SEC Form 4 · accession 0001437749-15-003313
NATIONAL HOLDINGS CORP · NHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert B Fagenson
Officer — CEO and Executive Chairman · Director
Period of report
Feb 23, 2015
Accepted (ET)
Feb 24, 2015 · 4:15 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 shareF1 | Feb 23, 2015 | P | 5,000 | $4.3076 | A | 8,019,627 | I | See Footnote |
| Common Stock, par value $0.02 per shareF2 | holding | — | — | — | 166,666 | I | See Footnote | |
| Common Stock, par value $0.02 per shareF3 | holding | — | — | — | 667,668 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Fagenson & Co., Inc. ("Fagenson & Co.") directly owns the Common Stock. The Reporting Person is the Chairman and Chief Executive Officer of Fagenson & Co. The Reporting Person has investment and voting power with respect to the Common Stock held by Fagenson & Co. Therefore, the Reporting Person may be deemed to beneficially own the shares of Common Stock beneficially owned by Fagenson & Co. The Reporting Person disclaims any beneficial ownership of the Common Stock to which this report relates for purposes of Section 16, except to the extent of his pecuniary interest therein.
- F2The Trust for the benefit of Toby Fagenson (the "Trust") directly owns the Common Stock. The Reporting Person is a Trustee of the Trust. The Reporting Person has investment and voting power with respect to the Common Stock held by Trust. Therefore, the Reporting Person may be deemed to beneficially own the shares of Common Stock beneficially owned by Trust. The Reporting Person disclaims any beneficial ownership of the Common Stock to which this report relates for purposes of Section 16, except to the extent of his pecuniary interest therein.
- F3National Securities Growth Partners LLC ("NSGP") directly owns the Common Stock. The Reporting Person is the President of NSGP. NSGP has investment and voting power with respect to the Common Stock held by the funds managed by NSGP. The Reporting Person, as the President of NSGP, may be deemed to beneficially own the shares of Common Stock beneficially owned by NSGP. The Reporting Person disclaims any beneficial ownership of the Common Stock to which this report relates for purposes of Section 16, except to the extent of his pecuniary interest therein.