Filing Details
- Accession Number:
- 0001437749-13-000845
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-29 19:04:41
- Reporting Period:
- 2013-01-25
- Filing Date:
- 2013-01-29
- Accepted Time:
- 2013-01-29 19:04:41
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1023844 | National Holdings Corp | NHLD.OB | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 364128138 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1215183 | B Robert Fagenson | 60 Broad Street New York NY 10004 | Co-Executive Chairman | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.02 Per Share | Acquisiton | 2013-01-25 | 10,000,000 | $0.50 | 10,000,000 | No | 4 | C | Indirect | See Footnote |
Common Stock, Par Value $0.02 Per Share | Acquisiton | 2013-01-25 | 6,697,140 | $0.00 | 6,697,140 | No | 4 | C | Indirect | See Footnote |
Common Stock, Par Value $0.02 Per Share | Acquisiton | 2013-01-25 | 166,667 | $0.30 | 166,667 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
Footnotes
- See Remarks
- NSGP directly owns the Common Stock. The Reporting Person is a the President of one of NSGP's members.
- NSGP has investment and voting power with respect to the Common Stock held by the funds managed by NSGP. The Reporting Person, as the President of one of NSGP's members, may be deemed to beneficially own the shares of Common Stock beneficially owned by NSGP. The Reporting Person disclaims any beneficial ownership of the Common Stock to which this report relates for purposes of Section 16, except to the extent of his pecuniary interest therein.
- The Trust for the benefit of Toby Fagenson (the "Trust") directly owns the Common Stock. The Reporting Person is a the Trustee of the Trust.
- The Reporting Person has investment and voting power with respect to the Common Stock held by Trust. Therefore, the Reporting Person may be deemed tobeneficially own the shares of Common Stock beneficially owned by Trust. The Reporting Person disclaims any beneficial ownership of the Common Stock to whichthis report relates for purposes of Section 16, except to the extent of his pecuniary interest therein.