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| CIK | 1162283 |
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 Morgan Group Holding Co.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| January 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 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 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 Number 333-73996 Morgan Group Holding Co. (Exact name of registrant as specified in |
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| November 29, 2023 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 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 No. 333-73996 Morgan Group Holding |
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| November 27, 2023 |
Entry into a Material Definitive Agreement 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 20, 2023 MORGAN GROUP HOLDING CO. (Exact Name of Registrant as Specified in Charter) Delaware 333-73996 13-4196940 (State or Other Jurisdiction of Incorporation) (Commission |
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| November 20, 2023 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 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 No. 333-73996 Morgan Group Holding C |
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| November 15, 2023 |
SEC FILE NUMBER 333-73996 CUSIP NUMBER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 14, 2023 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 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 No. 333-73996 Morgan Group Holding Co. (E |
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| May 15, 2023 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 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 No. 333-73996 Morgan Group Holding Co. ( |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 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 333-73996 Morgan Group Holding Co. ( |
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| March 31, 2023 |
Exhibit 21.1 - Subsidiary of Morgan Group Holding Company Exhibit 21.1 Subsidiary of Morgan Group Holding Co. The following table lists the direct and indirect subsidiary of Morgan Group Holding Co. (the “Company”). Name Jurisdiction of Incorporation or Organization G.research, LLC Delaware (100%-owned by Morgan Group Holding Co.) |
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| November 14, 2022 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 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 No. 333-73996 Morgan Group Holding C |
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| August 15, 2022 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 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 No. 333-73996 Morgan Group Holding Co. (E |
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| May 11, 2022 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 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 No. 333-73996 Morgan Group Holding Co. ( |
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| April 1, 2022 |
Exhibit 21.1 - Subsidiary of Morgan Group Holding Company Exhibit 21.1 Subsidiary of Morgan Group Holding Co. The following table lists the direct and indirect subsidiary of Morgan Group Holding Co. (the “Company”). Name Jurisdiction of Incorporation or Organization G.research, LLC Delaware (100%-owned by Morgan Group Holding Co.) |
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| April 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 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 333-73996 Morgan Group Holding Co. ( |
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| November 15, 2021 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 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 No. 333-73996 Morgan Group Holding C |
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| August 16, 2021 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 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 No. 333-73996 Morgan Group Holding Co. (E |
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| May 17, 2021 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 10-Q 1 brhc1002442910q.htm 10-Q UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 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 No. 333- |
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| April 5, 2021 |
10-K 1 brhc1002247410k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 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 333- |
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| April 5, 2021 |
Subsidiary of Morgan Group Holding Company Exhibit 21.1 Subsidiary of Morgan Group Holding Co. The following table lists the direct and indirect subsidiary of Morgan Group Holding Co. (the ?Company?). Name Jurisdiction of Incorporation or Organization G.research, LLC Delaware (100%-owned by Morgan Group Holding Co.) |
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| April 1, 2021 |
SEC FILE NUMBER 333-73996 CUSIP NUMBER 61735R104 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 13, 2021 |
Changes in Registrant's Certifying Accountant 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 8, 2021 MORGAN GROUP HOLDING CO. (Exact name of registrant as specified in its charter) Delaware 333-73996 13-4196940 (State or other jurisdiction of incorporation) (Commission |
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| December 18, 2020 |
Changes in Registrant's Certifying Accountant, Other Events 8-K 1 brhc100180928k.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 December 18, 2020 MORGAN GROUP HOLDING CO. (Exact name of registrant as specified in its charter) Delaware 333-73996 13-4196940 (State or other jurisdiction of incorporation) (Commission Fi |
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| December 10, 2020 |
Exhibit 99.1 December 10, 2020 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 4.01 of Morgan Group Holding Co.'s Form 8-K dated December 10, 2020, and have the following comments: 1. We agree with the statements made in the first three paragraphs. 2. We have no basis on which to agree or disagree with the statements made in the |
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| December 10, 2020 |
Changes in Registrant's Certifying Accountant 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, 2020 MORGAN GROUP HOLDING CO. (Exact name of registrant as specified in its charter) Delaware 333-73996 13-4196940 (State or other jurisdiction of incorporation) (Commissio |
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| November 16, 2020 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 10-Q 1 brhc1001704710q.htm 10-Q UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 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 No. |
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| August 14, 2020 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 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 No. 333-73996 Morgan Group Holding Co. (E |
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| August 6, 2020 |
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 5, 2020 MORGAN GROUP HOLDING CO. (Exact name of registrant as specified in charter) Delaware 333-73996 13-4196940 (State or other jurisdiction of incorporation) (Commission Fil |
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| July 31, 2020 |
Morgan Group Holding Co. 500,000 shares of Common Stock (par value $0.01 per share) TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(1) Registration No. 333-238702 Morgan Group Holding Co. 500,000 shares of Common Stock (par value $0.01 per share) This Prospectus is being furnished to you as a stockholder of Associated Capital Group, Inc., referred to as ACG. ACG plans to effect a distribution, referred to as the Spin-Off or the Distribution, to its stockholders of 500,000 shares |
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| July 23, 2020 |
CORRESP 1 filename1.htm MORGAN GROUP HOLDING CO. 401 Theodore Fremd Avenue Rye, New York 10580 July 23, 2020 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-0406 Re: Morgan Group Holding Co. Registration Statement on Form S-1, initially filed on May 26, 2020, as amended File No. 333-238702 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1 |
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| July 15, 2020 |
S-1/A 1 nt10012138x3s1a.htm S-1/A TABLE OF CONTENTS As filed with the Securities and Exchange Commission on July 15, 2020 Registration No. 333-238702 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 MORGAN GROUP HOLDING CO. (Exact name of registrant as specified in its charter) Delaware 6211 |
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| July 15, 2020 |
1(212) 318-6906 [email protected] July 15, 2020 94597.00004 VIA EDGAR Mr. Eric Envall Division of Corporation Finance U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Morgan Group Holding Co. Registration Statement on Form S-1 Filed on May 26, 2020 File No. 333-238702 Dear Mr. Envall: On behalf of our client, Morgan Group Holding Co., a Delaware corpo |
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| June 12, 2020 |
Morgan Group Holding Co. Announces 1-for-100 Reverse Stock Split EX-99.1 4 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Morgan Group Holding Co. 401 Theodore Fremd Ave. Rye, NY 10580 For Immediate Release: Contact: Vincent M. Amabile President (914) 921-5150 www.morgangroupholdingco.com Morgan Group Holding Co. Announces 1-for-100 Reverse Stock Split RYE, New York, June 10, 2020 - Morgan Group Holding Co. (“Morgan Group” or the “Company”, OTC: MGHL) today announced a 1- |
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| June 12, 2020 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION OF MORGAN GROUP HOLDING CO. Pursuant to Section 242 of the General Corporation Law of the State of Delaware Morgan Group Holding Co., a Delaware corporation (the “Corporation”), does hereby certify as follows: 1. The name of the Corporation is Morgan Group Holding Co. 2. Article IV of the Certificate of Incorporation is hereb |
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| June 12, 2020 |
8-K 1 form8k.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): June 9, 2020 MORGAN GROUP HOLDING CO. (Exact Name of Registrant as Specified in Charter) Delaware 333-73996 13-4196940 (State or Other Jurisdiction of Incorporati |
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| June 12, 2020 |
AMENDMENT TO BY-LAWS MORGAN GROUP HOLDING CO. (Effective as of June 9, 2020) EX-3.2 3 ex32.htm EXHIBIT 3.2 Exhibit 3.2 AMENDMENT TO BY-LAWS OF MORGAN GROUP HOLDING CO. (Effective as of June 9, 2020) The By-Laws (“By-Laws”) of Morgan Group Holding Co., a Delaware corporation (the “Corporation”), are hereby amended as follows: 1. Each of Sections 1 and 2 of Article VI (Certificate of Stock) of the By-Laws is hereby amended by deleting such section in its entirety and replaci |
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| May 26, 2020 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on May 26, 2020 Registration No. |
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| May 26, 2020 |
CORRESP 1 filename1.htm May 26, 2020 NONPUBLIC CORRESPONDENCE VIA EDGAR Division of Corporate Finance U.S. Securities and Exchange Commission Mail Stop 3561 100 F Street, NE Washington, DC 20549 Re: Registration Statement on Form S-1 for Morgan Group Holding Co. Ladies and Gentlemen: On behalf of Morgan Group Holding Co., a Delaware corporation (the “Company”), and pursuant to the applicable provi |
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| May 26, 2020 |
Exhibit 3.2 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF MORGAN GROUP HOLDING CO. Pursuant to Section 242 of the General Corporation Law of the State of Delaware Morgan Group Holding Co., a corporation organized and existing under the laws of the State of Delaware (“Corporation”), hereby certifies that: 1. The name of this Corporation is Morgan Group Holding Co. 2. Pursuant to Secti |
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| May 15, 2020 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 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 No. 333-73996 Morgan Group Holding Co. ( |
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| April 2, 2020 |
MGHL / Morgan Group Holding Co. 10-K - Annual Report - 10-K 10-K 1 form10k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 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 333-73996 Mo |
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| April 2, 2020 |
Exhibit 21.1 - Subsidiary of Morgan Group Holding Company Exhibit 21.1 Subsidiary of Morgan Group Holding Co. The following table lists the direct and indirect subsidiary of Morgan Group Holding Co. (the “Company”). Name Jurisdiction of Incorporation or Organization G.research, LLC Delaware (100%-owned by Morgan Group Holding Co.) |
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| March 31, 2020 |
MGHL / Morgan Group Holding Co. NT 10-K - - NT 10-K NT 10-K 1 formnt10k.htm NT 10-K SEC FILE NUMBER 333-73996 CUSIP NUMBER 61735R104 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 ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2019 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Tran |
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| January 9, 2020 |
SELECTED HISTORICAL FINANCIAL DATA Exhibit 99.4 SELECTED HISTORICAL FINANCIAL DATA The selected historical financial data presented below has been derived in part from, and should be read in conjunction with “Management’s Discussion and Analysis of Financial Condition and Results of Operations” contained in Exhibit 99.1 to the Form 8-K and Exhibit 99.2 to this amendment to Form 8-K and G.research’s financial statements and the note |
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| January 9, 2020 |
Unaudited Pro Forma Condensed Financial Statements EX-99.5 6 ex995.htm EXHIBIT 99.5 Exhibit 99.5 Unaudited Pro Forma Condensed Financial Statements On October 31, 2019, G.research and the Company entered into and closed the definitive Merger Agreement. Under the terms of the Merger Agreement, a total of 50,000,000 shares of Common Stock were issued to ISH upon the cancellation and conversion of the limited liability company interest in G.research |
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| January 9, 2020 |
Summary Historical Financial Data Exhibit 99.3 Summary Historical Financial Data Prior to the Merger, Morgan Group had nominal assets and no liabilities and did not conduct operations other than to pursue business combination opportunities. Therefore, we believe that a presentation of the historical results of Morgan Group would not be meaningful. Accordingly, the following table sets forth summary historical financial data of G.r |
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| January 9, 2020 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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 31, 2019 MORGAN GROUP HOLDING CO. (Exact Name of Registrant as Specified in Charter) Delaware 333-73996 13-4196940 (State or Other Jurisdiction of Incorpor |
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| January 9, 2020 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 G.research, LLC Unaudited Financial Statements: Statements of Operations for the nine month periods ended September 30, 2019 and 2018 2 Statements of Financial Condition at September 30, 2019 and December 31, 2018 3 Statement of Changes in Member’s Capital for the nine months ended September 30, 2019 4 Statement of Changes in Member’s Capital for the n |
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| January 9, 2020 |
Exhibit 99.6 REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Member of G.research, LLC Rye, New York Opinion on the Financial Statements We have audited the accompanying statements of financial condition of G.research, LLC (“the Company”) as of December 31, 2018 and 2017, the related statements of operations, changes in member’s capital, and cash flows for the years then ended, and |
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| January 9, 2020 |
MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The following discussion and analysis of our financial condition and results of operations should be read in conjunction with G.research’s audited financial statements and related notes beginning on page F-1 of Exhibit 99.1 to this amendment to the Form 8‑K. Some of the information contained in this |
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| November 12, 2019 |
MGHL / Morgan Group Holding Co. / BAULCH T - NONE Passive Investment SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) October 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| November 6, 2019 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made as of October 31, 2019, by and among Morgan Group Holding Co., a Delaware corporation (the “Company”), and the parties (each, individually, a “Purchaser,” and, collectively, the “Purchasers”) listed on the Schedule of Purchasers attached to this Agreement as Exhibit A (the “Schedule of Purchasers”). |
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| November 6, 2019 |
Morgan Group Holding Co. Completes Acquisition of G.Research, LLC Exhibit 99.2 Morgan Group Holding Co. 401 Theodore Fremd Ave. Rye, NY 10580 For Immediate Release: Contact: Vincent M. Amabile President (914) 921-5150 www.morgangroupholdingco.com Morgan Group Holding Co. Completes Acquisition of G.Research, LLC RYE, New York, October 31, 2019 - Morgan Group Holding Co. (“Morgan”, OTC: MGHL) today announced the completion of its acquisition of G.Research, LLC, a |
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| November 6, 2019 |
Amended and Restated Expense Sharing Agreement Exhibit 10.3 Amended and Restated Expense Sharing Agreement This Amended and Restated Expense Sharing Agreement (“Amended Agreement”) is made as of the 23rd day of November, 2016 between G.research, LLC (formerly Gabelli & Company, Inc.) (“the Firm”) and Gabelli & Company Investment Advisers, Inc. (“GCIA”) (formerly Gabelli Securities, Inc.), a Delaware corporation headquartered in Rye, New York w |
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| November 6, 2019 |
Exhibit 10.5 LICENSE AGREEMENT This License Agreement (the “Agreement”), is entered into as of the October 31, 2019, by and between GAMCO Investors, Inc., a Delaware corporation (“Licensor”), and G.research, LLC, a Delaware limited liability company (“Licensee” and, together with Licensor, the “Parties”), and the Parties agree as follows: ARTICLE 1 BACKGROUND AND DEFINITIONS 1.1 Licensor has adopt |
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| November 6, 2019 |
Amended and Restated Expense Sharing Agreement Exhibit 10.2 Amended and Restated Expense Sharing Agreement This Amended and Restated Expense Sharing Agreement (“Amended Agreement”) is made as of the 23rd day of November, 2016 between G.research, LLC (formerly Gabelli & Company, Inc.) (“the Firm”) and GAMCO Investors, Inc. (“GBL”), a Delaware corporation headquartered in Rye, New York which serves as paymaster of certain shared payroll expenses |
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| November 6, 2019 |
Exhibit 10.4 Expense Sharing Agreement This Agreement is made as of the 23rd day of November, 2016 between G.research, LLC (formerly Gabelli & Company, Inc.) (“the Firm”) and Associated Capital Group, Inc. (“AC” or “the Parent Company”), a Delaware corporation headquartered in Rye, New York and the Firm’s parent company as of November 30, 2015 subsequent to AC’s formation and its spin-off (“the Sp |
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| November 6, 2019 |
8-K 1 form8k.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): October 31, 2019 MORGAN GROUP HOLDING CO. (Exact Name of Registrant as Specified in Charter) Delaware 333-73996 13-4196940 (State or Other Jurisdiction of Incorpo |
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| November 6, 2019 |
Execution Copy Exhibit 2.1 AGREEMENT AND PLAN OF MERGER among MORGAN GROUP HOLDING CO., as Parent G.R. ACQUISITION, LLC, as Merger Sub G.RESEARCH, LLC, as the Company INSTITUTIONAL SERVICES HOLDINGS, LLC, as the Sole Member of the Company and ASSOCIATED CAPITAL GROUP, INC., as Company Parent Dated as of October 31, 2019 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 Section 1.1 Certain Defined Ter |
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| November 6, 2019 |
Exhibit 99.1 INFORMATION STATEMENT RELATING TO MORGAN GROUP HOLDING CO. FOLLOWING THE ACQUISITION OF G.RESEARCH, LLC This information statement is being furnished as a result of the acquisition of G.research, LLC (“G.research”) by Morgan Group Holding Co. (the “Company”). The acquisition was effected by a merger pursuant to that certain agreement and plan of merger, dated as of October 31, 2019 (t |
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| November 6, 2019 |
Exhibit 16.1 November 6, 2019 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 RE: Morgan Group Holding Co. Changes in Registrant’s Certifying Accountant We have read the statements of Morgan Group Holding Co., pertaining to our firm included under Item 4.01 of Form 8-K dated November 6, 2019 and agree with such statements as they pertain to our firm. We have no basis to |
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| October 15, 2019 |
MGHL / Morgan Group Holding Co. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| August 9, 2019 |
MGHL / Morgan Group Holding Co. 10-Q - Quarterly Report - 10-Q 10-Q 1 form10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 333-73996 MOR |
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| June 19, 2019 |
Morgan Group Holding Co. Announces Intention to Acquire G.Research, LLC EX-99.1 2 morgan3607611-ex991.htm PRESS RELEASE DATED JUNE 18, 2019 Morgan Group Holding Co. For Immediate Release Morgan Group Holding Co. Announces Intention to Acquire G.Research, LLC RYE, New York, June 18, 2019 - Morgan Group Holding Co. (“Morgan”, OTC: MGHL) is today announcing an agreement in principle with Associated Capital Group (“AC”, NYSE:AC), to acquire a subsidiary of AC, G.Research, |
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| June 19, 2019 |
Financial Statements and Exhibits, Other Events 8-K 1 morgan3607611-8k.htm CURRENT REPORT 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): June 19, 2019 MORGAN GROUP HOLDING CO. (Exact name of registrant as specified in its charter) Delaware 333-73996 13-4196940 (State or other jur |
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| May 13, 2019 |
MGHL / Morgan Group Holding Co. / BAULCH T - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) February 15, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| May 8, 2019 |
MGHL / Morgan Group Holding Co. 10-Q Quarterly Report QUARTERLY REPORT 10-Q 1 morgan3424875-10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2019 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commis |
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| February 26, 2019 |
MGHL / Morgan Group Holding Co. ANNUAL REPORT (Annual Report) Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2018 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: 333-73996 MORGAN GROUP HOL |
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| October 26, 2018 |
MGHL / Morgan Group Holding Co. QUARTERLY REPORT (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2018 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| July 26, 2018 |
MGHL / Morgan Group Holding Co. QUARTERLY REPORT (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2018 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| May 11, 2018 |
MGHL / Morgan Group Holding Co. QUARTERLY REPORT (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2018 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| April 26, 2018 |
MGHL / Morgan Group Holding Co. / BAULCH T - NONE Passive Investment SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) March 23, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| April 25, 2018 |
MGHL / Morgan Group Holding Co. / BAULCH T - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) February 15, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| March 23, 2018 |
MGHL / Morgan Group Holding Co. ANNUAL REPORT (Annual Report) Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2017 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: 333-73996 MORGAN GROUP HOL |
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| March 19, 2018 |
Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities 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): March 19, 2018 MORGAN GROUP HOLDING CO. |
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| October 24, 2017 |
MGHL / Morgan Group Holding Co. QUARTERLY REPORT (Quarterly Report) 10-Q 1 morgan3253763-10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2017 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Co |
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| October 6, 2017 |
MGHL / Morgan Group Holding Co. / Zimmerman Bernard - ZIMMERMAN MGHL 13G Passive Investment sc13g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) September 25, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| October 2, 2017 |
sc13g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) September 25, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| October 2, 2017 |
EX-99 2 mghl-dissoljointfilingwoexh.txt DISSOLUTION OF JOINT FILING AGREEMENT MGHL EXHIBIT 99.3 NOTICE OF TERMINATION OF JOINT FILING AGREEMENT AND DISSOLUTION OF GROUP This NOTICE OF TERMINATION OF JOINT FILING AGREEMENT AND DISSOLUTION OF GROUP ("Notice") hereby terminates the JOINT FILING AGREEMENT (this "Agreement") made and entered into by and among Claudia Carucci, Uncle Mills Partners, LLC |
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| July 31, 2017 |
MGHL / Morgan Group Holding Co. QUARTERLY REPORT (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2017 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| May 5, 2017 |
Morgan Group Holding QUARTERLY REPORT (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2017 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| March 1, 2017 |
Morgan Group Holding ANNUAL REPORT (Annual Report) Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2016 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission file number: 333-73996 MORGAN GROUP HOLD |
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| February 16, 2017 |
MGHL / Morgan Group Holding Co. / BAULCH T - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) February 15, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| November 2, 2016 |
Morgan Group Holding QUARTERLY REPORT (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2016 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| July 29, 2016 |
Morgan Group Holding QUARTERLY REPORT (Quarterly Report) 10-Q 1 morgan30662521-10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2016 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commis |
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| May 2, 2016 |
Morgan Group Holding QUARTERLY REPORT (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2016 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| February 19, 2016 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2015 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: 333-73996 MORGAN GROUP HOL |
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| February 18, 2016 |
MGHL / Morgan Group Holding Co. / BAULCH T - NONE Passive Investment SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 05)* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) February 15, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| October 15, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| July 24, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2015 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| May 7, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2015 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| February 23, 2015 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2014 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: 333-73996 MORGAN GROUP HOL |
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| February 17, 2015 |
MGHL / Morgan Group Holding Co. / BAULCH T - NONE Passive Investment SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) February 17, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| November 7, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2014 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| August 5, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2014 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| May 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2014 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| May 9, 2014 |
Submission of Matters to a Vote of Security Holders - CURRENT REPORT 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): May 8, 2014 MORGAN GROUP HOLDING CO. |
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| February 27, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [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: 333-73996 MORGAN GROUP HOLDING CO. (Exact na |
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| February 11, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 11, 2014 |
sc13g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| February 11, 2014 |
EX-99.1 CHARTER 2 mghljointfilingagreement.txt MORGAN GROUP HOLDING CO. JOINT FILING AGREEMENT EXHIBIT 1 JOINT FILING AGREEMENT This JOINT FILING AGREEMENT (this "Agreement") is made and entered into by and among Claudia Carucci, Uncle Mills Partners, LLC and Bernard Zimmerman & Company, Inc. (the "Parties"). In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended (t |
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| February 3, 2014 |
MGHL / Morgan Group Holding Co. / BAULCH T - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) February 03, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| November 12, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2013 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| August 7, 2013 |
MGHL / Morgan Group Holding Co. / GOTTLIEB JAY - SC 13G/A Passive Investment SC 13G/A 1 morgansc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) August 6, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig |
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| August 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2013 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| May 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2013 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| March 8, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2012 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: 333-73996 MORGAN GROUP HOLDING CO. (Exact na |
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| February 12, 2013 |
MGHL / Morgan Group Holding Co. / CARUCCI WALTER P /NY Passive Investment sc13g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| December 31, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A 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 21, 2012 MORGAN GROUP HOLDING CO. |
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| December 28, 2012 |
EX-10.1 2 exhibit10-1.htm WARRANT TO PURCHASE COMMON STOCK OF MORGAN GROUP HOLDING CO., THIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION |
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| December 28, 2012 |
THIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO. |
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| December 28, 2012 |
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): December 21, 2012 MORGAN GROUP HOLDING CO. |
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| December 28, 2012 |
MORGAN GROUP HOLDING CO. NONQUALIFIED STOCK OPTION AGREEMENT MORGAN GROUP HOLDING CO. NONQUALIFIED STOCK OPTION AGREEMENT To: Jonathan P. Evans (“you” or the “Grantee”) NOTICE OF GRANT: You have been granted the following option (the “Option”) to purchase the common stock, par value $0.001 per share, of Morgan Group Holding Co. (the “Company”) subject to the terms and conditions of the Option Award Agreement (“Award Agreement”) between you and the Company a |
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| November 13, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2012 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| October 22, 2012 |
8-K 1 morgan8k.htm CURRENT REPORT 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): October 22, 2012 MORGAN GROUP HOLDING CO. (Exact name of Registrant as specified in its charter) Delaware 333-73996 13-4196940 (State or other jurisdic |
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| August 6, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2012 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| May 15, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2012 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| March 27, 2012 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2011 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: 333-73996 MORGAN GROUP HOLDING CO. (Exact na |
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| February 15, 2012 |
MGHL / Morgan Group Holding Co. / BAULCH T - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) February 15, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 9, 2012 |
MGHL / Morgan Group Holding Co. / CARUCCI WALTER P /NY Passive Investment sc13g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| November 30, 2011 |
Submission of Matters to a Vote of Security Holders 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): November 25, 2011 MORGAN GROUP HOLDING CO. |
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| November 8, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q 10-Q 1 morgan10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2011 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission |
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| October 25, 2011 |
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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| September 21, 2011 |
Morgan Group Holding Co. 401 Theodore Fremd Avenue Rye, New York 914-921-1877 Morgan Group Holding Co. 401 Theodore Fremd Avenue Rye, New York 914-921-1877 September 20, 2011 Via Electronic Mail Division of Corporation Finance U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attention: Tia L. Jenkins Senior Assistant Chief Accountant Office of Beverages, Apparel and Health Care Services Re: Morgan Group Holding Co. Form 10-K for the Fiscal Year |
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| August 24, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A Amendment No. |
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| August 10, 2011 |
Morgan Group Holding Company Announces Second Quarter Results and Expected Date for its Annual Meeting RYE, New York, August 4, 2011 - Morgan Group Holding Co. |
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| August 10, 2011 |
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 August 4, 2011 Date of Report (Date of Earliest Event Reported) MORGAN GROUP HOLDING CO. (Exact Name of Registrant as Specified in Its Charter) Delaware 333-73996 13-4196940 (State of Other Jurisdiction (Commission (I.R.S. Employer O |
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| August 5, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2011 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| August 3, 2011 |
Morgan Group Holding Company 401 Theodore Fremd Avenue Rye, New York 914-921-1877 Morgan Group Holding Company 401 Theodore Fremd Avenue Rye, New York 914-921-1877 August 3, 2011 Via EDGAR Division of Corporation Finance U. |
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| May 12, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2011 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| March 2, 2011 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2010 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: 333-73996 MORGAN GROUP HOLDING CO. (Exact na |
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| February 23, 2011 |
SC 13G/A 1 doc1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) February 15, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| January 26, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) January 25, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| September 23, 2010 |
sc13g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) September 20, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| February 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) December 31, 2009 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 11, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) February 11, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 4, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* MORGAN GROUP HOLDING CO. (Name of Issuer) Common Stock (Title of Class of Securities) 61735R104 (CUSIP Number) February 03, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 17, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) December 31, 2008 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 17, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) December 31, 2008 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 13, 2008 |
sc13g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) December 31, 2007 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| February 9, 2007 |
sc13g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) January 18, 2007 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| February 9, 2007 |
sc13g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Morgan Group Holding Co. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 61735R104 (CUSIP Number) December 31, 2006 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| November 13, 2006 |
================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-QSB [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2006 - Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| November 13, 2006 |
8-K 1 form8k0537811092006.htm 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 13, 2006 - MORGAN GROUP HOLDING CO. - (Exact Name of Registrant as Specified in its Charter) Delaware 333-73996 13-4196940 - (State of other (Commission File ( |
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| August 14, 2006 |
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, 2006 - MORGAN GROUP HOLDING CO. - - (Exact Name of Registrant as Specified in its Charter) Delaware 333-73996 13-4196940 - - (State of other (Commission File (IRS Employer Jurisdiction of |
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| August 11, 2006 |
================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-QSB [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2006 - Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. |
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| May 16, 2003 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported) May 2, 2003 - MORGAN GROUP HOLDING CO. - (Exact Name of Registrant as Specified in its Charter) Delaware 333-73996 13-4196940 - - - (State of other (Commission File (IRS Employer Jurisdiction |
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| November 1, 2002 |
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 18, 2002 - MORGAN GROUP HOLDING CO. - - (Exact Name of Registrant as Specified in its Charter) Delaware 333-73996 13-4196940 - - (State or other (Commission File (IRS Employer Jurisdiction o |
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| January 16, 2002 |
As filed with the Securities and Exchange Commission on January 16, 2002 Registration No. |
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| December 31, 2001 |
EX-10 5 forms1aex1010487412272001.htm Separation and Distribution Agreement by and among Lynch Interactive Corporation, Brighton Communications Corporation The Morgan Group, Inc. and Morgan Group Holding Co. - Effective as of December , 2001 SEPARATION AND DISTRIBUTION AGREEMENT This Separation and Distribution Agreement (this "Agreement") is entered into as of December , 2001, by and among Lynch |
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| December 31, 2001 |
S-1/A 1 forms1a0487412272001.htm As filed with the Securities and Exchange Commission on December 31, 2001 Registration No. 333-73996 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 - AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 - MORGAN GROUP HOLDING CO. (Exact name of Registrant as specified in its charter) Delaware 6719 13-4196940 (State or other j |
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| December 31, 2001 |
CERTAIN SERVICES AGREEMENT - THIS CERTAIN SERVICES AGREEMENT (this "Agreement") is made as of the 1st day of January, 1995, by and between LYNCH CORPORATION, an Indiana corporation ("Lynch"), and THE MORGAN GROUP, INC. |
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| November 27, 2001 |
EXHIBIT 3.2 BY-LAWS OF Morgan Group Holding Co. ARTICLE I OFFICES Section 1. The registered office shall be at the principal office of The Corporation Trust Company in the City of Wilmington, County of New Castle, State of Delaware, or at such other place as shall be determined by the Board. Section 2. Morgan Group Holding Co. (the "Corporation") may also have officers at such other places both wi |
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| November 27, 2001 |
EXHIBIT 24 - POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Robert E. |
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| November 27, 2001 |
Certificate of Incorporation of the Company* EXHIBIT 3.1 CERTIFICATE OF INCORPORATION OF MORGAN GROUP HOLDING CO. ARTICLE I The name of the corporation (the "Corporation") is: MORGAN GROUP HOLDING CO. ARTICLE II The address of the registered office of the Corporation in the State of Delaware and the name of the registered agent at such address are as follows: The Corporation Trust Company, Corporation Trust Center, 1209 Orange Street, in the |
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| November 27, 2001 |
S-1 1 forms10487411232001.htm REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on November 26, 2001 Registration No. 333- ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 - FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 - MORGAN GROUP HOLDING CO. (Exact name of Regis |
