National Holdings Corp (NHLD)

FINANCE: CORPORATE FINANCE
SIC: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES

200 VESEY STREET NEW YORK, NY 10281

National Holdings Corporation (National Holdings) is a financial services organization operating through its wholly owned subsidiary, National Securities Corporation. National Securities conducts a national securities brokerage business through its main offices in Seattle, Washington and New York, New York, as well as 64 other locations throughout the country, and one office outside the country. The Company's business includes securities brokerage for individual and institutional clients, market-making trading activities, asset management and corporate finance services. It provides a range of securities brokerage and investment services to a diverse retail and institutional clientele, as well as corporate finance and investment banking services to corporations and businesses.

Data based on most recent fiscal year report
Market Cap53.616 Million Shares Outstanding12.44 Million Avg Volume75.457 Thousand
1-Yr BETA vs S&P TR0.215 Current Ratio2.39 Quick Ratio2.39
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Funds Holding NHLD (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding NHLD BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

78.1 Thousand total shares from 1 transactions

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

KLEIN MARK D CEO AND PRESIDENT

  • Officer
  • Director
 152,515 2020-01-08 0

GELLER MARSHALL S

0 2020-01-07 0

SILVERMAN JOSHUA

  • Director
 5,201 2020-01-01 0

WORMAN GLENN C. PRESIDENT AND CFO

  • Officer
 67,175 2019-12-23 6

MULLEN MICHAEL A CEO AND CHAIRMAN OF THE BOARD

  • Officer
  • Director
 290,133 2019-12-23 5

DESENA JOHN C. CHIEF OPERATING OFFICER

  • Officer
 42,567 2019-12-23 6

WASSERMAN FREDERICK GERALD

  • Director
 80,320 2019-12-10 0

SOKOLOW LEONARD J

  • Director
 21,236 2019-12-04 0

HUME DANIEL

119,507 2019-09-17 1

HERSKOWITZ NEIL

  • Director
 84,812 2019-08-28 0

DEWEY CHRISTOPHER C

  • Director
 239,726 2019-08-06 0

ASHER DANIEL

  • 10% Owner
 1,266,153 2019-06-21 5

MICHAS ATHANASSIOS

  • Director
 16,667 2019-06-11 2

FAGENSON ROBERT B

  • Director
 0 2019-02-13 1

GARY JEFF

  • Director
 0 2019-02-13 2

CREAGH BARBARA

  • Director
 0 2019-02-13 2

NHC HOLDINGS, LLC

B. RILEY FINANCIAL, INC.

  • 10% Owner
 12,319,100 2019-02-11 1

SALIG ELI

  • Director
 60,593 2018-02-12 0

SINGER MICHAEL EVAN

  • Director
 16,092 2018-02-12 0

ABBE RICHARD

  • Director
 286,542 2017-08-31 0

SUGARMAN STEVEN FORMER CEO AND BOARD CHAIRMAN

No longer subject to file 2017-01-23 0

EISEN HARVEY P PRESIDENT AND CEO

BEDFORD OAK ADVISORS LLC

  • Officer
  • Director
  • 10% Owner
 5,070,017 2016-10-06 0

LEVIN ALAN B CHIEF FINANCIAL OFFICER

  • Officer
 0 2016-09-12 0

GOLDWASSER MARK

  • Director
 0 2016-09-12 0

PLIMPTON FRANK

  • Director
 0 2016-09-12 0

CIOCIA JAMES

  • Director
 18,685 2016-09-12 0

POWERS FREDERIC B III

  • Director
 0 2016-09-12 0

FBIO ACQUISITION, INC.

FORTRESS BIOTECH, INC.

OPUS POINT PARTNERS, LLC

OPUS POINT HEALTHCARE INNOVATIONS (OFFSHORE) FUND LTD.

WEISS MICHAEL S

ROSENWALD LINDSAY A MD

  • Director
  • 10% Owner
 7,559,774 2016-09-12 0

RILEY BRYANT R

BRC PARTNERS OPPORTUNITY FUND, LP

B. RILEY & CO., LLC

B. RILEY CAPITAL MANAGEMENT, LLC

B. RILEY FINANCIAL, INC.

  • SEE FOOTNOTE 1SEE FOOTNOTE 1SEE FOOTNOTE 1SEE FOOTNOTE 1SEE FOOTNOTE 1
 604,114 2015-11-30 0

RILEY BRYANT R

BRC PARTNERS OPPORTUNITY FUND, LP

B. RILEY & CO., LLC

B. RILEY CAPITAL MANAGEMENT, LLC

B. RILEY FINANCIAL, INC.

B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN

ROBERT ANTIN CHILDREN IRREVOCABLE TRUST DTD 1/1/01

  • SEE FOOTNOTE 1SEE FOOTNOTE 1SEE FOOTNOTE 1SEE FOOTNOTE 1SEE FOOTNOTE 1SEE FOOTNOTE 1SEE FOOTNOTE 1
 604,114 2015-11-30 0

ROSENBERG GARY A CEO AND PRESIDENT

  • Officer
  • Director
 17,100,000 2014-08-26 0

KLEIN MARK CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
 5,139,855 2014-08-20 0

RICH JONATHAN C

  • Director
 15,140 2013-03-22 0

COR SECURITIES HOLDINGS INC.

  • 10% Owner
 2,017,691 2011-12-27 0

COR EQUITY INCOME FUND LP

  • 10% Owner
 2,017,691 2011-12-27 0

COR CAPITAL LLC

  • 10% Owner
 2,017,691 2011-12-27 0

BEDFORD OAK CAPITAL LP

  • 10% Owner
 1,732,398 2010-12-10 0

COVIELLO PAUL

LINDEN ASSET MANAGEMENT, INC.

  • Director
  • 10% Owner
 0 2010-10-05 0

OPUS POINT PARTNERS, LLC

WEISS MICHAEL S

  • 10% Owner
 0 2010-10-05 0

ORTEGA JORGE A

  • Director
 0 2010-03-16 0

MODICA CHARLES R

  • Director
 0 2010-03-16 0

LAUTZ ROBERT W JR

  • Director
 0 2010-03-16 0

DELLACAMERA CAPITAL MANAGEMENT, LLC

  • 10% Owner
 No longer subject to file 2009-05-13 0

ROTH MARK DAVID COO & GENERAL COUNSEL

  • Officer
 0 2009-03-16 0

KURLAN NORMAN J

  • Director
 No longer subject to file 2008-06-30 0

ROSAN ROBERT J

  • Director
 No longer subject to file 2008-06-30 0

Insider Transactions Last 60 Days

Reporting Owners Transaction Date Transaction Code Shares Share Price Acquired or Disposed Shares Owned Following Transaction Combined shares owned after filing Direct/Indirect Ownership 10b-5

MULLEN MICHAEL A - Director - Officer CEO AND CHAIRMAN OF THE BOARD

2020-01-03 M 78,125 d 919,348 290,133.00 direct

MULLEN MICHAEL A - Director - Officer CEO AND CHAIRMAN OF THE BOARD

2020-01-03 M 78,125 a 290,133 290,133.00 direct

WORMAN GLENN C. - Officer PRESIDENT AND CFO

2019-12-23 F 12,641 $2.66 d 67,175 67,175.00 direct

MULLEN MICHAEL A - Director - Officer CEO AND CHAIRMAN OF THE BOARD

2019-12-23 F 18,203 $2.66 d 212,008 290,133.00 direct

DESENA JOHN C. - Officer CHIEF OPERATING OFFICER

2019-12-23 F 7,585 $2.66 d 42,567 42,567.00 direct

DESENA JOHN C. - Officer CHIEF OPERATING OFFICER

2019-12-13 A 89,308 a 381,310 0.00 direct

WORMAN GLENN C. - Officer PRESIDENT AND CFO

2019-12-13 A 148,846 a 606,945 0.00 direct

MULLEN MICHAEL A - Director - Officer CEO AND CHAIRMAN OF THE BOARD

2019-12-13 A 214,338 a 1,133,686 0.00 direct
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