0001437749-20-022256.txt : 20201102
0001437749-20-022256.hdr.sgml : 20201102
20201102160351
ACCESSION NUMBER: 0001437749-20-022256
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201101
FILED AS OF DATE: 20201102
DATE AS OF CHANGE: 20201102
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Worman Glenn C.
CENTRAL INDEX KEY: 0001642077
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12629
FILM NUMBER: 201280450
MAIL ADDRESS:
STREET 1: C/O NATIONAL HOLDINGS CORPORATION
STREET 2: 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
2020-11-01
0001023844
NATIONAL HOLDINGS CORP
NHLD
0001642077
Worman Glenn C.
200 VESEY STREET, 25TH FLOOR
NEW YORK
NY
10281
1
President and CFO
Common Stock
2020-11-01
4
M
0
37212
A
129796
D
Restricted Stock Units
2020-11-01
4
M
0
37212
0
D
Common Stock
37212
531251
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 November 1, 2018, the reporting person was granted 297,692 restricted stock units. Fifty percent of the restricted stock units vest in four equal annual installments beginning November 1, 2019. Such vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule. Twenty-five percent of the restricted stock units vest upon the Company first achieving certain market capitalization milestones for 30 consecutive trading days, and 25% vest upon certification by the Company's Compensation Committee that the Company first achieved certain adjusted EBITDA milestones at the end of a fiscal year.
/s/ Giovanni Castellanos Attorney-in-Fact for Glenn C. Worman
2020-11-02