Filing Details

Accession Number:
0001437749-14-004725
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-03-21 11:45:31
Reporting Period:
2014-03-20
Filing Date:
2014-03-21
Accepted Time:
2014-03-21 11:45:31
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1023844 National Holdings Corp NHLD.OB Security & Commodity Brokers, Dealers, Exchanges & Services (6200) 364128138
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1357424 Mark Klein C/O National Holdings Corp.
410 Park Ave., 14Th Floor
New York NY 10022
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.02 Per Share Acquisiton 2014-03-20 45,000 $0.45 617,094 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.02 Per Share 4,422,761 Indirect See footnote
Footnotes
  1. M. Klein & Company LLC ("M Klein & Company") directly owns the Common Stock. The Reporting Person is a managing member and a majority partner of M Klein & Company.
  2. M Klein & Company has investment and voting power with respect to the Common Stock held by M Klein and Company. The Reporting Person, as a managing member and a majority partner of M Klein & Company, may be deemed to beneficially own the shares of Common Stock beneficially owned by M Klein & Company. The Reporting Person disclaims any beneficial ownership of any of the Common Stock for purposes of Section 16, except to the extent of his pecuniary interest therein.