Filing Details

Accession Number:
0001251859-20-000006
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-07-02 17:14:27
Reporting Period:
2020-06-29
Accepted Time:
2020-07-02 17:14:27
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1023844 National Holdings Corp NHLD Security & Commodity Brokers, Dealers, Exchanges & Services (6200) 364128138
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1251859 Daniel Asher 111 W Jackson Blvd
20Th Fl
Chicago IL 60604
No No Yes 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 Acquisiton 2020-06-29 215 $2.00 1,294,907 No 4 P Indirect Thru Equitec Proprietary Markets, LLC
Common Stock Acquisiton 2020-06-30 2 $2.00 1,294,909 No 4 P Indirect Thru Equitec Proprietary Markets, LLC
Common Stock Acquisiton 2020-06-30 148 $2.00 1,295,057 No 4 P Indirect Thru Equitec Proprietary Markets, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Thru Equitec Proprietary Markets, LLC
No 4 P Indirect Thru Equitec Proprietary Markets, LLC
No 4 P Indirect Thru Equitec Proprietary Markets, LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,298,032 Indirect Thru Sphinx Trading, LP
Footnotes
  1. The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC
  2. The reporting person is a member and president of Oakmont Investments, LLC, the general partner of Sphinx Trading, LP