0001437749-21-004136.txt : 20210225
0001437749-21-004136.hdr.sgml : 20210225
20210225171948
ACCESSION NUMBER: 0001437749-21-004136
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210225
FILED AS OF DATE: 20210225
DATE AS OF CHANGE: 20210225
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HUME DANIEL
CENTRAL INDEX KEY: 0001645514
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12629
FILM NUMBER: 21681783
MAIL ADDRESS:
STREET 1: 3 COLUMBUS CIRCLE
STREET 2: 15TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
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: 200 VESEY STREET
STREET 2: 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10281
BUSINESS PHONE: 212-417-8000
MAIL ADDRESS:
STREET 1: 200 VESEY STREET
STREET 2: 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10281
FORMER COMPANY:
FORMER CONFORMED NAME: OLYMPIC CASCADE FINANCIAL CORP
DATE OF NAME CHANGE: 19960927
4
1
rdgdoc.xml
FORM 4
X0306
4
2021-02-25
1
0001023844
NATIONAL HOLDINGS CORP
NHLD
0001645514
HUME DANIEL
C/O 200 VESEY STREET
25TH FLOOR
NEW YORK
NY
10281
1
Common Stock
2021-02-25
4
U
0
62151
3.25
D
0
D
Restricted Stock Units
2021-02-25
4
D
0
46602
3.25
D
Common Stock
46602
0
D
Disposed of to B. Riley Principal Merger Corp. III ("Merger Sub"), which, pursuant to the terms of the Agreement and Plan of Merger, by and among National Holdings Corporation (the "Company"), B. Riley Financial, Inc. ("Parent"), and Merger Sub, dated as of January 10, 2021 (the "Merger Agreement"), commenced a tender offer to acquire any and all of the outstanding shares of the Company's common stock (other than those held by Parent and its subsidiaries) at a purchase price of $3.25 per Share (the "Per Share Amount") in cash, without interest.
Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash, without interest, equal to the full number of shares of the Company's common stock underlying such restricted stock unit multiplied by the Per Share Amount.
/s/ Giovanni Castellanos Attorney-in-Fact for /s/ Daniel Hume
2021-02-25