Soo Yu - 21 Jun 2023 Form 4 Insider Report for Dominari Holdings Inc. (DOMH)

Role
Director
Signature
/s/ Soo Yu
Issuer symbol
DOMH
Transactions as of
21 Jun 2023
Transactions value $
$1,366,665
Form type
4
Filing time
21 Jun 2023, 21:45:45 UTC
Previous filing
16 Sep 2022
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 $1.37M +530K +182.18% $2.58 820K 21 Jun 2023 Direct F1, F2
holding DOMH Common Stock 1.48K 21 Jun 2023 Catatonk Creek LLC F3
holding DOMH Common Stock 1.48K 21 Jun 2023 Tioga 22 LLC F3
holding DOMH Common Stock 3.56K 21 Jun 2023 Wool c/f Alison Cottone UTMA/NY Age 18 F4
holding DOMH Common Stock 1.48K 21 Jun 2023 Dongam, LLC F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Reporting Person has the right to receive 1,033,591 shares of the Issuer's common stock pursuant to her employment agreement with the Issuer (the "Employment Agreement"). Of the 1,033,591 shares, 48.75%, or 503,876 shares were concurrently withheld at the time of grant by the Issuer for tax withholding purposes, as permitted by Section 3 of the Employment Agreement.
F2 Of the 820,478 shares reported as beneficially owned directly, 207,062 shares are beneficially owned directly by Mr. Wool and 613,416 shares are beneficially owned directly by Ms. Yu.
F3 Mr. Wool is the sole member of Catatonk Creek, LLC and Tioga 22, LLC.
F4 Mr. Wool controls this UTMA account until Ms. Cottone is 18 years old.
F5 Ms. Yu is the sole member of Dongam, LLC.