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Filing Details

Accession Number:: 0001437749-15-010721
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2015-05-20 17:11:46
Reporting Period:: 2015-03-04

Filing Date:: 2015-05-20
Accepted Time:: 2015-05-20 17:11:46
Original Submission Date:: 2015-03-06
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1023844	National Holdings Corp	NHLD	Security & Commodity Brokers, Dealers, Exchanges & Services (6200)	364128138

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1215183	B Robert Fagenson	410 Park Avenue New York NY 10022	Ceo And Executive Chairman	Yes	Yes	No	No

Reported Non-Derivative Transactions

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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	2015-03-04	1,000	$4.50	811,468	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnote

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock, Par Value $0.02 Per Share	16,667	Indirect	See Footnote
Common Stock, Par Value $0.02 Per Share	66,767	Indirect	See Footnote

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Employee Stock Option (right to buy)	$0.00		2020-09-30	150,000	150,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2020-09-30	150,000	150,000	Direct

Footnotes

This Form 4/A amends the Form 4 filing dated March 6, 2015 to reflect a 1- for -10 reverse stock split of the Common Stock effective February 19, 2015.
Fagenson & Co., Inc. ("Fagenson & Co.") directly owns the Common Stock. The Reporting Person is the Chairman and Chief Executive Officer of Fagenson & Co. The Reporting Person has investment and voting power with respect to the Common Stock held by Fagenson & Co. Therefore, the Reporting Person may be deemed to beneficially own the shares of Common Stock beneficially owned by Fagenson & Co. 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 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 to beneficially own the shares of Common Stock beneficially owned by Trust. 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.
National Securities Growth Partners LLC ("NSGP") directly owns the Common Stock. The Reporting Person is the President of NSGP. 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 NSGP, 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.
As previously reported, Mr. Fagenson received a grant of nonforfeitable, nonqualified stock options to purchase 150,000 shares of Common Stock under the 2013 Omnibus Stock Incentive Plan, of which (i) options to purchase 50,000 shares of Common Stock vested immediately, one third of such options have an exercise price of $4.50, one third of such options have an exercise price of $4.70 and one third of such options have an exercise price of $4.90; (ii) options to purchase 50,000 shares of common stock vested on June 20, 2014, one third of such options have an exercise price of $4.50, one third of such options have an exercise price of $4.70 and one third of such options have an exercise price of $4.90; and (iii) options to purchase 50,000 shares of common stock will vest on June 20, 2015, one third of such options have an exercise price of $4.50, one third of such options have an exercise price of $4.70 and one third of such options have an exercise price of $4.90.