0001437749-20-000183.txt : 20200103
0001437749-20-000183.hdr.sgml : 20200103
20200103175932
ACCESSION NUMBER: 0001437749-20-000183
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191223
FILED AS OF DATE: 20200103
DATE AS OF CHANGE: 20200103
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mullen Michael A
CENTRAL INDEX KEY: 0001694509
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12629
FILM NUMBER: 20507174
MAIL ADDRESS:
STREET 1: 410 PARK AVENUE, 14TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
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
2019-12-23
0001023844
NATIONAL HOLDINGS CORP
NHLD
0001694509
Mullen Michael A
200 VESEY STREET, 25TH FLOOR
NEW YORK
NY
10281
1
1
CEO and Chairman of the Board
Common Stock
2019-12-23
4
F
0
18203
2.66
D
212008
D
Common Stock
2020-01-03
4
M
0
78125
A
290133
D
Restricted Stock Units
2020-01-03
4
M
0
78125
0
D
Common Stock
78125
919348
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.
On January 3, 2017, the reporting person was granted 625,000 restricted stock units. Fifty percent of these restricted stock units vest in four equal annual installments beginning January 3, 2018. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule.
/s/ Giovanni Castellanos Attorney-in-Fact for Michael A. Mullen
2020-01-03