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Home > Insider Trading > Filing (0001251859-20-000007)

Filing Details

Accession Number:: 0001251859-20-000007
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-08-31 16:47:04
Reporting Period:: 2020-08-27

Accepted Time:: 2020-08-31 16:47:04
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-08-27	48,467	$2.30	1,343,524	No	4	P	Indirect	Thru Equitec Proprietary Markets, LLC
Common Stock	Acquisiton	2020-08-28	5,997	$2.29	1,349,521	No	4	P	Indirect	Thru Equitec Proprietary Markets, LLC
Common Stock	Acquisiton	2020-08-31	3,755	$2.19	1,353,276	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	by Sphinx Trading

Footnotes

The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC
The reporting person is a member and president of Oakmont Investments, LLC and general partner of Sphinx Trading, LP.