DOMINARI HOLDINGS INC SEC Filings

Ronald Craig Lieberman, a director of Dominari Holdings Inc. (DOMH), reported transactions dated 02/10/2025 involving both common stock and warrants from a private placement and a restricted stock grant. He purchased 21,613 common shares as part of the issuer's private placement that closed 02/12/2025, receiving accompanying Series A and Series B warrants exercisable 02/12/2025 through 02/12/2030. The combined private placement price was $3.47 per unit. Separately, he was granted 10,000 restricted shares at $3.22 per share under the 2022 Equity Incentive Plan, bringing his total reported ownership to 31,613 shares.

Dominari Holdings Inc. (DOMH) Form 3 summary: Ronald Craig Lieberman filed an Initial Statement of Beneficial Ownership (Form 3) disclosing his status as a director of the issuer and that no securities are beneficially owned by him as of the reported event date. The event date listed is 12/20/2024. The filing is signed by Mr. Lieberman on 09/30/2025.

Brian Keith Parsley certified his initial Section 16 filing for Dominari Holdings Inc. (DOMH). The Form 3 notes a reportable event dated 09/05/2025 and was signed on 09/29/2025. Mr. Parsley is listed as a director of the issuer and filed as an individual reporting person. The filing states explicitly that no securities are beneficially owned by the reporting person as of the event date. The form includes the reporting person’s address in New York and confirms this is the initial ownership statement under Section 16(a).

Insider sale reported by Dominari Holdings Inc. (DOMH) — Director Gregory James Blattner sold 14,409 shares of the company's common stock on 09/23/2025 at an average price of $7.99 per share, according to the Form 4 filing. After the sale, Mr. Blattner beneficially owned 22,411 shares. The transaction reduces his reported direct holdings from 36,820 shares to 22,411 shares, reflecting a significant disposition of common stock while remaining a reporting director. The filing discloses the number of shares sold, the average price, and the post-transaction ownership level.

Dominari Holdings Inc. (DOMH) filed a Form S-3 shelf registration to offer a range of securities including common stock, preferred stock, warrants, subscription rights, secured or unsecured debt securities and units composed of these instruments. The prospectus outlines possible distribution methods, pricing mechanisms (fixed price, at-the-market, market-related or negotiated prices), and detailed terms that will be specified in prospectus supplements for each series offered. A FINRA filing fee of $225,500 is disclosed. The filing lists standard exhibits and agreements such as underwriting agreements, forms of debt and warrant agreements, opinions and consents of counsel and accountants, and a Form T-1 trustee eligibility statement. The registration statement is signed by the CEO/Principal Financial Officer and multiple directors with signature dates of August 28, 2025.

Dominari Holdings Inc. (DOMH) reported a strong second quarter driven by investment revaluations and broker-dealer activity. Revenue for the quarter rose to $34.1 million from $6.2 million a year earlier, largely from underwriting and commissions. The company reported net income of $17.66 million for the three months ended June 30, 2025, attributable to common stockholders of $16.61 million with basic and diluted EPS of $1.12. For the six months the company recorded a net loss of $14.83 million attributable to common stockholders of $15.88 million (basic and diluted loss per share $1.24). Total assets grew to $109.3 million from $47.1 million, including $9.5 million cash, $18.8 million marketable securities and $31.0 million receivable from clearing brokers. Long-term equity investments increased to $43.7 million (including a $32.0 million carrying value for American Bitcoin Corp.). The company raised approximately $13.5 million in February 2025 financings, issued advisory and employee equity awards (including Performance Awards expensed), and reported $20.9 million of additional paid-in capital growth year-to-date. Management states available liquidity and marketable securities are adequate to fund operations for at least the next twelve months.

Dominari Holdings (Nasdaq:DOMH) filed an 8-K reporting two material governance and compensation actions dated June 24–27, 2025.

Executive compensation: Amendments to CEO Anthony Hayes and President Kyle Wool employment agreements eliminate future stock grants tied to net-revenue milestones in favor of an additional cash bonus. All other terms remain unchanged.

Board change: Director Soo Yu resigned effective June 27, 2025 for non-dispute reasons and continues as Special Projects Manager. The Board size shrinks from seven to six.

• No financial statements were included.
• Amendments are filed as Exhibits 10.1 & 10.2.

Investors should weigh lower dilution against higher cash outflows and any governance impact from the board reduction.