SEC Form 4 · accession 0001437749-16-038633
NATIONAL HOLDINGS CORP · NHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Abbe
Director
Period of report
Sep 12, 2016
Accepted (ET)
Sep 13, 2016 · 4:32 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 Stock, par value $0.02 per shareF1 | Sep 12, 2016 | U | 414,323 | $3.25 | D | 414,323 | I | See Footnote |
| Common Stock, par value $0.02 per shareF2 | Sep 12, 2016 | U | 16,668 | $3.25 | D | 0 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares of Common Stock owned directly by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe, as President of Iroquois Capital Management, LLC, the investment advisor of the Fund, may be deemed to beneficially own the shares of Common Stock owned directly by the Fund. Mr. Abbe disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein.
- F2Shares of Common Stock held by certain trusts or accounts established for the benefit of Mr. Abbe's children or other relatives.