DOMINARI HOLDINGS INC SEC Filings

Dominari Holdings Inc. reports that Eric Trump beneficially owns 1,182,276 shares of common stock, representing approximately 5.23% of the outstanding shares. The filing states Mr. Trump acquired 216,138 shares upon exercise of Series B warrants on May 22, 2026, and the outstanding share base is 22,613,781 shares as of May 12, 2026.

The filing notes an aggregate of 216,138 shares issuable pursuant to certain warrants purchased in connection with an offering that closed on February 12, 2025, which are not currently exercisable due to stated beneficial ownership limitations.

Dominari Holdings Inc. entered into Inducement Agreements with holders of its Series B warrants to adjust terms and encourage early exercise or exchange. The warrants originally allowed purchase of up to 3,133,880 shares of common stock at an exercise price of $4.22 per share.

Holders could either exercise their existing warrants for cash at a reduced price of $2.50 per share (Option A) or exchange all unexercised warrants for common stock at a 10:3 ratio without additional cash (Option B). The company expects to receive approximately $3.67 million of gross proceeds from Option A elections and to issue about 150,000 shares under Option B, with roughly 1.2 million Series B warrants remaining unexercised. The Option B exchange shares were issued under a Section 3(a)(9) exemption from registration.

Dominari Holdings Inc. reports first‑quarter 2026 results showing rapid revenue growth but a much larger loss. Revenue rose to $35.8 million from $7.2 million a year earlier, driven mainly by $32.9 million of underwriting services and new carried interest revenue of $1.1 million.

Operating expenses expanded to $73.4 million, up from $40.1 million, largely from $68.2 million of compensation and benefits, including significant stock‑based awards. The company recorded a net loss attributable to common stockholders of $57.4 million, versus a $32.5 million loss in 2025, and recognized a $7.0 million loss on marketable securities.

After a $12.9 million tax expense influenced by limits on deducting executive compensation and a large taxable gain on American Bitcoin Corp stock, total stockholders’ equity declined to $31.6 million from $69.4 million at December 31, 2025. Cash and cash equivalents were $27.5 million at quarter‑end, and management believes available cash, securities and clearing‑broker receivables are sufficient to fund operations for at least twelve months.

Dominari Holdings Inc. reported preliminary 2025 results showing rapid growth but continued GAAP losses. Total revenue rose to $123.1 million for the year ended December 31, 2025, up from $21.0 million in 2024, driven mainly by underwriting services of $79.0 million, carried interest of $22.7 million and higher commissions of $19.6 million.

Despite the revenue surge, the company posted a GAAP net loss attributable to common stockholders of $22.4 million, versus a $14.7 million loss in 2024, as compensation, advisory and other costs increased. However, after adding back $55.0 million of non-cash stock-based compensation, adjusted net income was $32.6 million, and adjusted loss from operations narrowed sharply.

The balance sheet strengthened, with cash and cash equivalents rising to $34.0 million and total assets to $112.9 million, while stockholders’ equity increased to $69.4 million. Net cash provided by operating activities improved to $22.7 million, and the company paid $11.9 million of dividends and raised equity capital through common stock issuances and warrant exercises.

Dominari Holdings Inc. reports a net loss attributable to common stockholders of $22.4 million for the year ended December 31, 2025, with an accumulated deficit of $268.1 million. The company has transitioned from biotechnology into wealth management, investment banking, sales and trading, asset management and insurance through its Dominari Financial and Dominari Securities subsidiaries.

During 2025–early 2026, Dominari sold 23,199,205 shares of ABTC common stock for $32.4 million in proceeds and funded a special cash dividend of $0.432 per share, paid in January 2026 to shareholders and certain warrant holders. It also expanded its asset management platform via series fund structures and a 90%-owned American Ventures complex, and formed a 50/50 insurance joint venture, Dominari Financial Heritage Strategies.

The company increased shares reserved under its 2022 Equity Incentive Plan by 10,000,000, and granted fully vested 3,000,000-share restricted stock awards to each of its CEO and President with an aggregate fair value of about $18.4 million, while amending their employment agreements to provide performance-based quarterly bonuses. Management concluded internal control over financial reporting was not effective as of December 31, 2025. As of March 27, 2026, Dominari had 22,613,781 common shares outstanding and employed 36 full-time staff.

Dominari Holdings Inc. insider Kyle Michael Wool has updated his Schedule 13D to reflect a grant of 3,000,000 shares of common stock under the 2022 Equity Incentive Plan. This grant, approved by stockholders and registered on Form S-8, was issued on March 23, 2026.

Wool and his spouse, Soo Yu, now report beneficial ownership of 10,453,817 shares, representing approximately 37.86% of Dominari’s common stock, based on 27,613,781 shares including 5,000,000 shares underlying a stock option. Their holdings include direct, retirement, LLC, and UTMA accounts, with both sole and shared voting and dispositive power.

Dominari Holdings Inc. Chief Executive Officer Anthony Hayes filed an amended beneficial ownership report after receiving a grant of 3,000,000 shares under the 2022 Equity Incentive Plan. He now beneficially owns 9,753,814 shares of common stock, representing 35.3% of the company.

This percentage is based on 27,613,781 shares, including 22,613,781 shares outstanding as of March 20, 2026 and 5,000,000 shares issuable upon exercise of a stock option he holds. The filing also notes additional warrants for 576,368 shares that are currently subject to beneficial ownership limits.

LEDWICK TIM S reported acquisition or exercise transactions in this Form 4 filing.

Dominari Holdings Inc. reported that its Chief Financial Officer, Tim S. Ledwick, received a grant of 316,346 shares of restricted common stock on January 9, 2026 under the 2022 Equity Incentive Plan. The award carries no purchase price and is compensation-related, not an open-market transaction.

The restricted stock will vest on the earlier of September 30, 2026 or an Acceleration Event, which includes a change in control, certain terminations without cause or for good reason, or the CFO’s death or total disability. Following this grant, he directly holds 347,817 shares of Dominari common stock.

Hayes Anthony reported acquisition or exercise transactions in this Form 4 filing.

Dominari Holdings Inc. reported that CEO Anthony Hayes received a grant of 3,000,000 shares of common stock as equity compensation. The award was made under the 2022 Equity Incentive Plan at a stated price of $0.00 per share. The grant was originally conditioned on stockholder approval of an amendment to the plan obtained on March 4, 2026, and registration of the shares on Form S-8 completed on March 13, 2026. After this issuance, Hayes directly holds 4,750,873 common shares.