0001437749-13-008051.txt : 20130626 0001437749-13-008051.hdr.sgml : 20130626 20130626112559 ACCESSION NUMBER: 0001437749-13-008051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130620 FILED AS OF DATE: 20130626 DATE AS OF CHANGE: 20130626 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: 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDWASSER MARK CENTRAL INDEX KEY: 0001164682 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 13933666 MAIL ADDRESS: STREET 1: C/O NATIONAL HOLDINGS CORPORATION STREET 2: 120 BROADWAY, 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 4 1 rdgdoc.xml PRIMARY DOCUMENT X0306 4 2013-06-20 0001023844 NATIONAL HOLDINGS CORP NHLD.OB 0001164682 GOLDWASSER MARK C/O NATIONAL HOLDINGS CORP. 120 BROADWAY, 27TH FLOOR NEW YORK NY 10271 1 1 President Employee Stock Option (right to buy) 2013-06-20 4 A 0 1500000 0 A 2020-09-30 Common Stock 1500000 1500000 D One-third of the option has an exercise price of $0.50 per share, one-third of the option has an exercise price of $0.70 per share, and one-third of the option has an exercise price of $0.90 per share. One-third of the option vests immediately, one-third of the option will vest on June 20, 2014, and one-third of the option will vest on June 20, 2015. /s/ Mark Goldwasser 2013-06-26