-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HC+yz7eQ8mfYOashMfey5J4DwyOZ4aW5O/Qqy7kKkH3C+nOFLhb0WAPiHVQ59fYX RV566TVeiY+Hlm95PTx3aQ== 0000899140-09-001808.txt : 20091214 0000899140-09-001808.hdr.sgml : 20091214 20091214162801 ACCESSION NUMBER: 0000899140-09-001808 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20091210 FILED AS OF DATE: 20091214 DATE AS OF CHANGE: 20091214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BEDFORD OAK ADVISORS LLC CENTRAL INDEX KEY: 0001104465 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 091239192 BUSINESS ADDRESS: STREET 1: 100 SOUTH BEDFORD ROAD CITY: MT KISCO STATE: NY ZIP: 10549 BUSINESS PHONE: 9142425725 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EISEN HARVEY P CENTRAL INDEX KEY: 0001104706 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 091239191 MAIL ADDRESS: STREET 1: 100 SOUTH BEDFORD ROAD CITY: MT KISCO STATE: NY ZIP: 10549 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: 0926 BUSINESS ADDRESS: STREET 1: 120 BROADWAY STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 BUSINESS PHONE: 212-417-8000 MAIL ADDRESS: STREET 1: 120 BROADWAY STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 FORMER COMPANY: FORMER CONFORMED NAME: OLYMPIC CASCADE FINANCIAL CORP DATE OF NAME CHANGE: 19960927 4 1 bedoakadv_nhld4-121409ex.xml X0303 4 2009-12-10 0 0001023844 NATIONAL HOLDINGS CORP NHLD 0001104465 BEDFORD OAK ADVISORS LLC 100 SOUTH BEDFORD ROAD MT. KISCO NY 10549 0 0 1 0 0001104706 EISEN HARVEY P 100 SOUTH BEDFORD ROAD MT KISCO NY 10549 0 0 1 0 Common Stock, $0.02 par value 2009-12-10 4 P 0 30000 0.4533 A 2012902 I See footnote See Exhibit 99.1, Item 1. See Exhibit 99.1, Item 2. See Exhibit 99.1, Item 3. Exhibit List Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information /s/ Harvey P. Eisen for himself and on behalf of Bedford Oak Advisors, LLC 2009-12-14 EX-99 2 b5310188a.htm EXHIBIT 99.1 EXPLANATION OF RESPONSES

Exhibit 99.1- Explanation of Responses

 

(1) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.45 to $0.50, inclusive. The reporting persons undertake to provide to National Holdings Corporation, any security holder of National Holdings Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

 

(2) Bedford Oak Advisors, LLC serves as the investment manager to certain private investment funds which directly own the Common Stock of the Issuer.

 

(3) Pursuant to investment management agreements, Bedford Oak Advisors, LLC has investment and voting power with respect to the securities held by the private investment funds that it manages. Harvey P. Eisen is the managing member of Bedford Oak Advisors, LLC. In accordance with Instruction 4(b)(iv), the entire amount of the Issuer’s securities held by the private investments funds is reported herein. The Reporting Persons disclaim any beneficial ownership of any of the Issuer’s securities to which this report relates for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of its indirect pecuniary interest therein, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

 

 

 

 EX-99 3 b5310188b.htm EXHIBIT 99.2 JOINT FILER INFORMATION

Exhibit 99.2- Form 4 Joint Filer Information

 

 

Name: Harvey P. Eisen

 

 

Address: 100 South Bedford Road, Mt. Kisco NY 10549

 

 

Designated Filer: Bedford Oak Advisors, LLC

 

 

Issuer & Ticker Symbol: National Holdings Corporation (OTC BB: NHLD)

 

 

Date of Event Requiring Statement: December 10, 2009

 

 

 

 

 

 

 

 

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