NATIONAL HOLDINGS CORP 4
4 · NATIONAL HOLDINGS CORP · Filed Mar 21, 2014
Insider Transaction Report
Form 4
NATIONAL HOLDINGS CORPNHLD.OB
KLEIN MARK
Director10% Owner
Transactions
- Purchase
Common Stock, par value $0.02 per share
2014-03-20$0.45/sh+45,000$20,250→ 617,094 total
Holdings
- 4,422,761(indirect: See footnote)
Common Stock, par value $0.02 per share
Footnotes (2)
- [F1]M. Klein & Company LLC ("M Klein & Company") directly owns the Common Stock. The Reporting Person is a managing member and a majority partner of M Klein & Company.
- [F2]M Klein & Company has investment and voting power with respect to the Common Stock held by M Klein and Company. The Reporting Person, as a managing member and a majority partner of M Klein & Company, may be deemed to beneficially own the shares of Common Stock beneficially owned by M Klein & Company. The Reporting Person disclaims any beneficial ownership of any of the Common Stock for purposes of Section 16, except to the extent of his pecuniary interest therein.