SEC Form 4 · accession 0001437749-16-038701
NATIONAL HOLDINGS CORP · NHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Goldwasser
Director
Period of report
Sep 12, 2016
Accepted (ET)
Sep 14, 2016 · 4:30 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 share | Sep 12, 2016 | U | 23,430 | $3.25 | D | 0 | D | |
| Common Stock, par value $0.02 per share | Sep 12, 2016 | U | 2,120 | $3.25 | D | 0 | I | By IRA |
| Common Stock, par value $0.02 per shareF1 | Sep 12, 2016 | U | 118,094 | $3.25 | D | 0 | I | See footnote |
| Common Stock, par value $0.02 per shareF2 | Sep 12, 2016 | U | 2,120 | $3.25 | D | 0 | I | By wife |
| Common Stock, par value $0.02 per shareF2,F3 | Sep 12, 2016 | U | 1,305 | $3.25 | D | 0 | I | As trustee |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares of Common Stock owned directly by One Clark, LLC ("One Clark"). The reporting person, as General Partner of One Clark, may be deemed to beneficially own the shares of Common Stock owned directly by One Clark. The reporting person disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein.
- F2The 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.
- F3Held by the reporting person as trustee of a trust for the benefit of the children of the reporting person.