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Liquidnet, Inc. – ‘ATS-N/UA’ from 11/17/22 – ‘ATS-N PART2 ITM.7D’

On:  Thursday, 11/17/22, at 8:58am ET   ·   As of:  11/16/22   ·   Delayed-Release:  Filing  –  Release Delayed to:  12/2/22   ·   Accession #:  1110644-22-54   ·   File #:  13-00078

Previous ‘ATS-N/UA’:  ‘ATS-N/UA’ on 11/16/22   ·   Latest ‘ATS-N/UA’:  This Filing   ·   1 Reference:  To:  Liquidnet, Inc. – ‘ATS-N/MA’ on 11/2/22

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  As Of               Filer                 Filing    For·On·As Docs:Size

11/16/22  Liquidnet, Inc.                   ATS-N/UA12/02/22    5:1.4M

Updating Amendment   —   Form ATS-N   —   Rule 304(a)(2)(i)(B)   —   Delayed-Release

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: ATS-N/UA    Updating Amendment -- primary_doc.xml               HTML    207K 
 5: ATS-N PART2 ITM.7D  Part II Items -- H2O_ITM2_7d_16mar2022       PDF     66K 
 2: ATS-N EX-1 SCHD A BD  Direct Owners and Executive Officers --    PDF    126K 
                Form BD - Sch. A -- Exhibit1_21july2022                          
 3: ATS-N EX-2 SCHD B BD  Indirect Owners -- Form BD - Sch. B --     PDF     95K 
                Exhibit2_22july2021                                              
 4: ATS-N EX-3 REDLINE  Redline Changes -- Form BD - Sch. A & B --   PDF    595K 
                negExh3_15Nov2022_redline                                        


‘ATS-N PART2 ITM.7D’   —   Part II Items — H2O_ITM2_7d_16mar2022


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1 Previous Filing that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/02/22  Liquidnet, Inc.                   ATS-N/MA11/03/22    1:3K
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Filing Submission 0001110644-22-000054   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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