0001140361-12-000838.txt : 20120104 0001140361-12-000838.hdr.sgml : 20120104 20120104164434 ACCESSION NUMBER: 0001140361-12-000838 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20111227 FILED AS OF DATE: 20120104 DATE AS OF CHANGE: 20120104 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: 0926 BUSINESS ADDRESS: STREET 1: 120 BROADWAY STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 BUSINESS PHONE: 212-417-8000 MAIL ADDRESS: STREET 1: 120 BROADWAY STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 FORMER COMPANY: FORMER CONFORMED NAME: OLYMPIC CASCADE FINANCIAL CORP DATE OF NAME CHANGE: 19960927 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COR Capital LLC CENTRAL INDEX KEY: 0001507963 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 12506761 BUSINESS ADDRESS: STREET 1: 233 WILSHIRE BOULEVARD STREET 2: SUITE 830 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-526-8400 MAIL ADDRESS: STREET 1: 233 WILSHIRE BOULEVARD STREET 2: SUITE 830 CITY: SANTA MONICA STATE: CA ZIP: 90401 3 1 doc1.xml FORM 3 X0204 3 2011-12-27 0 0001023844 NATIONAL HOLDINGS CORP NHLD 0001507963 COR Capital LLC 233 WILSHIRE BLVD, STE 830 SANTA MONICA CA 90401 0 0 1 0 Common Stock 2004083 D Common Stock 13608 D Series C Preferred Stock 0.50 Common Stock 602630 D Warrants 0.50 2015-07-02 Common Stock 200877 D Warrants 0.50 2016-07-02 Common Stock 200877 D Warrants 0.50 2012-07-02 2017-07-02 Common Stock 200877 D Warrants 0.50 2015-07-11 Common Stock 14708 D Warrants 0.50 2016-07-02 Common Stock 14708 D Warrants 0.50 2012-07-02 2017-07-02 Common Stock 14708 D Warrants 0.75 2012-02-22 Common Stock 62500 D Warrants 0.50 2015-06-04 Common Stock 250000 D Warrants 1.25 2013-06-30 Common Stock 468750 D Warrants 2.00 2013-03-31 Common Stock 375000 D Warrants 0.50 2015-06-04 Common Stock 250000 D The shares are directly beneficially owned by COR Securities Holdings Inc. COR Capital LLC is the controlling shareholder of COR Securities Holdings, Inc. Steven Sugarman is the managing member of COR Capital LLC. This report shall not be deemed an admission by any Reporting Person that he is or was the beneficial owner of the securities for purposes of Section 16 or otherwise. Each Reporting Person disclaims beneficial ownership of such shares, except to the extent of their pecuniary interest therein. The shares are directly beneficially owned by COR Equity Income Fund LP. COR Capital LLC is the general partner of COR Equity Income Fund LP. Steven Sugarman is the managing member of COR Capital LLC. This report shall not be deemed an admission by any Reporting Person that he is or was the beneficial owner of the securities for purposes of Section 16 or otherwise. Each Reporting Person disclaims beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Currently exercisable. The Series C Preferred Stock does not expire. Warrant vests only in the event that the Issuer indebtedness owed to St. Cloud is prepaid prior to its stated maturity. The Reporting Persons are members of a deemed Section 13(d) group that owns more than 10% of the issuer's outstanding common stock. The other members of that deemed group are COR Equity Income Fund LP, COR Capital LLC, the controlling shareholder of COR Securities Holdings Inc. and the general partner of COR Equity Income Fund LP, and Steven Sugarman, the managing member of COR Capital LLC. Each of the foregoing persons are joint filers, as permitted under Rule 16(a)-3(j) of the Securities Exchange Act of 1934. See Exhibit 99.1 2012-01-03 EX-99.1 2 misc1.htm MISCELLANEOUS EXHIBITS Unassociated Document




This Statement on Form 3 is filed by

The Name of the Designated Filer hereof is: COR Securities Holdings, Inc.,  COR Equity Income Fund LP, COR Capital LLC and Steven Sugarman.
The address of each Designated Filer is 233 Wilshire Blvd, Suite 830, Santa Monica, CA 90401
The Date of Event requiring statement hereof is: December 27, 2011
The Issuer Name and Ticker or Trading Symbol is: National Holdings Corporation (NHLD.OB)

COR SECURITIES HOLDINGS, INC.
   
By: 
/S/ STEVEN SUGARMAN                        
Name: Steven Sugarman
Title: Chief Executive Officer
   
   
COR EQUITY INCOME FUND LP 
By: COR CAPITAL LLC, its General Partner 
   
By:    /S/ STEVEN SUGARMAN
Name:  Steven Sugarman
Title: Managing Member                       
 
COR CAPITAL LLC
 
By: 
 /S/ STEVEN SUGARMAN                        
Name: Marshall S. Geller
Title: Managing Member
   
 
    
/S/ STEVEN SUGARMAN                               
Steven Sugarman