SEC Form 4 · accession 0001251859-19-000005
NATIONAL HOLDINGS CORP · NHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Asher
10% Owner
Period of report
Jan 14, 2019
Accepted (ET)
Jan 17, 2019 · 4:25 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 Stock | Jan 14, 2019 | P | 11,835 | $3.2284 | A | 1,574,857 | D | |
| Common Stock | Jan 15, 2019 | S | 200 | $3.27 | D | 1,574,657 | D | |
| Common Stock | Jan 16, 2019 | P | 3,204 | $3.25 | A | 1,577,861 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person will pay to the issuer the full amount of short-swing profits realized on the sale in accordance with Section 16(b) of the Securities Exchange Act of 1934, as amended.