SEC Form 4 · accession 0001437749-16-038637
NATIONAL HOLDINGS CORP · NHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederic B Powers III
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,F2 | Sep 12, 2016 | U | 167,667 | $3.25 | D | 0 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Powers Private Equity LLC ("PPE") directly owns the Common Stock. The Reporting Person is a Managing Director of PPE.
- F2PPE has investment and voting power with respect to the Common Stock held by PPE. The Reporting Person, a Managing Member of PPE, may be deemed to beneficially own the shares of Common Stock beneficially owned by PPE. 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.