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 as of 2020-08-01
Market Cap31.4 Million Shares Outstanding13.477 Million Avg 30-day Volume4.736 Thousand
P/E Ratio Dividend Yield EPS-0.16
Price/Sales2.161 Price cash flow ratio4.9 Price free cash flow ratio-6.7
Book Value3.54 Price to Tangible Book1.1 Alpha-0.01
Short Interest Ratio % Short Interest to Float R-squared0.134357
BETA1.16477 52-week High/Low3.0593 / 1.12 Stddev0.136719
View SEC Filings from NHLD instead.
Q1 2020 All Institutions Hedge Funds 1
Filers who had this stock in their top 10: 1 0 (0.0%)
13F Filers holding this stock: 17 5 (0.33%)
Aggregate 13F shares on 03/31/2020: 6.479 Million 213.158 Thousand
Aggregate 13F shares on 12/31/2019: 6.892 Million 205.956 Thousand
Percent change: -5.99% 3.50%
Funds creating new positions: 4 1
Funds Adding to an existing position: 4 2
Funds closing out their position: 3
Funds reducing their position: 3 1
1 hedge funds as identified by whalewisdom.com through public filings.

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SEC Web Site SEC DEF 14A Filings

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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

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

8.7 Thousand total shares from 5 transactions

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

41.7 Thousand total shares from 3 transactions

Current/Former Insiders

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

KLEIN MARK D

  • Director
 0 2020-07-29 0

WORMAN GLENN C. PRESIDENT AND CFO

  • Officer
 97,892 2020-07-19 7

DESENA JOHN C. CHIEF OPERATING OFFICER

  • Officer
 63,261 2020-07-19 7

GARY JEFF

  • Director
 0 2020-07-06 2

GELLER MARSHALL S

  • Director
 161,115 2020-06-30 0

ASHER DANIEL

  • 10% Owner
 1,555,403 2020-06-30 4

HUME DANIEL

  • Director
 134,507 2020-06-22 2

HERSKOWITZ NEIL

  • Director
 132,224 2020-06-16 0

MICHAS ATHANASSIOS

  • Director
 33,334 2020-06-11 2

SILVERMAN JOSHUA

  • Director
 10,928 2020-05-28 0

MULLEN MICHAEL A CEO AND CHAIRMAN OF THE BOARD

  • Officer
  • Director
 325,759 2020-05-22 7

FAGENSON ROBERT B

  • Director
 0 2020-04-02 2

CREAGH BARBARA

  • Director
 0 2020-04-02 2

DEWEY CHRISTOPHER C

  • Director
 328,982 2020-03-31 0

SINGER MICHAEL EVAN

  • Director
 33,397 2020-02-21 2

WASSERMAN FREDERICK GERALD

  • Director
 80,320 2019-12-10 0

SOKOLOW LEONARD J

  • Director
 21,236 2019-12-04 0

NHC HOLDINGS, LLC

B. RILEY FINANCIAL, INC.

  • 10% Owner
 12,319,100 2019-02-11 0

SALIG ELI

  • Director
 60,593 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

WORMAN GLENN C. - Officer PRESIDENT AND CFO

2020-07-19 M 15,625 d 568,463 97,892.00 direct

DESENA JOHN C. - Officer CHIEF OPERATING OFFICER

2020-07-19 M 9,375 d 354,792 63,261.00 direct

WORMAN GLENN C. - Officer PRESIDENT AND CFO

2020-07-19 M 15,625 a 97,892 97,892.00 direct

DESENA JOHN C. - Officer CHIEF OPERATING OFFICER

2020-07-19 M 9,375 a 63,261 63,261.00 direct

ASHER DANIEL - > 10% Owner thru equitec proprietary markets, llc

2020-06-30 P 2 $2.00 a 1,294,909 2,593,089.00 indirect

ASHER DANIEL - > 10% Owner thru equitec proprietary markets, llc

2020-06-30 P 148 $2.00 a 1,295,057 2,593,089.00 indirect

ASHER DANIEL - > 10% Owner thru equitec proprietary markets, llc

2020-06-29 P 215 $2.00 a 1,294,907 2,593,089.00 indirect

ASHER DANIEL - > 10% Owner thru equitec proprietary markets, llc

2020-06-22 P 10 $1.98 a 1,294,692 2,592,724.00 indirect

ASHER DANIEL - > 10% Owner thru equitec proprietary markets, llc

2020-06-19 P 8,297 $2.04 a 1,294,682 2,592,724.00 indirect

MICHAS ATHANASSIOS - Director

2020-06-11 M 16,667 a 33,334 33,334.00 direct

MICHAS ATHANASSIOS - Director

2020-06-11 M 16,667 a 49,346 33,334.00 direct
Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

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