0001437749-20-000454.txt : 20200110 0001437749-20-000454.hdr.sgml : 20200110 20200110163212 ACCESSION NUMBER: 0001437749-20-000454 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191213 FILED AS OF DATE: 20200110 DATE AS OF CHANGE: 20200110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DeSena John C. CENTRAL INDEX KEY: 0001766495 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 20521418 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 4 1 rdgdoc.xml FORM 4 X0306 4 2019-12-13 0001023844 NATIONAL HOLDINGS CORP NHLD 0001766495 DeSena John C. 200 VESEY STREET 25TH FLOOR NEW YORK NY 10281 1 Chief Operating Officer Restricted Stock Units 2019-12-13 4 A 0 89308 0 A Common Stock 89308 381310 D Each restricted stock unit represents a contingent right to receive one share of National Holdings Corporation (the "Company") common stock. The restricted stock units vest upon the Company first achieving certain net income milestones. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule. /s/ Giovanni Castellanos Attorney-in-Fact for John C. DeSena 2020-01-10