0001023844-10-000011.txt : 20100714 0001023844-10-000011.hdr.sgml : 20100714 20100714153149 ACCESSION NUMBER: 0001023844-10-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100712 FILED AS OF DATE: 20100714 DATE AS OF CHANGE: 20100714 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dewey Christopher C CENTRAL INDEX KEY: 0001385015 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 10952135 MAIL ADDRESS: STREET 1: 120 BROADWAY STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 FORMER NAME: FORMER CONFORMED NAME: Dewey Christopher DATE OF NAME CHANGE: 20070103 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 primary_doc.xml PRIMARY DOCUMENT X0303 4 2010-07-12 0 0001023844 NATIONAL HOLDINGS CORP NHLD.OB 0001385015 Dewey Christopher C 120 BROADWAY 27TH FLOOR NEW YORK NY 10271 1 1 0 0 Vice Chairman Series C Preferred Stock 0.5 2010-07-12 4 P 0 5026 50 A 2010-07-12 Common Stock 502603 5026 D Warrants (right to purchase) 0.5 2010-07-12 4 P 0 502603 0 A Common Stock 502603 502603 D The shares of Series C Preferred Stock convert at a price equal to the Original Issue Price divided by the Conversion Price, as adjusted, which is initially $0.50 per share. The shares of Series C Preferred Stock do not expire. The Warrants vest 33% immediately and 33% on each of the first and second anniversaries of the date of grant. Each tranche of vested Warrants expire five years from the date of vesting. The shares of Series C Preferred Stock and Warrants were issued in connection with the conversion of a promissory note in the principal amount of $250,000, plus accrued interest. Christopher C. Dewey, by Mark F. Coldwell, by Power of Attorney 2010-07-14