0001437749-20-007673.txt : 20200414 0001437749-20-007673.hdr.sgml : 20200414 20200414160438 ACCESSION NUMBER: 0001437749-20-007673 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200410 FILED AS OF DATE: 20200414 DATE AS OF CHANGE: 20200414 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: 20791394 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 2020-04-10 0001023844 NATIONAL HOLDINGS CORP NHLD 0001766495 DeSena John C. 200 VESEY STREET 25TH FLOOR NEW YORK NY 10281 1 Chief Operating Officer Common Stock 2020-04-10 4 M 0 17143 A 59710 D Restricted Stock Units 2020-04-10 4 M 0 17143 0 D Common Stock 17143 364167 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 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. 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 2020-04-14