapitalization EX-99.1 2 v343393ex99-1.htm EXHIBIT 99.1 Merriman Capital Completes Recapitalization SAN FRANCISCO, May1, 2013- Merriman Capital, Inc., a wholly owned subsidiary of Merriman Holdings, Inc. (OTCQX: MERR), announced today that it has closed its recapitalization of its balance sheet through the simultaneous conversion of approximately $1.2 Million in debt, extinguishment of accumulated dividends, and |
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| May 1, 2013 |
Unregistered Sales of Equity Securities - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 26, 2013 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Empl |
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| April 4, 2013 |
MERRIAMN HOLDINGS, INC. VOTING AGREEMENT EX-10.50 4 v340543ex10-50.htm EXHIBIT 10.50 MERRIAMN HOLDINGS, INC. VOTING AGREEMENT This Voting Agreement is made as of March , 2013 by and among Merriman Holdings, Inc., a Delaware corporation (the “Company”), Ronald L. Chez (“Chez”), an individual, Ronald L. Chez, Inc. (“Chez Inc.”), an Illinois corporation, and Ronald L. Chez IRA (“Chez IRA,” and collectively with Chez and Chez, Inc., the “Che |
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| April 4, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): March 28, 2013 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Empl |
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| April 4, 2013 |
EX-3.13 2 v340543ex3-13.htm EXHIBIT 3.13 Certificate of amendment to CERTIFICATE OF DESIGNATION OF SERIES D AND SERIES E PREFERRED STOCK OF MERRIMAN HOLDINGS, INC. Merriman Holdings, Inc. (the “Company”), organized and existing under the provisions of the General Corporation Law of the State of Delaware, does hereby certify that the Board of Directors of the Company adopted the following resolutio |
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| April 4, 2013 |
MERRIMAN HOLDINGS, INC. COMMON STOCK PURCHASE AGREEMENT March , 2013 MERRIMAN HOLDINGS, INC. COMMON STOCK PURCHASE AGREEMENT This Common Stock Purchase Agreement (this “Agreement”) is made as of March , 2013, by and among Merriman Holdings, Inc., a Delaware corporation (the “Company”), and the persons and entities (each, an “Investor” and collectively, the “Investors”) listed on the Schedule of In |
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| February 11, 2013 |
February 11, 2013 Suzanne Hayes Assistant Director Division of Corporation Finance United States Securities and Exchange Commission Washington D. |
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| December 20, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): December 13, 2012 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS E |
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| October 3, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 27, 2012 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS |
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| August 14, 2012 |
EX-99.1 2 v321456ex99-1.htm EXHIBIT 99.1 Merriman HOLDINGS, INC. Announces Financial Results for the Second quarter Ended June 30, 2012 Strategic shift to service oriented recurring revenue model gains momentum: 35% increase in clients sequentially Financial Entrepreneur Platform expands adding 2 additional groups SAN FRANCISCO – August 14, 2012 – Merriman Holdings, Inc. (OTCQX: MERR), the parent |
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| August 14, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): August 14, 2012 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Emp |
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| August 3, 2012 |
CERTIFICATE OF AMENDMENT CERTIFICATE OF DESIGNATION MERRIMAN HOLDINGS, INC. CERTIFICATE OF AMENDMENT OF CERTIFICATE OF DESIGNATION OF MERRIMAN HOLDINGS, INC. Merriman Holdings, Inc. (the “Company”), organized and existing under the provisions of the General Corporation Law of the State of Delaware, does hereby certify that the Board of Directors of the Company adopted the following resolution on July 19, 2012 and the holders of Series D Preferred Stock approved such resol |
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| August 3, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): July 30, 2012 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Emplo |
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| June 8, 2012 |
EX-16.1 2 v315675ex16-1.htm EXHIBIT 16.1 Exhibit 16.1 June 5, 2012 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Commissioners: We have read the statements included under Item 4.01 in the Form 8-K dated June 4, 2012 of Merriman Holdings, Inc. to be filed with the Securities and Exchange Commission and we agree with the statements concerning our Firm in such Form 8-K. |
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| June 8, 2012 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): June 4, 2012 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Employ |
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| May 18, 2012 |
Certificate of amendment to CERTIFICATE OF DESIGNATION OF SERIES D AND SERIES E PREFERRED STOCK OF MERRIMAN HOLDINGS, INC. |
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| May 18, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): May 14, 2012 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Employ |
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| May 18, 2012 |
MERRIMAN HOLDINGS, INC. 2012 STOCK INCENTIVE PLAN 1. Purpose MERRIMAN HOLDINGS, INC. 2012 STOCK INCENTIVE PLAN 1. Purpose The purpose of this 2012 Stock Incentive Plan (the “Plan”) of Merriman Holdings, Inc., a Delaware corporation (the “Company”), is to advance the interests of the Company’s stockholders by enhancing the Company’s ability to attract, retain and motivate persons who are expected to make important contributions to the Company and by providin |
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| May 15, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): May 15, 2012 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Employ |
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| May 15, 2012 |
FOr IMMEDIATE RELEASE Merriman HOLDINGS, INC. Announces Financial Results for the FIRST Quarter Ended March 31, 2012 Total revenues of $5,303,000, 24% above budget Total Operating Expenses Decreased by 25% over the First Quarter 2011 SAN FRANCISCO – May 15, 2012 – Merriman Holdings, Inc. (OTCQX: MERR), the parent company of Merriman Capital, Inc., today released earnings for the first quarter 2012 |
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| March 29, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 v3078028k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): March 29, 2012 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction |
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| March 29, 2012 |
EX-99.1 2 v307802ex99-1.htm EXHIBIT 99.1 For Immediate Release Merriman HOLDINGS, INC. Announces Financial Results for the FOURTH Quarter Ended DECember 31, 2011 AND FISCAL YEAR 2011 SAN FRANCISCO – March 29, 2012 – Merriman Holdings, Inc. (OTCQX: MERR), the parent company of Merriman Capital, Inc., today released earnings for 2011. 2011 Financial Highlights: - Revenue was $21.9 million. - Commiss |
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| January 18, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): January 11, 2012 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS Em |
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| January 18, 2012 |
MERRIMAN HOLDINGS HIRES WILLIAM J. FEBBO AS COO EX-99.1 2 v245726ex99-1.htm EXHIBIT 99.1 FOR IMMEDIATE RELEASE MERRIMAN HOLDINGS HIRES WILLIAM J. FEBBO AS COO SAN FRANCISCO – January 18, 2012 – Merriman Holdings, Inc. (OTCQX: MERR), today announced that Will Febbo has been hired as chief operating officer of the holding company and broker-dealer, Merriman Capital, Inc., effective January 11, 2012. Febbo assumes this new officer level position w |
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| January 5, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): December 29, 2011 MERRIMAN HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-15831 11-2936371 (State or Other Jurisdiction (Commission File Number) (IRS E |
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| January 5, 2012 |
MERRIMAN HOLDINGS, INC. CLOSES SERIES E PREFERRED FUNDING EX-99.1 4 v244745ex99-1.htm EXHIBIT 99.1 FOR IMMEDIATE RELEASE MERRIMAN HOLDINGS, INC. CLOSES SERIES E PREFERRED FUNDING SAN FRANCISCO – January 5, 2012 – Merriman Holdings, Inc. (OTCQX: MERR) announced today that it closed on an offering of Series E Preferred Stock on December 30, 2011, resulting in a new equity investment of approximately $1.6 million. The investment was led by the Company’s Co- |
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| January 5, 2012 |
CERTIFICATE OF DESIGNATION SERIES E PREFERRED STOCK MERRIMAN HOLDINGS, INC. CERTIFICATE OF DESIGNATION OF SERIES E PREFERRED STOCK OF MERRIMAN HOLDINGS, INC. Merriman Curhan Ford Group, Inc. (the “Company”), organized and existing under the provisions of the General Corporation Law of the State of Delaware, does hereby certify that the Board of Directors of the Company adopted the following resolution on December 27, 2011: RESOLVED, that pursuant to the authority expressl |
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| January 5, 2012 |
CERTIFICATE OF AMENDMENT OF CERTIFICATE OF DESIGNATION OF SERIES D CONVERTIBLE PREFERRED STOCK OF MERRIMAN HOLDINGS, INC. |
