IPO registrations (S-1, F-1) · Registrants
NATIONAL HOLDINGS CORP
- SEC CIK
- 1023844 · filings on EDGAR ↗
- Former names
- OLYMPIC CASCADE FINANCIAL CORP (1996–2006)
- Registration
- Form S-1, first filed 2006-05-01, last 2017-01-11; 5 initial registrations, 7 amendments
- Outcome
- Declared effective 2006-11-06; withdrawal requested 2010-06-09
- Industry (SIC)
- Security & Commodity Brokers, Dealers, Exchanges & Services 6200
- Incorporated in
- DE
- Business address
- 200 VESEY STREET, 25TH FLOOR, New York, NY 10281
- EIN
- 36-4128138
- EDGAR entity type
- operating
- Insiders and CEO pay
- NATIONAL HOLDINGS CORP on the corporate pages
Offering terms
- Shares offered
- 12,437,916
- Listing
- Nasdaq under the symbol NHLD
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: NATIONAL HOLDINGS CORPORATION EXACT (EIN (EXACT, as the state registration reports it))
- Business registration: NATIONAL HOLDINGS, INC. Fuzzy (name and state)
- Form 5500 plan sponsor: NATIONAL HOLDINGS CORPORATION EXACT (EIN (EXACT))
- SEC filer: NATIONAL HOLDINGS CORP EXACT (CIK (EXACT))
- Person page: Christopher C Dewey Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer))
- Person page: Harvey P Eisen Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer,TenPercentOwner))
- Person page: Karen Jo Gustafson Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner))
- Person page: Robert B Fagenson Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 21
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2006-05-01 | S-1 | S-1 (registration) | NATIONAL HOLDINGS CORP | 0001144204-06-017854 ↗ |
| 2006-11-06 | S-1/A | S-1/A (amendment) | NATIONAL HOLDINGS CORP | 0001144204-06-045418 ↗ |
| 2006-11-06 | EFFECT | EFFECT (declared effective) | NATIONAL HOLDINGS CORP | 9999999995-06-002188 ↗ |
| 2008-05-09 | EFFECT | EFFECT (declared effective) | NATIONAL HOLDINGS CORP | 9999999995-08-001525 ↗ |
| 2008-10-03 | S-1 | S-1 (registration) | NATIONAL HOLDINGS CORP | 0001144204-08-056078 ↗ |
| 2009-08-24 | S-1/A | S-1/A (amendment) | NATIONAL HOLDINGS CORP | 0001437749-09-001119 ↗ |
| 2010-06-09 | RW | RW (withdrawal request) | NATIONAL HOLDINGS CORP | 0001437749-10-001800 ↗ |
| 2013-03-11 | S-1 | S-1 (registration) | NATIONAL HOLDINGS CORP | 0001437749-13-002622 ↗ |
| 2013-03-20 | S-1/A | S-1/A (amendment) | NATIONAL HOLDINGS CORP | 0001437749-13-003268 ↗ |
| 2013-03-26 | EFFECT | EFFECT (declared effective) | NATIONAL HOLDINGS CORP | 9999999995-13-000798 ↗ |
| 2013-08-09 | EFFECT | EFFECT (declared effective) | NATIONAL HOLDINGS CORP | 9999999995-13-002377 ↗ |
| 2013-10-10 | S-1 | S-1 (registration) | NATIONAL HOLDINGS CORP | 0001437749-13-012922 ↗ |
| 2013-10-29 | S-1/A | S-1/A (amendment) | NATIONAL HOLDINGS CORP | 0001437749-13-013556 ↗ |
| 2013-11-01 | EFFECT | EFFECT (declared effective) | NATIONAL HOLDINGS CORP | 9999999995-13-003147 ↗ |
| 2014-02-13 | EFFECT | EFFECT (declared effective) | NATIONAL HOLDINGS CORP | 9999999995-14-000443 ↗ |
| 2016-11-23 | S-1 | S-1 (registration) | NATIONAL HOLDINGS CORP | 0001437749-16-042596 ↗ |
| 2016-12-20 | S-1/A | S-1/A (amendment) | NATIONAL HOLDINGS CORP | 0001437749-16-043526 ↗ |
| 2017-01-04 | S-1/A | S-1/A (amendment) | NATIONAL HOLDINGS CORP | 0001437749-17-000102 ↗ |
| 2017-01-11 | S-1/A | S-1/A (amendment) | NATIONAL HOLDINGS CORP | 0001437749-17-000522 ↗ |
| 2017-01-13 | EFFECT | EFFECT (declared effective) | NATIONAL HOLDINGS CORP | 9999999995-17-000098 ↗ |
| 2018-09-11 | EFFECT | EFFECT (declared effective) | NATIONAL HOLDINGS CORP | 9999999995-18-002336 ↗ |
Prospectus pages read 1
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2017-01-11 | S-1/A | registration statement | $3.25 | 12,437,916 | $40,423,227 | Nasdaq NHLD | 0 | primary document; price sentence, shares headline, proceeds computed | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| GELLER MARSHALL S | Director,TenPercentOwner; TenPercentOwner | 23 | 2006–2012 | ||
| SCGP LLC | TenPercentOwner | 1 | 2006 | ||
| ST CLOUD CAPITAL LLC | TenPercentOwner | 1 | 2006 | ||
| ST CLOUD CAPITAL PARTNERS LP | TenPercentOwner | 1 | 2006 | ||
| GALLOWAY BRUCE | TenPercentOwner | 2 | 2006–2007 | ||
| GOLDWASSER MARK | Director; Director,Officer; Director,Officer,TenPercentOwner | CEO; Chairman & CEO; Chief Executive Officer; President | 19 | 2006–2016 | |
| GUSTAFSON KAREN JO | TenPercentOwner | 2 | 2006 | person page Fuzzy | |
| KUSNICK GREGORY P | TenPercentOwner | 2 | 2006 | ||
| LOWNEY GREGORY C | TenPercentOwner | 2 | 2006 | ||
| ONE CLARK LLC | TenPercentOwner | 3 | 2006–2007 | ||
| SNYDER MARYANNE K | TenPercentOwner | 2 | 2006 | ||
| KURLAN NORMAN J | Director | 7 | 2006–2008 | ||
| ROSAN ROBERT J | Director | 6 | 2006–2008 | ||
| ROSENBERG GARY A | Director | 5 | 2006–2008 | ||
| Friedman Brian | Officer | EVP and Assistant Secretary; Exec V.P. & Ast. Sec.; Exec VP & Ast. Secretary | 4 | 2006–2007 | |
| McCoy David | Officer | Chief Operating Officer | 4 | 2006–2007 | |
| TRIAGE PARTNERS LLC | TenPercentOwner | 1 | 2006 | ||
| DASKAL ROBERT H | Officer | CFO and Secretary; CFO & Secretary; Chief Financial Officer & Sec. | 3 | 2006–2007 | |
| Dewey Christopher | Director,Officer; Officer | Vice Chairman | 18 | 2007–2010 | person page Fuzzy |
| Galloway Capital Management, LLC | Other | 1 | 2007 | ||
| Herman Gary L | Other | 1 | 2007 | ||
| STRATEGIC TURNAROUND EQUITY PARTNERS LP CAYMAN | Other | 1 | 2007 | ||
| BEDFORD OAK ADVISORS LLC | TenPercentOwner | 32 | 2007–2011 | ||
| EISEN HARVEY P | Director,Officer,TenPercentOwner; Director,TenPercentOwner; TenPercentOwner | Chief Executive Officer | 32 | 2007–2011 | person page Fuzzy |
| DellaCamera Capital Management, LLC | TenPercentOwner | 3 | 2007–2008 | ||
| LEVIN ALAN B | Officer | Chief Financial Officer | 8 | 2008–2016 | |
| MODICA CHARLES R | Director | 5 | 2008–2010 | ||
| ORTEGA JORGE A | Director | 5 | 2008–2010 | ||
| Rich Jonathan C | Officer | Executive Vice President | 3 | 2008–2013 | |
| SOKOLOW LEONARD J | Director; Director,Officer; Director,Officer,TenPercentOwner | Vice Chairman and President; Vice Chairman & President | 8 | 2008–2013 | |
| LAUTZ ROBERT W JR | Director; Director,TenPercentOwner | 5 | 2008–2012 | ||
| Roth Mark David | Officer | COO & General Counsel | 1 | 2009 | |
| PLIMPTON FRANK | Director | 4 | 2010–2016 | ||
| Coviello Paul | Director | 1 | 2010 | ||
| Linden Asset Management, Inc. | TenPercentOwner | 1 | 2010 | ||
| Opus Point Partners, LLC | TenPercentOwner | 2 | 2010–2016 | ||
| WEISS MICHAEL S | Director,TenPercentOwner; TenPercentOwner | 2 | 2010–2016 | ||
| BEDFORD OAK CAPITAL LP | TenPercentOwner | 1 | 2010 | ||
| COR Securities Holdings Inc. | TenPercentOwner | 1 | 2012 | ||
| COR Capital LLC | TenPercentOwner | 1 | 2012 | ||
| COR Equity Income Fund LP | TenPercentOwner | 1 | 2012 | ||
| Sugarman Steven | TenPercentOwner | 1 | 2012 | ||
| FAGENSON ROBERT B | Director; Director,Officer; Director,Officer,TenPercentOwner; Director,TenPercentOwner | CEO and Executive Chairman; Co-Executive Chairman | 16 | 2012–2021 | person page Fuzzy |
| KLEIN MARK | Director,Officer; Director,Officer,TenPercentOwner; Director,TenPercentOwner | Chief Executive Officer | 7 | 2012–2014 | |
| RILEY BRYANT R | Director,TenPercentOwner; Other | 3 | 2012–2015 | ||
| POWERS FREDERIC B III | Director | 2 | 2013–2016 | ||
| CIOCIA JAMES | Director | 3 | 2013–2016 | ||
| Wasserman Frederick Gerald | Director | 4 | 2013–2016 | ||
| Abbe Richard | Director | 2 | 2014–2016 | ||
| Silverman Joshua | Director | 2 | 2014–2016 | ||
| Worman Glenn C. | Officer | Chief Operating Officer; Executive VP - Finance; President and CFO | 19 | 2015–2021 | |
| BRC Partners Opportunity Fund, LP | Other | 2 | 2015 | ||
| B. RILEY CAPITAL MANAGEMENT, LLC | Other | 2 | 2015 | ||
| B. Riley & Co., LLC | Other | 2 | 2015 | ||
| B. Riley Financial, Inc. | Other; TenPercentOwner | 4 | 2015–2019 | ||
| Klein Mark D | Other | 1 | 2015 | ||
| B. Riley & Co., LLC 401(K) Profit Sharing Plan | Other | 1 | 2015 | ||
| Robert Antin Children Irrevocable Trust dtd 1/1/01 | Other | 1 | 2015 | ||
| FBIO Acquisition, Inc. | TenPercentOwner | 1 | 2016 | ||
| Fortress Biotech, Inc. | TenPercentOwner | 1 | 2016 | ||
| Herskowitz Neil | Director | 2 | 2016–2019 | ||
| HUME DANIEL | Director | 6 | 2016–2021 | ||
| Opus Point Healthcare Innovations (Offshore) Fund Ltd. | TenPercentOwner | 1 | 2016 | ||
| ROSENWALD LINDSAY A MD | TenPercentOwner | 1 | 2016 | ||
| SALIG ELI | Director | 2 | 2016–2019 | ||
| Mullen Michael A | Director,Officer; Officer | CEO and Chairman of the Board; Co-Chief Executive Officer | 16 | 2017–2021 | |
| Singer Michael Evan | Director | 5 | 2017–2021 | ||
| NHC Holdings, LLC | TenPercentOwner | 2 | 2018–2019 | ||
| ASHER DANIEL | TenPercentOwner | 20 | 2019–2020 | ||
| DeSena John C. | Officer | Chief Operating Officer | 15 | 2019–2021 | |
| Gary Jeff | Director | 5 | 2019–2021 | ||
| Creagh Barbara | Director | 5 | 2019–2021 | ||
| Michas Athanassios | Director | 5 | 2019–2020 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | NATIONAL HOLDINGS CORPORATION | NY | State business registries | name and state |
| Business registration | NATIONAL HOLDINGS, INC. | NY | State business registries | name and state |
| Plan sponsor | NATIONAL HOLDINGS CORPORATION | FL | Form 5500 (employee benefit plans) | EIN (EXACT) |
| SEC filer | NATIONAL HOLDINGS CORP | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | National Holdings Corporation | NY | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | NATIONAL HOLDINGS CORPORATION | EIN (EXACT) | ||
| Person page | Christopher C Dewey | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer) | |
| Person page | Harvey P Eisen | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer,TenPercentOwner) | |
| Person page | Karen Jo Gustafson | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner) | |
| Person page | Robert B Fagenson | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Security & Commodity Brokers, Dealers, Exchanges & Services, NY first:
- SAXON ACQUISITION CORP NY
- ML JWH STRATEGIC JOINT VENTURE LLC NY
- TD WATERHOUSE GROUP INC NY
- BGC Group, Inc. NY
- NYMEX HOLDINGS INC NY
- MORGAN GROUP HOLDING CO NY
- PRIMUS GUARANTY LTD NY
- GFI Group Inc. NY
- International Securities Exchange Holdings, Inc. NY
- ACA Capital Holdings Inc NY
In other datasets, the same topic (Finance) in NY:
- Lobbying client: 3B1 PARTNERS (Federal lobbying (LDA))
Interests: Security & Commodity Brokers, Dealers, Exchanges & Services · Finance