Form Type: 4

SEC EDGAR Link
Accession Number:0001251859-20-000004
Date:2020-06-19
Issuer: NATIONAL HOLDINGS CORP (NHLD)
Original Submission Date:

Reporting Person:

ASHER DANIEL
111 W JACKSON BLVD
20TH FL CHICAGO, IL 60604

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-06-19 P 8,297 a $2.04 1,294,682 indirect f1
COMMON STOCK 2020-06-22 P 10 a $1.98 1,294,692 indirect f1
COMMON STOCK 2020-06-19 0 $0.00 1,298,032 indirect f2
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the reporting person controls 50% of the membership interest in equitec proprietary markets, llc
f2 the reporting person is a member and president of oakmont investments, llc, the general partner of sphinx trading, lp
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