UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): November 20, 2023
MORGAN GROUP HOLDING CO.
(Exact Name of Registrant as Specified in Charter)
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Delaware
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333-73996
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13-4196940
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(State or Other Jurisdiction of Incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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401 Theodore Fremd Avenue, Rye, New York 10580
(Address of Principal Executive Offices)(Zip Code)
914-921-5150
Registrant’s Telephone Number
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of
the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised
financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
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Entry into a Material Definitive Agreement.
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On November 20, 2023, Morgan Group Holding Co. (the ”Company”) entered into a Loan Agreement with Associated
Capital Group, Inc. (“AC”) by which AC agreed to loan the Company $400,000.00, with interest payable on the unpaid principal at the rate of 14% percent per annum, calculated yearly, not in advance, beginning on December 1, 2023. The loan is due to
be repaid in full on December 31, 2024 and may be repaid prior to that date without penalty.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly
authorized.
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MORGAN GROUP HOLDING CO.
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By:
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/s/ Joseph L. Fernandez
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Name:
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Joseph L. Fernandez |
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Title:
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Executive Vice President - Finance
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Dated: November 27, 2023
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