Accession Number: | 0001251859-20-000004 |
Date: | 2020-06-19 |
Issuer: | NATIONAL HOLDINGS CORP (NHLD) |
Original Submission Date: |
ASHER DANIEL
111 W JACKSON BLVD
20TH FL
CHICAGO, IL 60604
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
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ID | footnote |
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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 |