0001437749-20-007219.txt : 20200406 0001437749-20-007219.hdr.sgml : 20200406 20200406200831 ACCESSION NUMBER: 0001437749-20-007219 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200402 FILED AS OF DATE: 20200406 DATE AS OF CHANGE: 20200406 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HUME DANIEL CENTRAL INDEX KEY: 0001645514 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 20778149 MAIL ADDRESS: STREET 1: 3 COLUMBUS CIRCLE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 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 2020-04-02 0001023844 NATIONAL HOLDINGS CORP NHLD 0001645514 HUME DANIEL C/O 200 VESEY STREET 25TH FLOOR NEW YORK NY 10281 1 Restricted Stock Units 2020-04-02 4 A 0 32680 0 A Common Stock 32680 46602 D Each restricted stock unit represents a contingent right to receive one share of National Holdings Corporation's common stock. On April 2, 2020, the reporting person was granted 32,680 restricted stock units. These stock units vest in three equal annual installments beginning April 2, 2021. /s/ Giovanni Castellanos Attorney-in-Fact for /s/ Daniel Hume 2020-04-06