0001437749-16-038633.txt : 20160913 0001437749-16-038633.hdr.sgml : 20160913 20160913163225 ACCESSION NUMBER: 0001437749-16-038633 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160912 FILED AS OF DATE: 20160913 DATE AS OF CHANGE: 20160913 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NATIONAL HOLDINGS CORP CENTRAL INDEX KEY: 0001023844 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 364128138 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 410 PARK AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-417-8000 MAIL ADDRESS: STREET 1: 410 PARK AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: OLYMPIC CASCADE FINANCIAL CORP DATE OF NAME CHANGE: 19960927 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Abbe Richard CENTRAL INDEX KEY: 0001524877 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 161883167 MAIL ADDRESS: STREET 1: 641 LEXINGTON AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 rdgdoc.xml FORM 4 X0306 4 2016-09-12 0001023844 NATIONAL HOLDINGS CORP NHLD 0001524877 Abbe Richard 641 LEXINGTON AVENUE 26TH FLOOR NEW YORK NY 10022 1 Common Stock, par value $0.02 per share 2016-09-12 4 U 0 414323 3.25 D 414323 I See Footnote Common Stock, par value $0.02 per share 2016-09-12 4 U 0 16668 3.25 D 0 I See Footnote Shares of Common Stock owned directly by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe, as President of Iroquois Capital Management, LLC, the investment advisor of the Fund, may be deemed to beneficially own the shares of Common Stock owned directly by the Fund. Mr. Abbe disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein. Shares of Common Stock held by certain trusts or accounts established for the benefit of Mr. Abbe's children or other relatives. /s/ Richard Abbe 2016-09-13