Form 8-K - Current report

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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)

Delaware	333-73996	13-4196940
(State or Other Jurisdiction of Incorporation)	(Commission File Number)	(IRS Employer Identification No.)

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:

 

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

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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Item 1.01

Entry into a Material Definitive Agreement.

 

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.

 

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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.

	MORGAN GROUP HOLDING CO.
	By:	/s/ Joseph L. Fernandez

	Name:	Joseph L. Fernandez
	Title:	Executive Vice President - Finance
Dated:   November 27, 2023

 

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Document and Entity Information	Nov. 20, 2023
Cover [Abstract]
Document Type	8-K
Amendment Flag	false
Document Period End Date	Nov. 20, 2023
Entity File Number	333-73996
Entity Registrant Name	MORGAN GROUP HOLDING CO.
Entity Central Index Key	0001162283
Entity Incorporation, State or Country Code	DE
Entity Tax Identification Number	13-4196940
Entity Address, Address Line One	401 Theodore Fremd Avenue
Entity Address, City or Town	Rye
Entity Address, State or Province	NY
Entity Address, Postal Zip Code	10580
City Area Code	914
Local Phone Number	921-5150
Entity Emerging Growth Company	false
Written Communications	false
Soliciting Material	false
Pre-commencement Tender Offer	false
Pre-commencement Issuer Tender Offer	false

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