0001251859-20-000004.txt : 20200623 0001251859-20-000004.hdr.sgml : 20200623 20200623154133 ACCESSION NUMBER: 0001251859-20-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200619 FILED AS OF DATE: 20200623 DATE AS OF CHANGE: 20200623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ASHER DANIEL CENTRAL INDEX KEY: 0001251859 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 20981855 MAIL ADDRESS: STREET 1: 111 W JACKSON BLVD STREET 2: 20TH FL CITY: CHICAGO STATE: IL ZIP: 60604 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: 200 VESEY STREET STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 212-417-8000 MAIL ADDRESS: STREET 1: 200 VESEY STREET STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 FORMER COMPANY: FORMER CONFORMED NAME: OLYMPIC CASCADE FINANCIAL CORP DATE OF NAME CHANGE: 19960927 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2020-06-19 0 0001023844 NATIONAL HOLDINGS CORP NHLD 0001251859 ASHER DANIEL 111 W JACKSON BLVD 20TH FL CHICAGO IL 60604 0 0 1 0 Common Stock 2020-06-19 4 P 0 8297 2.0366 A 1294682 I Thru Equitec Proprietary Markets, LLC Common Stock 2020-06-22 4 P 0 10 1.98 A 1294692 I Thru Equitec Proprietary Markets, LLC Common Stock 1298032 I Thru Sphinx Trading, LP The Reporting Person controls 50% of the membership interest in Equitec Proprietary Markets, LLC The reporting person is a member and president of Oakmont Investments, LLC, the general partner of Sphinx Trading, LP Daniel Asher 2020-06-22