SEC Form 4 · accession 0001437749-19-004252
NATIONAL HOLDINGS CORP · NHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Hume
Director
Period of report
Feb 12, 2018
Accepted (ET)
Mar 6, 2019 · 7:48 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 StockF1 | Feb 12, 2019 | M | 25,000 | — | A | 25,000 | D | |
| Common StockF1 | Feb 12, 2019 | M | 3,495 | — | A | 28,495 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Feb 12, 2018 | A | 50,000 | A | — | — | Common Stock | 50,000 | 50,000 | D |
| Restricted Stock UnitsF2,F4 | — | Feb 12, 2018 | A | 10,593 | A | — | — | Common Stock | 10,593 | 60,593 | D |
| Restricted Stock UnitsF2,F5 | — | Feb 12, 2019 | M | 25,000 | D | — | — | Common Stock | 25,000 | 35,593 | D |
| Restricted Stock UnitsF2,F6 | — | Feb 12, 2019 | M | 3,495 | D | — | — | Common Stock | 3,495 | 32,098 | D |
Explanation of responses
- F1Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock.
- F2Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- F3The restricted stock units vest in two equal annual installments beginning February 12, 2019. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule.
- F4The restricted stock units vest in three equal annual installments beginning February 12, 2019. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule.
- F5On February 12, 2018, the reporting person was granted 50,000 restricted stock units. These stock units vest in two equal annual installments beginning February 12, 2019.
- F6On February 12, 2018, the reporting person was granted 10,593 restricted stock units. These stock units vest in three equal annual installments beginning February 12, 2019.