Kyle Wool - 21 Dec 2023 Form 4 Insider Report for Dominari Holdings Inc. (DOMH)

Role
President, Director, 10%+ Owner
Signature
/s/ Kyle Wool
Issuer symbol
DOMH
Transactions as of
21 Dec 2023
Net transactions value
+$1,272,701
Form type
4
Filing time
26 Dec 2023, 18:43:23 UTC
Previous filing
14 Dec 2023
Next filing
28 Dec 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction DOMH Common Stock Award $1,272,701 +630,050 +77% $2.02 1,448,908 21 Dec 2023 Direct F3, F4
holding DOMH Common Stock 4,000 21 Dec 2023 By Mr. Wool's SEP-IRA F1
holding DOMH Common Stock 24,000 21 Dec 2023 By Mr. Wool's Rollover IRA F2
holding DOMH Common Stock 1,477 21 Dec 2023 Catatonk Creek LLC F5
holding DOMH Common Stock 1,476 21 Dec 2023 Tioga 22 LLC F5
holding DOMH Common Stock 3,559 21 Dec 2023 Wool c/f Alison Cottone UTMA/NY Age 18 F6
holding DOMH Common Stock 1,477 21 Dec 2023 Dongam, LLC F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The securities are directly held by Mr. Wool's SEP-IRA, and they are indirectly held by Mr. Wool. Mr. Wool exercises control over the SEP-IRA, and as such, has voting and investment power over the shares held by the SEP-IRA.
F2 The securities are directly held by Mr. Wool's Rollover IRA, and they are indirectly held by Mr. Wool. Mr. Wool exercises control over the Rollover IRA, and as such, has voting and investment power over the shares held by the Rollover IRA.
F3 The Reporting Person has the right to receive 1,287,129 shares of the Issuer's common stock pursuant to the Issuer's 2022 Equity Incentive Plan (the "Plan") and her employment agreement with Dominari Securities LLC, an affiliate of the Issuer. Of the 1,287,129 shares, 657,079 shares were concurrently withheld at the time of grant by the Issuer for tax withholding purposes as permitted by Section 15(b) of the Plan.
F4 Of the 1,448,908 shares reported as beneficially owned directly, 206,919 shares are beneficially owned directly by Mr. Wool and 1,241,989 shares are beneficially owned directly by Ms. Yu.
F5 Mr. Wool is the sole member of Catatonk Creek, LLC and Tioga 22, LLC.
F6 Mr. Wool controls this UTMA account until Ms. Cottone is 18 years old.
F7 Ms. Yu is the sole member of Dongam, LLC.