SEC Form 4 · accession 0001437749-15-000288
NATIONAL HOLDINGS CORP · NHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Goldwasser
Officer — President · Director
Period of report
Jan 2, 2015
Accepted (ET)
Jan 6, 2015 · 1:01 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, par value $0.02 per share | Jan 2, 2015 | P | 26,171 | $0.47 | A | 1,451,428 | D | |
| Common Stock, par value $0.02 per shareF1 | Jan 2, 2015 | P | 13,829 | $0.47 | A | 21,204 | I | By wife |
| Common Stock, par value $0.02 per shareF1,F2 | holding | — | — | — | 13,050 | I | As trustee |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities.
- F2Held by the reporting person as trustee of a trust for the benefit of the children the reporting person.