SEC Form 3 · accession 0001144204-16-124952
NATIONAL HOLDINGS CORP · NHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Lindsay A Rosenwald M.D.
10% Owner
Michael S Weiss
Director · 10% Owner
Fortress Biotech, Inc.
10% Owner
Opus Point Partners, LLC
10% Owner
FBIO Acquisition, Inc.
10% Owner
Period of report
Sep 12, 2016
Accepted (ET)
Sep 22, 2016 · 6:56 pm EDT
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 | — | — | — | 7,037,482 | D | ||
| Common StockF2 | holding | — | — | — | 371,584 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 89,530 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 44,884 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 16,294 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are owned directly by FBIO Acquisition, Inc. ("FBIO Acquisition"), which may be deemed to be a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, consisting of (i) FBIO Acquisition, (ii) Fortress Biotech, Inc. ("FBIO"), (iii) Opus Point Partners, LLC ("Opus Point Partners"), (iv) Opus Point Healthcare Innovations (Offshore) Fund Ltd. ("Opus Point Healthcare"), (v) Lindsay A. Rosenwald, M.D. and (vi) Michael S. Weiss (collectively, the "FBIO Group"), and indirectly by FBIO, by its ownership of FBIO Acquisition. Each of the members of the FBIO Group, other than FBIO Acquisition and FBIO, disclaim beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein.
- F2These securities are owned directly by Opus Point Partners, and indirectly by Dr. Rosenwald and Mr. Weiss, by their ownership in Opus Point Partners. Each of FBIO Acquisition, FBIO and Opus Point Healthcare disclaim beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein.
- F3These securities are owned directly by Opus Point Healthcare, and indirectly by Opus Point Partners and Dr. Rosenwald and Mr. Weiss, by their ownership in Opus Point Partners. Each of FBIO Acquisition and FBIO disclaim beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein.
- F4These securities are owned directly by Mr. Weiss. Each of other members of the FBIO Group disclaim beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein.
- F5These securities are owned directly by Dr. Rosenwald. Each of other members of the FBIO Group disclaim beneficial ownership of these securities to the extent it or he does not have a pecuniary interest therein.