0001437749-15-009772.txt : 20150512
0001437749-15-009772.hdr.sgml : 20150512
20150512100104
ACCESSION NUMBER: 0001437749-15-009772
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150507
FILED AS OF DATE: 20150512
DATE AS OF CHANGE: 20150512
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: Worman Glenn C.
CENTRAL INDEX KEY: 0001642077
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12629
FILM NUMBER: 15853051
MAIL ADDRESS:
STREET 1: C/O NATIONAL HOLDINGS CORPORATION
STREET 2: 410 PARK AVENUE, 14TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
rdgdoc.xml
FORM 4
X0306
4
2015-05-07
0001023844
NATIONAL HOLDINGS CORP
NHLD
0001642077
Worman Glenn C.
410 PARK AVENUE, 14TH FLOOR
NEW YORK
NY
10022
1
Executive VP - Finance
Employee Stock Option (right to buy)
2015-05-07
4
A
0
180000
0
A
2023-06-20
Common Stock
180000
180000
D
On May 7, 2015 (the "Effective Date"), Mr. Worman received a grant of nonqualified stock options to purchase 180,000 shares of the Company's common stock, of which (i) options to purchase 60,000 shares of common stock vested immediately, one third of such options have an exercise price of $4.50, one third of such options have an exercise price of $5.50 and one third of such options have an exercise price of $6.00; (ii) options to purchase 60,000 shares of common stock will vest on the first anniversary of the Effective Date, one third of such options have an exercise price of $4.50, one third of such options have an exercise price of $5.50 and one third of such options have an exercise price of $6.00.
/s/ Glenn C. Worman
2015-05-11