Filing Details

Accession Number:
0001251859-20-000015
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-12-29 16:45:57
Reporting Period:
2020-12-24
Accepted Time:
2020-12-29 16:45:57
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 2020-12-24 5,400 $2.63 1,716,751 No 4 P Indirect Thru Equitec Proprietary Markets, LLC
Common Stock Acquisiton 2020-12-28 12,837 $2.71 1,729,588 No 4 P Indirect Thru Equitec Proprietary Markets, LLC
Common Stock Acquisiton 2020-12-29 221 $2.71 1,729,809 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 of the membership interest in Equitec Proprietary Markets LLc
  2. The reporting person is a member and president of Oakmont Investments, LLC and a general partner of Sphinx Trading, L.P.