Kyle Wool - Apr 16, 2025 Form 4 Insider Report for Dominari Holdings Inc. (DOMH)

Role
President, Director, 10%+ Owner
Signature
/s/ Kyle Wool
Stock symbol
DOMH
Transactions as of
Apr 16, 2025
Transactions value $
$0
Form type
4
Date filed
4/16/2025, 07:55 PM
Previous filing
Mar 25, 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 2.36M Apr 16, 2025 Direct F1
holding DOMH Common Stock 27.8K Apr 16, 2025 By Mr. Wool's SEP-IRA F2
holding DOMH Common Stock 13.8K Apr 16, 2025 By Ms. Yu's Pension F3
holding DOMH Common Stock 24K Apr 16, 2025 By Mr. Wool's Rollover IRA F4
holding DOMH Common Stock 1.48K Apr 16, 2025 Catatonk Creek LLC F5
holding DOMH Common Stock 1.48K Apr 16, 2025 Tioga 22 LLC F5
holding DOMH Common Stock 3.56K Apr 16, 2025 Wool c/f Alison Cottone UTMA/NY Age 18 F6
holding DOMH Common Stock 1.48K Apr 16, 2025 Dongam, LLC F7

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 +5M 5M Apr 16, 2025 Common Stock 5M Direct F8
holding DOMH Series A Warrants (right to buy) 288K Apr 16, 2025 Common Stock 288K Direct F9
holding DOMH Series B Warrants (right to buy) 288K Apr 16, 2025 Common Stock 288K Direct F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Of the 2,355,328 shares reported as beneficially owned directly, 1,113,339 shares are beneficially owned directly by Mr. Wool and 1,241,989 shares are beneficially owned directly by Ms. Yu.
F2 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.
F3 The securities are directly held by Ms. Yu's pension, and they are indirectly held by Ms. Yu. Ms. Yu exercises control over the pension, and as such, has voting and investment power over the shares held by the pension.
F4 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.
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.
F8 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.
F9 Mr. Wool 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.