-----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, TK6b72WxyFlvVo9y2ZtYxrsySADX6wOpH8XVBDmvbNUcjkS1eTChglBnuXFRoS3e uEdJK6PY9BDobtH6J6dLjA== 0001023844-10-000014.txt : 20101006 0001023844-10-000014.hdr.sgml : 20101006 20101006183330 ACCESSION NUMBER: 0001023844-10-000014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101005 FILED AS OF DATE: 20101006 DATE AS OF CHANGE: 20101006 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: 101112634 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 2010-10-05 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 Warrants (right to purchase) 0.5 2010-10-05 4 J 0 36775 0 A Common Stock 36775 36775 D The Warrants were issued in consideration with waiving certain rights. The Warrants vest 33% immediately and 33% on each of the 1st and 2nd anniversaries of the date of grant. Each tranche of vested warrants expire five years from the date of vesting. Christopher C. Dewey, By Mark F. Coldwell, by Power of Attorney 2001-10-06 -----END PRIVACY-ENHANCED MESSAGE-----