Welcome to our dedicated page for Lion Group Holding SEC filings (Ticker: LGHL), 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.
Lion Group Holding Ltd. (Nasdaq: LGHL) is a Cayman Islands–incorporated foreign private issuer in the securities brokerage industry, and its SEC filings provide detailed insight into its trading platform operations, capital structure, and digital asset strategy. As a Form 20-F filer, the company supplements its annual report with frequent Form 6-K submissions that disclose interim financial results, corporate actions, and key transactions.
On this page, you can review Lion Group’s Form 6-K reports that cover unaudited interim financial results, notices and outcomes of annual shareholders’ meetings, adoption of the 2025 Share Incentive Plan, and descriptions of its senior secured convertible notes and related Right to Receive Tokens agreement. These filings explain how the company uses a convertible note facility to finance its operations and to accumulate digital assets for its treasury.
The filings also describe Lion Group’s dual-class share structure, voting rights for Class A and Class B ordinary shares, and changes to its authorized share capital and memorandum of association. Separate 6-Ks address the company’s American Depositary Shares (ADSs), including a planned change in the ADS-to-Class A ordinary share ratio that the company characterizes as having the same effect as a one-for-thirteen reverse ADS split.
Through Stock Titan, investors can access Lion Group’s 10-K/20-F–equivalent disclosures and interim 6-Ks with AI-powered summaries that highlight important sections, such as financing terms, equity incentive plans, and capital changes. Filings related to token-linked agreements and treasury allocations help clarify how LGHL integrates digital assets into its broader brokerage and trading business.
HRT Financial LP, a 10% owner of Lion Group Holding Ltd, reported both buying and selling Class A Shares over two days. It purchased 4,122 shares at $1.10 per share on March 19, 2026, then sold 9,408 shares at $1.05 per share on March 20, 2026. After these trades, HRT Financial LP directly held 14,141 Class A Shares.
HRT FINANCIAL LP filed an initial ownership report for Lion Group Holding Ltd, identifying itself as a ten percent owner. The filing shows direct ownership of 23,549 Class A Shares as of the reported date, with no buy or sell transactions indicated in this form.
Lion Group Holding Ltd director Lo Tak Wing has filed an initial insider ownership report on Form 3. This filing establishes his status as a director and registers him as a reporting insider under securities rules, but does not disclose any specific share transactions or changes in ownership.
Lion Group Holding Ltd filed an initial insider ownership report for director Choi Chi Fai on Form 3. The filing identifies Choi as a director subject to insider reporting requirements but does not report any transactions in Lion Group Holding Ltd securities or any derivative positions.
Lion Group Holding Ltd director Lau Hoi Ho has filed an initial statement of beneficial ownership on Form 3. This filing establishes his status as a director and provides a baseline disclosure of his equity position with the company. The provided data shows no reportable transactions, no option exercises, and no derivative positions, indicating that the form is strictly an initial ownership report rather than a record of recent trading activity.
Marex Financial and its parent Marex Group plc reported a passive ownership stake in Lion Group Holding Ltd (LGHL). They beneficially own 34,751 Class A ordinary shares represented by American Depositary Shares, equal to 7.8% of this share class as of 12/31/2025.
The filing states Marex has sole voting and dispositive power over these 34,751 shares and no shared power. The reporting persons certify the position was not acquired to change or influence control of Lion Group and is not part of a control-related transaction.
Lion Group Holding Ltd. has amended its share purchase arrangement with Amazon Capital Holding Limited by waiving the original requirement that the first closing total an aggregate purchase price of US$5,000,000. Instead, the first closing will now be completed using the US$2,650,000 already received from the purchaser, with each Class A ordinary share priced at $0.0000665, or $2.1624 per ADS, equal to 80% of the average closing price over the prior 20 trading days. The securities will be issued in a private placement relying on exemptions under Section 4(a)(2) of the Securities Act. Lion Group also commits to publicly file this waiver and related material information, terminates prior confidentiality obligations, and confirms the purchaser will not hold undisclosed material non‑public information after the filing.
Lion Group Holding Ltd. filed an amended Form F‑3 prospectus for a resale offering. The filing covers up to 14,580,732,500 Class A ordinary shares in the form of 5,832,293 ADSs, to be offered by the selling securityholder. Each ADS represents 2,500 Class A ordinary shares. The ADSs are issuable upon conversion of senior secured convertible debentures due June 23, 2028 and July 21, 2028.
The company will not receive proceeds from sales by the selling securityholder. Separately, under a Securities Purchase Agreement, the company may sell up to $600 million of senior secured convertible notes to the Buyer, including an initial $11 million June note and a subsequent $3 million July note already issued. The ADSs trade on Nasdaq as LGHL; the ADS closing price was $0.81 on November 11, 2025.
The filing also notes General Instruction I.B.5 limitations for primary offerings and outlines risk factors, including reliance on Section 8(a) effectiveness and evolving PRC-related regulatory considerations.
Lion Group Holding Ltd. furnished a Form 6-K that attaches its unaudited interim financial results for the six months ended June 30, 2025 (Exhibit 99.1). The report is incorporated by reference into the company’s registration statements on Form F-3 (No. 333-289794) and Form S-8 (No. 333-275597), making it part of those prospectuses from the filing date. The filing lists accompanying Inline XBRL exhibits for the financial data presentation.
Lion Group Holding Ltd. discloses share class voting rights and specific share counts for certain holders. The filing states that Class A ordinary shares carry one vote each while Class B ordinary shares carry 10,000 votes each. The document lists repeated entries of B2: 64,887,845 shares and shows holdings associated with Chi Fai Choi including figures shown as 82,730,000, 37,640,000 and 65,305,000. The report is signed by Chunning Wang in the capacity of Chief Executive Officer and Director. The filing contains no financial results, transactions, or total outstanding share counts to provide ownership percentages.