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