Dominari Holdings (DOMH) Director Reports Private Placement Purchase and Equity Grant

Rhea-AI Filing Summary

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.

Positive

• Director participation in private placement — Reporting person purchased 21,613 shares and received attached warrants, showing direct financial commitment to the issuer.
• Equity incentive grant — Reporting person was granted 10,000 restricted shares under the 2022 Equity Incentive Plan, increasing alignment with shareholders.

Negative

• None.

Insights

Financial Analyst

TL;DR: Director purchased equity and received restricted stock, increasing reported stake by 31,613 shares; transactions were part of a private placement and equity plan.

The filing shows a director-level insider participating in the company's private placement and receiving an equity award, which increases his direct ownership to 31,613 shares. The private placement included attached Series A and B warrants with exercise prices of $3.72 and $4.22, exercisable beginning 02/12/2025 through 02/12/2030. The combined purchase price for the private placement unit was $3.47 and the restricted shares were granted at $3.22 each. These are routine insider transactions; no performance metrics or company financials are disclosed in this filing.

Corporate Governance Expert

TL;DR: Insider participation and equity grant documented; standard disclosure under Section 16 with no adverse governance flags present.

The Form 4 documents compliant disclosure of a director's purchase and restricted stock grant. The reporting person checked Director and filed individually. All transactions are reported with transaction codes and exercise/expiration dates for warrants. There is no indication of amendments beyond the reported dates, no joint filing, and no indirect ownership disclosed. From a governance perspective the filing is complete and procedural.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Lieberman Ronald Craig

(Last) (First) (Middle)

725 5TH AVENUE

22ND FLOOR

(Street)

NEW YORK NY 10022

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Dominari Holdings Inc. [ DOMH ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
02/10/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	02/10/2025		P		21,613(1)	A	(1)	21,613	D
Common Stock	02/10/2025		A		10,000(2)	A	(2)	31,613	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Series A Warrants (right to buy)	$3.72	02/10/2025		P		21,613		02/12/2025	02/12/2030	Common Stock	21,613(1)	(1)	21,613	D
Series B Warrants (right to buy)	$4.22	02/10/2025		P		21,613		02/12/2025	02/12/2030	Common Stock	21,613(1)	(1)	21,613	D

Explanation of Responses:

1. On February 10, 2025, the Reporting Person purchased shares of the Issuer's common stock together with Series A Warrants and Series B Warrants in the Issuer's private placement offering which closed on February 12, 2025, at a combined offering price of $3.47.

2. On February 10, 2025, the Reporting Person was granted 10,000 shares of restricted stock at $3.22 per share pursuant to the Company's 2022 Equity Incentive Plan.

	/s/ Ronald Craig Lieberman	09/30/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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