0001251859-20-000013.txt : 20201210 0001251859-20-000013.hdr.sgml : 20201210 20201210162356 ACCESSION NUMBER: 0001251859-20-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201208 FILED AS OF DATE: 20201210 DATE AS OF CHANGE: 20201210 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: 201380882 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 2020-12-08 0 0001023844 NATIONAL HOLDINGS CORP NHLD 0001251859 ASHER DANIEL 111 W JACKSON BLVD 20TH FL CHICAGO IL 60604 0 0 1 0 Common Stock 2020-12-08 4 P 0 119541 2.6233 A 1692417 I Thru Equitec Proprietary Markets, LLC Common Stock 2020-12-09 4 P 0 17313 2.704 A 1709730 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, LC and a general partner of Sphinx trading, L.P. Daniel Asher 2020-12-09