0001437749-17-000320.txt : 20170106 0001437749-17-000320.hdr.sgml : 20170106 20170106160001 ACCESSION NUMBER: 0001437749-17-000320 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161230 ITEM INFORMATION: Entry into a Material Definitive Agreement FILED AS OF DATE: 20170106 DATE AS OF CHANGE: 20170106 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 17514299 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 8-K 1 nhld20170105_8k.htm FORM 8-K nhld20170105_8k.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

_____________

 

FORM 8-K

_____________

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

 

Date of report (Date of earliest event reported): December 30, 2016

 

 

National Holdings Corporation

(Exact Name of Registrant as Specified in Charter)

 

 

 

Delaware

(State or Other Jurisdiction

of Incorporation)

001-12629

(Commission File Number)

36-4128138

(IRS Employer Identification No.)

 

 

 

410 Park Avenue, 14th Floor

New York, NY 10022

(Address of Principal Executive Offices)

 

(212) 417-8000

(Registrant's telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

  ☐

Written communications pursuant to Rule 425 under the Securities Act.

 

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act.

 

☐

Pre-commencement communications pursuant to Rule 14d-2b under the Exchange Act.

 

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act.

 

 

 

 
 
 

 

Item 1.01 Entry into a Material Definitive Agreement.

 

As of December 30, 2016, the Board of Directors (the “Board”) of National Holdings Corporation (the “Company”) by unanimous written consent, approved and authorized the execution of an advisory agreement dated January 1, 2017 (the “Advisory Agreement”) with Caribe BioAdvisors, LLC (the “Advisor”), owned by Michael S. Weiss (“Mr. Weiss”), the Chairman of the Board, to provide the board advisory services of Mr. Weiss as Chairman of the Board. Pursuant to the Advisory Agreement, the Advisor will be paid an annual cash fee of $60,000, in addition to any and all annual equity incentive grants paid to members of the Board.

 

This summary does not purport to be complete and is subject to and qualified in its entirety by reference to the text of the Advisory Agreement with the Advisor.

 

 
 
 

 

SIGNATURES

 

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

National Holdings Corporation

(Registrant)

 

 

 

 

 

 

Date: January 6, 2017

 

 

 

 

By:

/s/ Robert B. Fagenson

 

 

Robert B. Fagenson

Chief Executive Officer