Filing Details
- Accession Number:
- 0001251859-20-000011
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-17 16:36:49
- Reporting Period:
- 2020-11-13
- Accepted Time:
- 2020-11-17 16:36:49
- 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 | 2020-11-13 | 145,095 | $2.54 | 1,503,513 | No | 4 | P | Indirect | Thru Equitec Proprietary Markets, LLC |
| Common Stock | Acquisiton | 2020-11-13 | 38,732 | $2.53 | 1,542,245 | No | 4 | P | Indirect | Thru Equitec Proprietary Markets, LLC |
| Common Stock | Acquisiton | 2020-11-13 | 252 | $2.62 | 1,542,497 | No | 4 | P | Indirect | Thru Equitec Proprietary Markets, LLC |
| Common Stock | Acquisiton | 2020-11-16 | 7,700 | $2.66 | 1,550,197 | No | 4 | P | Indirect | Thru Equitec Proprietary Markets, LLC |
| Common Stock | Acquisiton | 2020-11-16 | 1,910 | $2.60 | 1,552,107 | No | 4 | P | Indirect | Thru Equitec Proprietary Markets, LLC |
| Common Stock | Acquisiton | 2020-11-16 | 362 | $2.75 | 1,552,469 | 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 |
| 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
- 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, L.P.
Billionaire Hedge Funds
