SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

National Holdings Corp – ‘8-K’ for 5/15/20

On:  Friday, 5/15/20, at 8:30am ET   ·   For:  5/15/20   ·   Accession #:  1437749-20-10878   ·   File #:  1-12629

Previous ‘8-K’:  ‘8-K’ on 5/6/20 for 4/30/20   ·   Next:  ‘8-K’ on / for 8/13/20   ·   Latest:  ‘8-K’ on / for 2/25/21

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/15/20  National Holdings Corp            8-K:2,9     5/15/20    2:256K                                   RDG Filings/FA

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     15K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML    131K 


‘8-K’   —   Current Report


This is an HTML Document rendered as filed.  [ Alternative Formats ]



 C:  <>  <> 

 


 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 


 

FORM 8-K

 


  

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of report (Date of earliest event reported): May 15, 2020

 

NATIONAL HOLDINGS CORPORATION

(Exact Name of Registrant as Specified in Charter)

 

Delaware
(State or Other Jurisdiction
of Incorporation)

 

 

001-12629
(Commission File Number)

 

 

36-4128138
(IRS Employer Identification No.)

 

200 Vesey Street, 25th Floor, New York, NY 10281

(Address of Principal Executive Offices)

 

(212) 417-8000

(Registrant’s telephone number, including area code)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Common Stock, $0.02 par value per share

NHLD

The Nasdaq Capital Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).  

Emerging growth company ☐

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

Item 2.02. Results of Operations and Financial Condition.

 

On May 15, 2020, National Holdings Corporation (the “Company”) issued a press release announcing its financial results for the quarter ended March 31, 2020. A copy of the press release is furnished as Exhibit 99.1 hereto.

 

The information in this Current Report on Form 8-K, including Exhibit 99.1 attached hereto, is furnished to comply with Item 2.02 of Form 8-K, and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such a filing.

 

 

 

Item 9.01. Financial Statements and Exhibits. 

 

(d) Exhibits.

 

The following exhibits are furnished herewith:

 

Exhibit
Number

 

 

Description

 

 

 

99.1

 

Press release of National Holdings Corporation, dated May 15, 2020.

 

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  

Date: May 15, 2020

NATIONAL HOLDINGS CORPORATION

(Registrant)

 

 

 

 

 

 

 

 

 

 

 

By:

/s/ Michael A. Mullen

 

 

Name:

 Michael A. Mullen

 

 

Title:

Chief Executive Officer

 

  

 

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on / For Period end:5/15/20
3/31/2010-Q
 List all Filings 
Top
Filing Submission 0001437749-20-010878   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Thu., Mar. 28, 5:45:15.1pm ET