4//SEC Filing
KLEIN MARK 4
Accession 0001437749-13-003612
CIK 0001023844other
Filed
Mar 27, 8:00 PM ET
Accepted
Mar 28, 3:02 PM ET
Size
7.4 KB
Accession
0001437749-13-003612
Insider Transaction Report
Form 4
NATIONAL HOLDINGS CORPNHLD.OB
KLEIN MARK
Director10% Owner
Transactions
- Purchase
Common Stock, par value $0.02 per share
2013-03-27$0.24/sh+10,000$2,400→ 317,094 total
Holdings
- 1,083,333(indirect: See footnote)
Common Stock, par value $0.02 per share
- 16,697,140(indirect: See footnote)
Common Stock, par value $0.02 per share
Footnotes (4)
- [F1]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.
- [F2]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.
- [F3]National Securities Growth Partners LLC ("NSGP") directly owns the Common Stock. The Reporting Person is an officer of NSGP and the indirect owner of one of its members.
- [F4]NSGP has investment and voting power with respect to the Common Stock held by the funds managed by NSGP. The Reporting Person, as an officer and the indirect owner of one of NSGP's members, may be deemed to beneficially own the shares of Common Stock beneficially owned by NSGP. The Reporting Person disclaims any beneficial ownership of the Common Stock for purposes of Section 16, except to the extent of his pecuniary interest therein.
Documents
Issuer
NATIONAL HOLDINGS CORP
CIK 0001023844
Entity typeother
Related Parties
1- filerCIK 0001357424
Filing Metadata
- Form type
- 4
- Filed
- Mar 27, 8:00 PM ET
- Accepted
- Mar 28, 3:02 PM ET
- Size
- 7.4 KB