0001437749-19-001621.txt : 20190131
0001437749-19-001621.hdr.sgml : 20190131
20190131181713
ACCESSION NUMBER: 0001437749-19-001621
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180720
FILED AS OF DATE: 20190131
DATE AS OF CHANGE: 20190131
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DeSena John C.
CENTRAL INDEX KEY: 0001766495
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12629
FILM NUMBER: 19557182
MAIL ADDRESS:
STREET 1: C/O NATIONAL HOLDINGS CORPORATION
STREET 2: 200 VESEY STREET, 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10281
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: 200 VESEY STREET
STREET 2: 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10281
BUSINESS PHONE: 212-417-8000
MAIL ADDRESS:
STREET 1: 200 VESEY STREET
STREET 2: 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10281
FORMER COMPANY:
FORMER CONFORMED NAME: OLYMPIC CASCADE FINANCIAL CORP
DATE OF NAME CHANGE: 19960927
3
1
rdgdoc.xml
FORM 3
X0206
3
2018-07-20
0
0001023844
NATIONAL HOLDINGS CORP
NHLD
0001766495
DeSena John C.
200 VESEY STREET
25TH FLOOR
NEW YORK
NY
10281
1
Chief Operating Officer
Common Stock
6190
D
Restricted Stock Units
Common Stock
65625
D
Restricted Stock Units
Common Stock
102857
D
On July 19, 2017, the reporting person was granted 75,000 restricted stock units. Fifty percent of the restricted stock units vest in four equal annual installments beginning July 19, 2018. Such vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule. Twenty-five percent of the restricted stock units vest upon National Holdings Corporation (the "Company") first achieving certain market capitalization milestones for 30 consecutive trading days, and 25% vest upon certification by the Company's Compensation Committee that the Company first achieved certain adjusted EBITDA milestones at the end of a fiscal year.
Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
On April 10, 2018, the reporting person was granted 102,857 restricted stock units. Fifty percent of the restricted stock units vest in three equal annual installments beginning April 10, 2019. Such vested shares will be delivered to the reporting person annually on the vesting date. Twenty-five percent of the restricted stock units vest upon the Company first achieving certain market capitalization milestones for 30 consecutive trading days, and 25% vest upon certification by the Company's Compensation Committee that the Company first achieved certain adjusted EBITDA milestones at the end of a fiscal year.
/s/ John C. DeSena
2019-01-31