SEC Form 3 · accession 0000921895-15-002764
NATIONAL HOLDINGS CORP · NHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark D Klein
Other
Period of report
Nov 30, 2015
Accepted (ET)
Dec 10, 2015 · 7:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001023844
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 31,226 | D | ||
| Common StockF1 | holding | — | — | — | 482,277 | I | Held by an entity controlled by the Reporting Person |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | — | holding | — | — | — | Jun 7, 2013 | Dec 31, 2017 | Common Stock | 570,000 | — | D |
Explanation of responses
- F1The Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
- F2One-third of the option has an exercise price of $5.00 per share, one-third of the option has an exercise price of $7.00 per share and one-third of the option has an exercise price of $9.00 per share.