National Holdings Corp. 

NY

  SEC # 1023844

        

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1,031  SEC Filings   from  9/27/96  to  3/10/21  (None in the Past Year)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘15-12B’ — Certification of a Termination of Registration of a Class of Securities — Form 15 — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  National Holdings Corp.

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Forms , Documents & Exhibits  in  490 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
3/10/21	OLD		15-12B		Registration:		Certification of a Termination of Registration of a Class of Securities — Form 15  OLD	1
3/5/21	OLD		EFFECT		SEC:		SEC Notices of Effectiveness  OLD	16
2/25/21	OLD		S-8 POS		Registration:		Post-Effective Amendments of Form S-8 Registrations  OLD	7
2/25/21	OLD		POS AM		Registration:		Post-Effective Amendments of Registration Statements  OLD  — Financial Reports	11
2/25/21	OLD		8-K		Update:		Current Reports — Form 8-K  OLD  — Press Releases & Conference Calls	181
					8-K Items:
1/11/21	OLD		Business & Operations:			•	Entry into a Material Definitive Agreement — Item 1.01  OLD  — ↓‘EX-10’	44
2/25/21	OLD		"			•	Termination of a Material Definitive Agreement — Item 1.02  OLD  — ↓‘EX-10’	5
2/25/21	OLD		Financial Info:			•	Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ↓‘EX-2’	6
12/30/20	OLD		"			•	Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports	43
4/29/20	OLD		"			•	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ↓‘EX-10’	8
2/25/21	OLD		Securities & Trading:			•	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD	6
8/29/13	OLD		"			•	Unregistered Sales of Equity Securities — Item 3.02  OLD	21
2/25/21	OLD		"			•	Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ↓‘EX-4’	5
7/22/19	OLD		Accountants & Accounting:			•	Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ↓‘EX-16’	5
6/10/10	OLD		"			•	Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02  OLD	1
2/25/21	OLD		Governance & Management:			•	Changes in Control of Registrant — Item 5.01  OLD	2
2/25/21	OLD		"			•	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — List of Directors & Officers	56
1/11/21	OLD		"			•	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ↓‘EX-3’	11
4/6/20	OLD		"			•	Submission of Matters to a Vote of Security Holders — Item 5.07  OLD	10
8/29/19	OLD		Disclosures:			•	Regulation FD Disclosure — Item 7.01  OLD  — ↓‘EX-99’	12
1/11/21	OLD		Events:			•	Other Events — Item 8.01  OLD	37
2/25/21	OLD		Financials:			•	Financial Statements and Exhibits — Item 9.01  OLD  — Financial Reports	134
2/25/21	OLD		SC 13E3		Ownership:		Tender-Offer Statements by Certain Issuers – Going-Private Transactions — Schedule 13E-3  OLD	4
2/25/21	OLD		SC 14D9		Ownership:		Tender-Offer Solicitation/Recommendation Statements — Schedule 14D-9  OLD	11
2/16/21	OLD		10-Q		Update:		Quarterly Reports — Form 10-Q  OLD  — Financial Reports	76
2/9/21	OLD		CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	25
1/28/21	OLD		10-K		Update:		Annual Reports — Form 10-K  OLD  — Financial Reports	29
1/11/21	OLD		SC14D9C		Ownership:		Tender-Offer Communication by an Issuer re: a Third-Party Offer — Schedule 14D-9C  OLD	1
3/23/20	OLD		DEFA14A		Proxy:		Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD	5
3/16/20	OLD		DEF 14A		Proxy:		Definitive Proxy Statements — Schedule 14A  OLD	22
5/30/19	OLD		S-8		Registration:		Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD	7
8/29/18	OLD		S-3		Registration:		Registration Statements – Securities for Transactions — Form S-3  OLD	9
1/18/17	OLD		CERTNAS		Trading:		Certifications by the Nasdaq Stock Market Approving Listings — Form CERT  OLD	2
1/13/17	OLD		8-A12B		Registration:		Registration Statements for Certain Classes of Securities — Form 8-A  OLD	4
1/11/17	OLD		S-1		Registration:		Registration Statements (General Form) — Form S-1  OLD  — Financial Reports	12
12/15/16	OLD		PRE 14A		Proxy:		Preliminary Proxy Statements — Schedule 14A  OLD	8
6/6/14	OLD		PRER14A		Proxy:		Preliminary Revised Proxy Soliciting Materials — Schedule 14A  OLD	2
3/12/14	OLD		PREC14A		Proxy:		Preliminary Proxy Statement – Contested Solicitation — Schedule 14A  OLD	1
11/5/13	OLD		424B3		Registration:		Prospectuses – New Facts or Events  OLD	9
9/13/13	OLD		D		Registration:		Notices of Exempt Offerings of Securities — Form D  OLD	7
8/29/13	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	4
8/9/13	OLD		S-4		Registration:		Registration Statements – Securities for Mergers — Form S-4  OLD  — Financial Reports	6
12/30/11	OLD		NT 10-K		Update:		Notices of Late Filings of Form 10-K Annual Reports — Form 12b-25  OLD	3
6/9/10	OLD		RW		Registration:		Registration Withdrawal Requests  OLD	2
7/16/08	OLD		REGDEX		Registration:		Notices of Exempt Offerings of Securities — Form D  OLD	13
8/13/04	OLD		10QSB		Update:		Quarterly and Quarterly-Transition Reports by Small Businesses (Optional Form) — Form 10-QSB  OLD	3
8/11/04	OLD		424B1		Registration:		Prospectus – Info Previously Omitted  OLD	1
2/18/04	OLD		NT 10-Q		Update:		Notices of Late Filings of Form 10-Q Quarterly Reports — Form 12b-25  OLD	3
12/14/01	OLD		SC 14F1		Ownership:		Statement re: a Change in the Majority of Directors — Schedule 14F-1  OLD	1
12/22/99	OLD		10KSB		Update:		Annual and Annual-Transition Reports by Small Businesses (Optional Form) — Form 10-KSB  OLD	2
1/8/99	OLD		10-K405		Update:		Annual Reports — Reg. S-K – Item 405 — Form 10-K  OLD	2
6/30/97	OLD		8-B12B		Registration:		Registration Statements by Certain Successor Issuers — Form 8-B  OLD	2
					General Exhibits:
1/11/21	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			30
1/11/21	OLD		EX-10		Material Contracts  OLD			164
1/11/21	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			11
12/29/20	OLD		EX-23		Consents of Experts and Counsel  OLD			72
12/29/20	OLD		EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders  OLD			27
12/29/20	OLD		EX-21		Subsidiaries Lists  OLD			28
5/30/19	OLD		EX-5		Opinions of Counsel re: Legality  OLD			22
1/4/17	OLD		EX-8		Opinions of Counsel re: Tax Matters  OLD			3
5/2/06	OLD		EX-24		Power of Attorney  OLD			1
12/29/03	OLD		EX-14		Code of Ethics  OLD			1
					Additional Exhibits:
1/27/21	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases & Conference Calls			139
					Financials:
2/16/21	OLD		EX-31		Certifications — §302 – SOA’02  OLD			172
2/16/21	OLD		EX-32		Certifications — §906 – SOA’02  OLD			154
2/16/21	OLD		XML  &  R#		IDEA Financial Reports Info  OLD  — Financial Reports			3,803
2/16/21	OLD		EXCEL		IDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports			63
2/16/21	OLD		EX-101.*		XBRL Data  (XBRL Files)  OLD			306
2/16/21	OLD		ZIP		XBRL Zipped Folders   (Folders of XBRL Files)  OLD			51
7/22/19	OLD		EX-16		Letters re: Changes in Accountants  OLD			9
8/15/18	OLD		EX-12		Statement re: the Computation of Ratios  OLD			1
12/28/01	OLD		EX-11		Statements re: Computations of Earnings Per Share  OLD			6
2/13/01	OLD		EX-27		Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports			19
					Graphics:
2/9/21	OLD		GRAPHIC		Photos, Images and Graphs  OLD			405

Forms , Documents & Exhibits  in  562 Filings  Filed re:  Issuer / Subject Company

        

        

Latest Filing			Type		Category	Description		Documents
3/2/21	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	96
2/25/21	OLD		4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD	306
2/25/21	OLD		25-NSE		Trading:		Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD	1
2/25/21	OLD		SC 13E3		Ownership:		Tender-Offer Statements by Certain Issuers – Going-Private Transactions — Schedule 13E-3  OLD	4
2/25/21	OLD		SC 14D9		Ownership:		Tender-Offer Solicitation/Recommendation Statements — Schedule 14D-9  OLD	11
2/25/21	OLD		SC TO-T		Ownership:		Tender-Offer Statements by Third Parties — Schedule TO  OLD	9
2/12/21	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	45
1/11/21	OLD		SC14D9C		Ownership:		Tender-Offer Communication by an Issuer re: a Third-Party Offer — Schedule 14D-9C  OLD	1
1/11/21	OLD		SC TO-C		Ownership:		Tender-Offer Communications by Issuers and Third Parties — Schedule TO  OLD	3
3/6/19	OLD		3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD	53
3/20/14	OLD		PREC14A		Proxy:		Preliminary Proxy Statements – Contested Solicitations — Schedule 14A  OLD	2
3/6/14	OLD		DFAN14A		Proxy:		Definitive Additional Non-Management Proxy Soliciting Material — Schedule 14A  OLD	1
8/29/13	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	4
12/14/01	OLD		SC 14F1		Ownership:		Statement re: a Change in the Majority of Directors — Schedule 14F-1  OLD	1
					Letters:
2/5/21	OLD		LETTER		Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC			26
2/5/21	OLD		TEXT-EXTRACT		Comment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD			4
					General Exhibits:
8/27/20	OLD		EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD			7
4/6/20	OLD		EX-24		Powers of Attorney  OLD			32
8/12/16	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			10
5/2/16	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			3
5/2/16	OLD		EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders  OLD			2
4/28/16	OLD		EX-10		Material Contracts  OLD			9
1/18/12	OLD		EX-5		Opinion of Counsel re: Legality  OLD			1
					Additional Exhibits:
2/25/21	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD			149
					Financials:
1/29/98	OLD		EX-7		Correspondence from Accountants re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews  OLD			3
					Graphics:
2/25/21	OLD		GRAPHIC		Photos, Images and Graphs  OLD			231

        

Filings History

Year		# of Filings
2021		65
2020		73
2019		60
2018		23
2017		29
2016		58
2015		43
2014		46
2013		75
2012		40
2011		27
2010		66
2009		45
2008		71
2007		65
2006		65
2005		33
2004		47
2003		15
2002		23
2001		10
2000		13
1999		14
1998		15
1997		8
1996		2