0001437749-15-010721.txt : 20150520
0001437749-15-010721.hdr.sgml : 20150520
20150520171146
ACCESSION NUMBER: 0001437749-15-010721
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150304
FILED AS OF DATE: 20150520
DATE AS OF CHANGE: 20150520
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: FAGENSON ROBERT B
CENTRAL INDEX KEY: 0001215183
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12629
FILM NUMBER: 15880376
MAIL ADDRESS:
STREET 1: FAGENSON & CO. INC
STREET 2: 60 BROAD STREET
CITY: NEW YORK
STATE: NY
ZIP: 10004
4/A
1
rdgdoc.xml
FORM 4/A
X0306
4/A
2015-03-04
2015-03-06
0001023844
NATIONAL HOLDINGS CORP
NHLD
0001215183
FAGENSON ROBERT B
410 PARK AVENUE
NEW YORK
NY
10022
1
1
CEO and Executive Chairman
Common Stock, par value $0.02 per share
2015-03-04
4
P
0
1000
4.50
A
811468
I
See Footnote
Common Stock, par value $0.02 per share
16667
I
See Footnote
Common Stock, par value $0.02 per share
66767
I
See Footnote
Employee Stock Option (right to buy)
2020-09-30
Common Stock
150000
150000
D
This Form 4/A amends the Form 4 filing dated March 6, 2015 to reflect a 1- for -10 reverse stock split of the Common Stock effective February 19, 2015.
Fagenson & Co., Inc. ("Fagenson & Co.") directly owns the Common Stock. The Reporting Person is the Chairman and Chief Executive Officer of Fagenson & Co. The Reporting Person has investment and voting power with respect to the Common Stock held by Fagenson & Co. Therefore, the Reporting Person may be deemed to beneficially own the shares of Common Stock beneficially owned by Fagenson & Co. The Reporting Person disclaims any beneficial ownership of the Common Stock to which this report relates for purposes of Section 16, except to the extent of his pecuniary interest therein.
The Trust for the benefit of Toby Fagenson (the "Trust") directly owns the Common Stock. The Reporting Person is a Trustee of the Trust. The Reporting Person has investment and voting power with respect to the Common Stock held by Trust. Therefore, the Reporting Person may be deemed to beneficially own the shares of Common Stock beneficially owned by Trust. The Reporting Person disclaims any beneficial ownership of the Common Stock to which this report relates for purposes of Section 16, except to the extent of his pecuniary interest therein.
National Securities Growth Partners LLC ("NSGP") directly owns the Common Stock. The Reporting Person is the President of NSGP. NSGP has investment and voting power with respect to the Common Stock held by the funds managed by NSGP. The Reporting Person, as the President of NSGP, may be deemed to beneficially own the shares of Common Stock beneficially owned by NSGP. The Reporting Person disclaims any beneficial ownership of the Common Stock to which this report relates for purposes of Section 16, except to the extent of his pecuniary interest therein.
As previously reported, Mr. Fagenson received a grant of nonforfeitable, nonqualified stock options to purchase 150,000 shares of Common Stock under the 2013 Omnibus Stock Incentive Plan, of which (i) options to purchase 50,000 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 $4.70 and one third of such options have an exercise price of $4.90; (ii) options to purchase 50,000 shares of common stock vested on June 20, 2014, one third of such options have an exercise price of $4.50, one third of such options have an exercise price of $4.70 and one third of such options have an exercise price of $4.90; and (iii) options to purchase 50,000 shares of common stock will vest on June 20, 2015, one third of such options have an exercise price of $4.50, one third of such options have an exercise price of $4.70 and one third of such options have an exercise price of $4.90.
/s/ Robert B. Fagenson
2015-05-20