Company: BCG
Filing Date: 2025-06-02
Form Type: DEF 14A
Source: 0001104659-25-055554
Chunk: 40

Company: Binah Capital Group, Inc.
Filing Date: 2025-06-02
Form: DEF 14A
Chunk 40
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100,000 | ​ | ​ | ​ | ​ | ​ | 6.63%  | ​ | ​ |

* Less than one percent. (1) Unless otherwise noted, the business address of each of those listed in the table above is 80 State Street, Albany, NY 12207. (2) Represents shares held by MHC Securities, LLC (“MHC”). Alexander C. Markowitz is the Manager of MHC and therefore he may be deemed to share voting and investment power over the shares held by MHC. (3) Represents shares held by PPD Group, LLC (“PPD”). Peter Purcell, Peter Sheehan and David Purcell are Managing Members of PPD and therefore may be deemed to share voting and investment power over the shares held by PPD.

30

TABLE OF CONTENTS (4) Represents 1.1 million shares held by Kingswood Global Sponsor LLC (the “Sponsor”) and placed in escrow at Closing with UMB Bank as escrow agent. Michael Nessim, David Hudd, Gary Wilder and Jonathan Massing are among the members of the Sponsor and share voting and investment discretion with respect to the shares held of record by the Sponsor. The address of the principal business office of the Sponsor is 17 Battery Place, Suite 625, New York, NY 10014. 31 TABLE OF CONTENTS DELINQUENT SECTION 16(a) REPORTS Section 16(a) of the Exchange Act requires our Directors, executive officers, and persons who own more than ten percent of a registered class of our equity securities to file with us, the SEC, and the Nasdaq initial reports of ownership and reports of changes in ownership of any of the Company’s equity securities. Based on a review of the copies of such forms furnished to the Company and the company’s officers’ and Directors’ written representations, the Company believes that all required Section 16 reports were filed on a timely basis, except that the Forms 4 reporting the shares of common stock issued in connection with the closing of the Business Combination on March 15, 2024 to each of Craig Gould and MHC Securities LLC were filed on March 20, 2025 and April 9, 2024, respectively. 32 TABLE OF CONTENTS CERTAIN RELATIONSHIPS AND RELATED PERSON TRANSACTIONS Policies and Procedures for Related Person Transactions The audit committee of our board of directors has adopted a policy setting forth the policies and procedures for its review and approval or ratification of