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