MORGAN GROUP HOLDING CO

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General form for quarterly reports under Section 13 or 15(d) (amendment)

1.01

General form for quarterly reports under Section 13 or 15(d)

Notification of late filing of Form 10-Q

General form for quarterly reports under Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

Annual report pursuant to Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

Annual report pursuant to Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

Annual report pursuant to Section 13 or 15(d)

Notification of late filing of Form 10-K

4.01

8.01

4.01

General form for quarterly reports under Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

Other Events

Prospectus filed under Rule 424(b)(1)

Notice of Effectiveness

Correspondence with the SEC

Correspondence with the SEC

Amended Initial Registration Statement

Letter from the SEC

3.03,5.03,5.07,7.01,9.01

Correspondence with the SEC

Registration (IPO) statement under Securities Act of 1933

General form for quarterly reports under Section 13 or 15(d)

Annual report pursuant to Section 13 or 15(d)

Notification of late filing of Form 10-K

9.01

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

1.01,2.01,3.02,4.01,5.01,5.02,5.06,7.01,9.01

8.01,9.01

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

1.01,3.02

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

Submission of Matters to a Vote of Security Holders

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

1.01,3.02,5.02,9.01

Entry into a Material Definitive Agreement

5.02

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

Beneficial ownership report for a passive holder of more than 5% (Schedule 13G) (amendment)

5.07

Definitive Proxy Statement

Letter from the SEC

Correspondence with the SEC

Letter from the SEC

Results of Operations and Financial Condition

Correspondence with the SEC

Letter from the SEC

Regulation FD Disclosure

Regulation FD Disclosure

Regulation FD Disclosure

Regulation FD Disclosure

Amended Initial Registration Statement

Amended Initial Registration Statement

Registration (IPO) statement under Securities Act of 1933

none

Carucci Claudia B

ZIMMERMAN BERNARD

ZIMMERMAN BERNARD;CARUCCI WALTER P /NY