0001437749-19-004254.txt : 20190306 0001437749-19-004254.hdr.sgml : 20190306 20190306194817 ACCESSION NUMBER: 0001437749-19-004254 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180212 FILED AS OF DATE: 20190306 DATE AS OF CHANGE: 20190306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Singer Michael Evan CENTRAL INDEX KEY: 0001715089 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 19663955 MAIL ADDRESS: STREET 1: 200 VESEY STREET STREET 2: 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 4 1 rdgdoc.xml FORM 4 X0306 4 2018-02-12 0001023844 NATIONAL HOLDINGS CORP NHLD 0001715089 Singer Michael Evan C/O 200 VESEY STREET 25TH FLOOR NEW YORK NY 10281 1 Common Stock 2019-02-12 4 M 0 25000 A 25000 D Common Stock 2019-02-12 4 M 0 3495 A 28495 D Common Stock 2019-02-12 4 F 0 10881 3.13 D 17614 D Common Stock 2019-02-12 4 F 0 1522 3.13 D 16092 D Restricted Stock Units 2018-02-12 4 A 0 50000 0 A Common Stock 50000 50000 D Restricted Stock Units 2018-02-12 4 A 0 10593 0 A Common Stock 10593 60593 D Restricted Stock Units 2019-02-12 4 M 0 25000 0 D Common Stock 25000 35593 D Restricted Stock Units 2019-02-12 4 M 0 3495 0 D Common Stock 3495 32098 D Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. The restricted stock units vest in two equal annual installments beginning February 12, 2019. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule. The restricted stock units vest in three equal annual installments beginning February 12, 2019. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule. On February 12, 2018, the reporting person was granted 50,000 restricted stock units. These stock units vest in two equal annual installments beginning February 12, 2019. On February 12, 2018, the reporting person was granted 10,593 restricted stock units. These stock units vest in three equal annual installments beginning February 12, 2019. /s/ Michael E. Singer 2019-03-06