• Live Feeds
    • Press Releases
    • Insider Trading
    • FDA Approvals
    • Analyst Ratings
    • Insider Trading
    • SEC filings
    • Market insights
  • Analyst Ratings
  • Alerts
  • Subscriptions
  • AI Executive AssistantNEW
  • Settings
  • RSS Feeds
Quantisnow Logo
  • Live Feeds
    • Press Releases
    • Insider Trading
    • FDA Approvals
    • Analyst Ratings
    • Insider Trading
    • SEC filings
    • Market insights
  • Analyst Ratings
  • Alerts
  • Subscriptions
  • AI Executive AssistantNEW
  • Settings
  • RSS Feeds
PublishGo to AppAI Helper
    Quantisnow Logo

    © 2025 quantisnow.com
    Democratizing insights since 2022

    Services
    Live news feedsRSS FeedsAlertsPublish with Us
    Company
    AboutQuantisnow PlusContactJobsAI employees for your businessNEW
    Legal
    Terms of usePrivacy policyCookie policy

    Amendment: SEC Form SC 13D/A filed by Dominari Holdings Inc.

    6/13/24 4:32:07 PM ET
    $DOMH
    Biotechnology: Pharmaceutical Preparations
    Health Care
    Get the next $DOMH alert in real time by email
    SC 13D/A 1 ea0207851-13da1hayes_domina.htm AMENDMENT NO. 1 TO SCHEDULE 13D

     

     

    UNITED STATES

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

     

    SCHEDULE 13D

    Under the Securities Exchange Act of 1934

    (Amendment No. 1)*

     

    Dominari Holdings Inc.
    (Name of Issuer)

     

    Common stock, par value $0.0001 per share
    (Title of Class of Securities)

     

    0088753043
    (CUSIP Number)

     

    Robert Charron

    Ellenoff Grossman & Schole LLP

    1345 6th Avenue

    New York, NY 10105

    (212) 393-4540

    (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

     

    June 11, 2024
    (Date of Event Which Requires Filing of This Statement)

     

    If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ☐

     

    * The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

     

    The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

     

     

     

     

     

     

    CUSIP No. 0088753043
    (1) Names of reporting persons
      Anthony Hayes
    (2) Check the appropriate box if a member of a group (see instructions)
      (a) o
      (b) o
       
    (3) SEC use only
       
    (4) Source of funds (see instructions)
      PF, OO
    (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
       
    (6) Citizenship or place of organization
      USA

    Number of
    shares
    beneficially
    owned by
    each reporting
    person with:
    (7) Sole voting power
      493,953 (1)
       
    (8) Shared voting power
      0
       
    (9) Sole dispositive power
      493,953 (1)
       
    (10) Shared dispositive power
      0

    (11) Aggregate amount beneficially owned by each reporting person
      493,953 (1)
    (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions)
       
    (13) Percent of class represented by amount in Row (11)
      7.83 % (2)
    (14) Type of reporting person (see instructions)
      IN

      

    (1) Of the 493,953 shares reported as beneficially owned with sole voting and dispositive power, 116,248 shares reported are indirectly owned by the Reporting Person’s Rollover IRA, and 377,705 shares are owned directly by the Reporting Person. The Reporting Person exercises control over the Rollover IRA, and as such, has voting and investment power over the shares held by the Rollover IRA.

     

    (2) Calculated based on 6,305,055 shares of Common Stock of the Issuer outstanding, which includes 5,995,065 shares of Common Stock outstanding as of May 7, 2024, as reported in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2024, and the 154,995 shares of Common Stock issued to Mr. Wool and 154,995 shares of Common Stock issued to Mr. Anthony Hayes on June 11, 2024.

     

    2

     

     

    EXPLANATORY NOTE

     

    This Amendment No. 1 to Schedule 13D (this “Amendment No. 1”) is filed to amend the Schedule 13D filed by the Reporting Person with the U.S. Securities and Exchange Commission on December 28, 2023 (the “Initial Schedule 13D”). This Amendment No. 1 supplements and amends the Initial Schedule 13D as specifically set forth herein. Except as amended and supplemented by this Amendment No. 1, the Initial Schedule 13D remains unchanged.

     

    ITEM 1. SECURITY AND ISSUER.

     

    This statement relates to the common stock, $0.0001 par value per share (the “Common Stock”) of Dominari Holdings Inc., a Delaware corporation (the “Issuer”). The address of the Issuer’s principal executive offices is 725 5th Avenue, 22nd Floor, New York 10022.

     

    ITEM 2. IDENTITY AND BACKGROUND.

     

    (a) This statement is being filed by Anthony Hayes (the “Reporting Person”). The Reporting Person is the Chief Executive Officer and the Chairman of the board of directors (the “Board”) of the Issuer.

     

    (b) The address of the principal office of the Reporting Person is c/o Dominari Holdings Inc., 725 5th Avenue, 22nd Floor, New York 10022.

     

    (c) The Reporting Person is a stockholder, Chairman of the Board and the Chief Executive Officer of the Issuer.

     

    (d) During the past five years, the Reporting Person has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).

     

    (e) During the past five years, the Reporting Person has not been party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgement, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

     

    (f) The Reporting Person is a citizen of the United States.

     

    ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.

     

    Item 3 of the Initial Schedule 13D is hereby amended and supplemented with the following:

     

    On June 11, 2024, the Reporting Person was granted 154,559 shares of Common Stock of the Issuer by the Compensation Committee of the Issuer’s board of directors.

     

    On May 29, 2024, the Reporting Person acquired 1,158 shares of Common Stock of the Issuer at a purchase price of $2.25 per share with personal funds in open market purchases for his personal account. On May 30, 2024, the Reporting Person acquired 3,482 shares of Common Stock of the Issuer at a purchase price of $ 2.40 per share with personal funds in open market purchases for his personal account.

     

    On April 4, 2024, the Reporting Person acquired 3,994 shares of Common Stock of the Issuer at a purchase price of $2.6215 per share with personal funds in open market purchases for his Rollover IRA. On April 5, 2024, the Reporting Person acquired 13,500 shares of Common Stock of the Issuer at a purchase price of $ 2.8758 per share with personal funds in open market purchases for his Rollover IRA.

     

    3

     

     

    The remaining shares of Common Stock of the Issuer held by the Reporting Person were acquired with the Reporting Person’s personal funds in open market purchases, or granted to the Reporting Person from the Issuer pursuant to the Issuer’s equity incentive plans and grants to directors.

     

    Each acquisition of Common Stock by the Reporting Person is described in Reports of the Issuer on Forms 8-K, 10-Q or 10-K, as applicable, and the Reporting Person’s filings pursuant to Section 16 of the Securities Exchange Act of 1934, as amended.

     

    ITEM 4. PURPOSE OF TRANSACTION.

     

    Item 4 of the Initial Schedule 13D is hereby amended and supplemented with the following:

     

    The Reporting Person acquired beneficial ownership of the Common Stock for investment purposes. The Reporting Person may acquire additional shares of Common Stock or other securities of the Issuer or sell or otherwise dispose of any or all of the Common Stock or other securities of the Company that the Reporting Person beneficially owns.

     

    The Reporting Person serves as Chief Executive Officer and Chairman of the Board of the Issuer. In such capacities, the Reporting Person may engage in communications with the Board, members of management, other shareholders, financial and legal advisers and other parties regarding the Issuer, including but not limited to the Issuer’s operations, governance and control. In addition, in these capacities, the Reporting Person may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.

     

    Except as set forth herein, the Reporting Person does not have any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. The Reporting Person may, at any time and from time to time, review or reconsider his position and/or change his purpose and/or formulate plans or proposals with respect thereto.

     

    4

     

     

    ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.

     

    (a)-(b) As of the date hereof, the Reporting Person may be deemed to have beneficial ownership, sole voting power and sole dispositive power with regard to 493,953 shares of Common Stock, which represents approximately 7.83% of the shares of Common Stock outstanding. This amount includes 116,248 shares that are held indirectly by the Reporting Person’s Rollover IRA, and 377,705 shares that are owned directly by the Reporting Person.

     

    The foregoing beneficial ownership percentage is Calculated based on 6,305,055 shares of Common Stock of the Issuer outstanding, which includes 5,995,065 shares of Common Stock outstanding as of May 7, 2024, as reported in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2024, and the 154,995 shares of Common Stock issued to Mr. Wool and 154,995 shares of Common Stock issued to Mr. Anthony Hayes on June 11, 2024.

     

    (c) The following transactions in the shares of Common Stock were conducted by the Reporting Person within the past sixty (60) days:

     

    Date of Purchase   Number of Shares   Price Per Share   Nature of Transaction
    May 29, 2024   1,158   $2.25   Open Market Purchase
    May 30, 2024   3,482   $2.40   Open Market Purchase

     

    (d) None.

     

    ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER.

     

    In his capacity as Chief Executive Officer and Chairman of the Board of the Issuer, the Reporting Person may be entitled to receive cash compensation and equity compensation, including share options or other equity awards, pursuant to the Issuer’s 2022 Incentive Compensation Plan. Such compensation is based on the Issuer meeting or exceeding certain annual revenue amounts during specified calendar years.

     

    ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.

            

    None.

     

    5

     

     

    SIGNATURE

     

    After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

     

      Date 06/13/2024
         
      Signature /s/ Anthony Hayes
         
      Name/Title Anthony Hayes
        Chairman of the Board

     

     

    6

     

     

    Get the next $DOMH alert in real time by email

    Crush Q3 2025 with the Best AI Executive Assistant

    Stay ahead of the competition with Tailforce.ai - your AI-powered business intelligence partner.

    AI-Powered Inbox
    Context-aware email replies
    Strategic Decision Support
    Get Started with Tailforce.ai

    Recent Analyst Ratings for
    $DOMH

    DatePrice TargetRatingAnalyst
    More analyst ratings

    $DOMH
    Press Releases

    Fastest customizable press release news feed in the world

    See more
    • Dominari Holdings Issues Letter to Shareholders

      NEW YORK, June 4, 2025 /PRNewswire/ -- Dominari Holdings Inc. (NASDAQ:DOMH) today issued the following letter to shareholders:   Dear Shareholders, I am very proud of what Dominari Securities, our wholly owned subsidiary, accomplished in less than three (3) years and wish to take this opportunity to discuss those accomplishments with you. What began as a vision has grown into a dynamic and respected investment bank with a differentiated market position. Over the past year, we have raised approximately $287.5 million in capital and executed over 35 transactions, across various

      6/4/25 8:30:00 AM ET
      $AUID
      $DOMH
      $UMAC
      Computer Software: Prepackaged Software
      Technology
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Dominari Holdings Set to Join Russell Microcap® Index

      NEW YORK, May 28, 2025 /PRNewswire/ -- Dominari Holdings Inc. (NASDAQ:DOMH), is set to join the Russell Microcap® Index at the conclusion of the 2025 Russell indexes annual reconstitution, effective after the US market opens on June 30, according to a preliminary list of additions posted May 23. The annual Russell US Indexes reconstitution captures the 4,000 largest US stocks as of Wednesday, April 30, ranking them by total market capitalization. Membership in the Russell Microcap® Index, which remains in place for one year, means automatic inclusion in the appropriate growth

      5/28/25 8:30:00 AM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Dominari Holding's Strategic Interest in Bitcoin Mining Set to Go Public

      American Bitcoin Enters into Definitive Merger Agreement with Nasdaq-listed Gryphon Digital Mining to Build World's Largest, Most Efficient Pure-Play Bitcoin Minor Alongside A Robust and Strategic Bitcoin Reserve NEW YORK, May 13, 2025 /PRNewswire/ -- Dominari Holdings Inc. (NASDAQ:DOMH), today congratulates American Bitcoin on entering into a definitive merger agreement with Gryphon Digital Mining, Inc. (NASDAQ:GRYP). The strategic stock-for-stock transaction will result in American Bitcoin becoming a publicly traded entity on Nasdaq in which former American Bitcoin stockholders, including Dominari Holdings, will own approximately 98% of the combined company.

      5/13/25 8:00:00 AM ET
      $DOMH
      $GRYP
      Biotechnology: Pharmaceutical Preparations
      Health Care
      EDP Services
      Technology

    $DOMH
    Insider Trading

    Insider transactions reveal critical sentiment about the company from key stakeholders. See them live in this feed.

    See more
    • CEO Hayes Anthony gifted 15,000 shares, decreasing direct ownership by 0.92% to 1,614,566 units (SEC Form 4)

      4 - Dominari Holdings Inc. (0000012239) (Issuer)

      5/6/25 4:15:04 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • SEC Form 4 filed by President Wool Kyle Michael

      4 - Dominari Holdings Inc. (0000012239) (Issuer)

      4/16/25 7:55:12 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • SEC Form 4 filed by CEO Hayes Anthony

      4 - Dominari Holdings Inc. (0000012239) (Issuer)

      4/16/25 7:54:31 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care

    $DOMH
    Insider Purchases

    Insider purchases reveal critical bullish sentiment about the company from key stakeholders. See them live in this feed.

    See more
    • Director Ledwick Tim S bought 8,645 shares and was granted 10,000 shares, increasing direct ownership by 145% to 31,471 units (SEC Form 4)

      4 - Dominari Holdings Inc. (0000012239) (Issuer)

      2/12/25 5:03:10 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Director Lieberman Ronald J. bought 21,613 shares and was granted 10,000 shares (SEC Form 4)

      4 - Dominari Holdings Inc. (0000012239) (Issuer)

      2/12/25 5:00:46 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • President Wool Kyle Michael bought 288,184 shares, increasing direct ownership by 15% to 2,200,769 units (SEC Form 4)

      4 - Dominari Holdings Inc. (0000012239) (Issuer)

      2/12/25 4:58:43 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care

    $DOMH
    SEC Filings

    See more
    • Dominari Holdings Inc. filed SEC Form 8-K: Leadership Update, Financial Statements and Exhibits

      8-K - Dominari Holdings Inc. (0000012239) (Filer)

      6/27/25 4:15:26 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Dominari Holdings Inc. filed SEC Form 8-K: Leadership Update

      8-K - Dominari Holdings Inc. (0000012239) (Filer)

      5/23/25 4:15:22 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Dominari Holdings Inc. filed SEC Form 8-K: Regulation FD Disclosure, Financial Statements and Exhibits

      8-K - Dominari Holdings Inc. (0000012239) (Filer)

      5/13/25 8:15:21 AM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care

    $DOMH
    Leadership Updates

    Live Leadership Updates

    See more
    • Dominari Holdings Set to Join Russell Microcap® Index

      NEW YORK, May 28, 2025 /PRNewswire/ -- Dominari Holdings Inc. (NASDAQ:DOMH), is set to join the Russell Microcap® Index at the conclusion of the 2025 Russell indexes annual reconstitution, effective after the US market opens on June 30, according to a preliminary list of additions posted May 23. The annual Russell US Indexes reconstitution captures the 4,000 largest US stocks as of Wednesday, April 30, ranking them by total market capitalization. Membership in the Russell Microcap® Index, which remains in place for one year, means automatic inclusion in the appropriate growth

      5/28/25 8:30:00 AM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Dominari Holdings Inc. Strengthens Team with Appointment of Experienced Accounting Team

      Edward Deignan Appointed as VP of Finance and Accounting Kyle Degruttola Appointed as Controller NEW YORK, NY / ACCESSWIRE / November 11, 2024 / Dominari Holdings Inc. (NASDAQ:DOMH) (the "Company") today announced that it has appointed Edward Deignan as Vice President of Finance and Accounting and Kyle Degruttola as Controller. Together, they bring decades of accounting and finance leadership experience from various multi-national and public sector organizations.Mr. Deignan is responsible for the day-to-day management of the Company's financial operations. He brings with him more than 30 years of experience in accounting, finance and banking. He has served as a chief financial officer for s

      11/11/24 8:00:00 AM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Dominari Securities LLC Announces Appointment of Capital Markets Veteran James Hopkins as Managing Director Head of Capital Markets

      Hopkins has Led and Structured Hundreds of Capital Markets Transactions NEW YORK, NY / ACCESSWIRE / October 7, 2024 / Dominari Holdings Inc. (NASDAQ:DOMH) (the "Company") today noted that its wholly-owned subsidiary, Dominari Securities LLC ("Dominari"), announced that it has further expanded its practice with the appointment of capital markets veteran James (Jimmy) Hopkins as Managing Director Head of Capital Markets.Mr. Kyle Wool, CEO of Dominari Securities LLC, commented, "Our commitment to positioning Dominari as a full-service, diversified financial services firm and growing our business remains stronger than ever, and Jimmy has a proven record of success with hundreds of completed tran

      10/7/24 8:00:00 AM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care

    $DOMH
    Financials

    Live finance-specific insights

    See more
    • Dominari Holdings Investment, American Data Centers, Becomes American Bitcoin in Transformative Bitcoin Mining Deal with Hut 8

      Dominari Executing Expansion Strategy with Investment in Industrial Scale Bitcoin Mining and Bitcoin Reserve Development  NEW YORK, March 31, 2025 /PRNewswire/ -- Dominari Holdings Inc. (NASDAQ:DOMH) today announced that American Data Centers Inc. ("ADC") and Hut 8 Corp, ("Hut") partnered to form American Bitcoin Corporation.  As previously announced, ADC was a wholly owned subsidiary of Dominari, but became an independent company, whose members include Donald J. Trump Jr., Eric Trump, Dominari and other industry professionals in the AI space.  In partnership with Hut, American Bitcoin Corp., will focus on industrial-scale bitcoin mining and strategic bitcoin reserve development and monetiza

      3/31/25 8:00:00 AM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Dominari Securities Acquires Broker Team with $700 Million in Assets Under Management

      Firm Announces Five Day In Office Work Week NEW YORK, April 18, 2023 /PRNewswire/ -- Dominari Holdings Inc. (NASDAQ:DOMH) (the "Company") today announced that its wholly-owned subsidiary, Dominari Securities LLC, a FINRA licensed broker-dealer, has added an asset management team that manages over $700 million in client assets to its organization. This is the first significant acquisition since the division officially launched earlier this month after the purchase of the broker-dealer and registered investment adviser divisions of Fieldpoint Private Securities. Kyle Wool, CEO of Dominari Financial Inc. stated, "we are excited to have launched our broker-dealer division and are proudly open fo

      4/18/23 8:00:00 AM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Dominari Financial Inc. Acquires Leading Broker Dealer and Registered Investment Advisor Business

      Acquisition of Fieldpoint Private Securities Accelerates the Growth of the Company's Business with Launch of New Broker-Dealer and RIA Division NEW YORK, March 27, 2023 /PRNewswire/ -- Dominari Financial Inc., the financial services subsidiary of Dominari Holdings Inc., has announced the acquisition of the broker-dealer and registered investment advisor business of Fieldpoint Private Bank and Trust. The acquired business will be the foundation of a new financial services entity that will be known as Dominari Securities LLC. Fieldpoint Private Bank and Trust will continue to operate its Personal Banking and Commercial Banking entities under its name.

      3/27/23 5:35:00 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care

    $DOMH
    Large Ownership Changes

    This live feed shows all institutional transactions in real time.

    See more
    • Amendment: SEC Form SC 13D/A filed by Dominari Holdings Inc.

      SC 13D/A - Dominari Holdings Inc. (0000012239) (Subject)

      6/13/24 8:56:04 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Amendment: SEC Form SC 13D/A filed by Dominari Holdings Inc.

      SC 13D/A - Dominari Holdings Inc. (0000012239) (Subject)

      6/13/24 4:32:07 PM ET
      $DOMH
      Biotechnology: Pharmaceutical Preparations
      Health Care