Anthony Hayes - 16 Apr 2025 Form 4 Insider Report for Dominari Holdings Inc. (DOMH)

Role
CEO, Director, 10%+ Owner
Signature
/s/ Anthony Hayes
Issuer symbol
DOMH
Transactions as of
16 Apr 2025
Net transactions value
$0
Form type
4
Filing time
16 Apr 2025, 19:54:31 UTC
Previous filing
25 Mar 2025
Next filing
06 May 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding DOMH Common Stock 1,629,566 16 Apr 2025 Direct
holding DOMH Common Stock 116,248 16 Apr 2025 By Rollover IRA F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction DOMH Stock Option (right to buy) Award +5,000,000 5,000,000 16 Apr 2025 Common Stock 5,000,000 Direct F2
holding DOMH Series A Warrants (right to buy) 288,184 16 Apr 2025 Common Stock 288,184 Direct F3
holding DOMH Series B Warrants (right to buy) 288,184 16 Apr 2025 Common Stock 288,184 Direct F3
* 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 the Reporting Person's Rollover IRA, and they are indirectly held by the Reporting Person. The Reporting Person exercises control over the Rollover IRA, and as such, has voting and investment power over the shares held by the Rollover IRA.
F2 On April 16, 2025, the Reporting Person accepted a stock option to purchase 5,000,000 shares of the Issuer's Common Stock by the Compensation Committee of the Issuer's board of directors under the Issuer's 2022 Equity Incentive Plan, which are exercisable upon the filing of a Form S-8 to register the shares of Common Stock subject to the stock option, and have an exercise price of $6.16 and expire February 9, 2035.
F3 The Reporting Person holds Series A Warrants, which have an exercise price of $3.72 per share and expire February 14, 2030, and Series B Warrants, which have an exercise price of $4.22 and expire February 14, 2030, of the Issuer which were purchased in the Issuer's private placement offering consummated in February 2025, at a combined offering price of $3.47.