Welcome to our dedicated page for Dominari Holdings SEC filings (Ticker: DOMH), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Dominari Holdings Inc. filings document formal disclosures for a Nasdaq-listed holding company operating through financial-services subsidiaries. Form 8-K reports furnish operating results, business highlights, employment agreement amendments, officer and director changes, shareholder proposal deadlines, and meeting results.
Definitive proxy statements and related 8-K filings describe annual and special meeting procedures, shareholder voting matters, governance proposals, compensation-related approvals, and the voting mechanics for common stock and Series D and Series D-1 convertible preferred stock. The filings also identify the company’s registered common stock on The Nasdaq Capital Market and recurring capital-structure disclosures.
Dominari Holdings CEO and director Anthony Hayes reported a bona fide charitable gift of 250,000 shares of common stock on July 27, 2026, transferring them to Hayes Charitable Foundation. The filing states he received no value for the gifted shares. After the transaction, Hayes directly owns 4,500,873 shares of Dominari common stock. The Rule 10b5-1 trading-plan checkbox for this transaction was left unchecked.
Dominari Holdings Inc. reported that its Chief Financial Officer, Tim S. Ledwick, received a grant of stock options on July 1, 2026. The grant covers 20,000 stock options, each allowing the purchase of one share of common stock at an exercise price of $3.05 per share. According to the disclosure, these options were issued under the company’s 2022 Equity Incentive Plan, are not currently exercisable, and will become exercisable on July 1, 2027. The options are scheduled to expire on July 1, 2036, and this grant results in Ledwick holding 20,000 stock options directly following the transaction.
Dominari Holdings Inc. director Gregory James Blattner received a grant of stock options covering 20,000 shares of common stock as equity compensation. The options have an exercise price of $3.05 per share, become exercisable on July 1, 2027, and expire on July 1, 2036.
Dominari Holdings Inc. director Brian Keith Parsley received a grant of stock options as part of his compensation. He was awarded options covering 20,000 shares of common stock with an exercise price of $3.05 per share. The options were granted on July 1, 2026 under the company’s 2022 Equity Incentive Plan and will become exercisable on July 1, 2027. If not exercised earlier, these options will expire on July 1, 2036, giving the director a long-term incentive tied to the company’s share price.
Dominari Holdings Inc. director Kyle Haug received a grant of stock options covering 20,000 shares of common stock. The options were granted on July 1, 2026 under the company’s 2022 Equity Incentive Plan with an exercise price of $3.05 per share.
The options become exercisable on July 1, 2027 and are scheduled to expire on July 1, 2036. Following this grant, Haug holds 20,000 stock options directly, reflecting a compensation-related award rather than an open‑market trade.
Dominari Holdings Inc. COO Christopher Franklin received a grant of stock options covering 20,000 shares of common stock. The options were awarded on July 1, 2026 under the company’s 2022 Equity Incentive Plan with an exercise price of $3.05 per share.
The options become exercisable on July 1, 2027 and expire on July 1, 2036, giving the executive a long‑term incentive tied to Dominari’s share price performance. Following this grant, he holds 20,000 stock options directly.
Dominari Holdings Inc. changed its independent auditor, dismissing CBIZ CPAs P.C. on June 24, 2026 with audit committee approval and appointing Grassi & Co., CPAs, P.C. for the fiscal year ending December 31, 2026.
CBIZ CPAs’ report on the company’s financial statements during its tenure did not include adverse or disclaimed opinions and was not qualified or modified for uncertainty, scope, or accounting principles, and there were no disagreements on accounting, disclosure, or audit procedures as defined by SEC rules. However, the company reports existing material weaknesses in internal control over financial reporting, including limited personnel for timely and accurate closing, insufficient review of fair value transactions, lack of segregation of duties, information technology access control deficiencies, and insufficient documentation of control design and implementation.
Dominari Holdings Inc. ownership disclosure: Donald J. Trump Jr. reports beneficial ownership of 1,182,276 shares of Common Stock, representing 5.23% of the company's 22,613,781 shares issued and outstanding as of May 12, 2026. The filing states he acquired 216,138 shares on May 22, 2026 upon exercise of Series B warrants; an additional 216,138 shares issuable on related warrants are excluded from the ownership percentage due to stated "beneficial ownership limitations."
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.