0000921895-15-002765.txt : 20151210 0000921895-15-002765.hdr.sgml : 20151210 20151210195524 ACCESSION NUMBER: 0000921895-15-002765 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151130 FILED AS OF DATE: 20151210 DATE AS OF CHANGE: 20151210 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NATIONAL HOLDINGS CORP CENTRAL INDEX KEY: 0001023844 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 364128138 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 410 PARK AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-417-8000 MAIL ADDRESS: STREET 1: 410 PARK AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: OLYMPIC CASCADE FINANCIAL CORP DATE OF NAME CHANGE: 19960927 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RILEY BRYANT R CENTRAL INDEX KEY: 0001207269 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 151281960 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: B. Riley & Co., LLC CENTRAL INDEX KEY: 0001337002 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 151281958 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. STREET 2: STE. 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-966-1444 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. STREET 2: STE. 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 FORMER NAME: FORMER CONFORMED NAME: B. Riley & Co., Inc. DATE OF NAME CHANGE: 20050824 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: B. Riley Financial, Inc. CENTRAL INDEX KEY: 0001464790 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 151281956 BUSINESS ADDRESS: STREET 1: 21860 BURBANK BLVD. STREET 2: SUITE 300 SOUTH CITY: WOODLAND HILLS STATE: CA ZIP: 91367 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 21860 BURBANK BLVD. STREET 2: SUITE 300 SOUTH CITY: WOODLAND HILLS STATE: CA ZIP: 91367 FORMER NAME: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BRC Partners Opportunity Fund, LP CENTRAL INDEX KEY: 0001642765 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 151281959 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-966-1445 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: B. RILEY CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001658704 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 151281957 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. STREET 2: SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-966-1445 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. STREET 2: SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 3 1 form308319001b_12102015.xml OWNERSHIP DOCUMENT X0206 3 2015-11-30 0 0001023844 NATIONAL HOLDINGS CORP NHLD 0001207269 RILEY BRYANT R 11100 SANTA MONICA BLVD STE 810 LOS ANGELES CA 90025 0 0 0 1 See Footnote 1 0001642765 BRC Partners Opportunity Fund, LP 11100 SANTA MONICA BLVD. SUITE 800 LOS ANGELES CA 90025 0 0 0 1 See Footnote 1 0001337002 B. Riley & Co., LLC 11100 SANTA MONICA BLVD. STE. 800 LOS ANGELES CA 90025 0 0 0 1 See Footnote 1 0001658704 B. RILEY CAPITAL MANAGEMENT, LLC 11100 SANTA MONICA BLVD. SUITE 800 LOS ANGELES CA 90025 0 0 0 1 See Footnote 1 0001464790 B. Riley Financial, Inc. 21860 BURBANK BLVD. SUITE 300 SOUTH WOODLAND HILLS CA 91367 0 0 0 1 See Footnote 1 Common Stock 4080 I By: BRC Partners Opportunity Fund, LP Common Stock 513950 I By: B. Riley & Co., LLC Common Stock 38788 I By: B. Riley & Co., LLC 401(K) Profit Sharing Plan Common Stock 47296 I By: Robert Antin Children Irrevocable Trust dtd 1/1/01 This Form 3 is filed jointly by BRC Partners Opportunity Fund, LP ("BPOF"), B. Riley Capital Management, LLC ("BRCM"), B. Riley & Co., LLC 401(K) Profit Sharing Plan ("Retirement Trust"), Robert Antin Children Irrevocable Trust dtd 1/1/01 ("Antin Trust"), B. Riley & Co., LLC ("BRC"), B. Riley Financial, Inc. and Bryant R. Riley (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 3 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. Represents securities directly owned by BPOF. BRCM, as the investment manager and general partner of BPOF, may be deemed to beneficially own the securities directly owned by BPOF. Mr. Riley, as the Portfolio Manager of BPOF and the Chief Executive Officer of BRCM, may be deemed to beneficially own the securities directly owned by BPOF. Represents securities directly owned by BRC. Mr. Riley, as the Chairman of BRC, may be deemed to beneficially own the securities directly owned by BRC. Represents securities directly owned by the Retirement Trust. Mr. Riley, as the Trustee of the Retirement Trust, may be deemed to beneficially own the securities directly owned by the Retirement Trust. Represents securities directly owned by the Antin Trust. Mr. Riley, as the Trustee of the Antin Trust, may be deemed to beneficially own the securities directly owned by the Antin Trust. By: /s/ Bryant R. Riley 2015-12-10 By: BRC Partners Opportunity Fund, LP; By: B. Riley Capital Management, LLC, General Partner; By: /s/ Bryant R. Riley, CEO 2015-12-10 By: B. Riley & Co., LLC; By: /s/ Bryant R. Riley, Chairman 2015-12-10 By: B. Riley Capital Management, LLC; By: /s/ Bryant R. Riley, CEO 2015-12-10 By: B. Riley Financial, Inc.; By: /s/ Bryant R. Riley, CEO 2015-12-10