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Home > Insider Trading > Filing (0001251859-20-000015)

Filing Details

Accession Number:: 0001251859-20-000015
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-12-29 16:45:57
Reporting Period:: 2020-12-24

Accepted Time:: 2020-12-29 16:45:57
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
1251859	Daniel Asher	111 W Jackson Blvd 20Th Fl Chicago IL 60604		No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-12-24	5,400	$2.63	1,716,751	No	4	P	Indirect	Thru Equitec Proprietary Markets, LLC
Common Stock	Acquisiton	2020-12-28	12,837	$2.71	1,729,588	No	4	P	Indirect	Thru Equitec Proprietary Markets, LLC
Common Stock	Acquisiton	2020-12-29	221	$2.71	1,729,809	No	4	P	Indirect	Thru Equitec Proprietary Markets, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	Thru Equitec Proprietary Markets, LLC
No	4	P	Indirect	Thru Equitec Proprietary Markets, LLC
No	4	P	Indirect	Thru Equitec Proprietary Markets, LLC

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,298,032	Indirect	Thru Sphinx Trading, LP

Footnotes

The reporting person controls 50% of the of the membership interest in Equitec Proprietary Markets LLc
The reporting person is a member and president of Oakmont Investments, LLC and a general partner of Sphinx Trading, L.P.