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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>&nbsp;</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:18pt;margin:0pt;text-align:center;"><b>UNITED STATES</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:18pt;margin:0pt;text-align:center;"><b>SECURITIES AND EXCHANGE COMMISSION</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>WASHINGTON, D.C. 20549</b></p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">&nbsp;</p>

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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:18pt;margin:0pt;text-align:center;"><b>FORM 8-K</b></p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">&nbsp;</p>

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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">&nbsp;&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>CURRENT REPORT</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Pursuant to Section 13 or 15(d) of the</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Securities Exchange Act of 1934</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">Date of report (Date of earliest event reported): <b>February 13,</b> <b>2019</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:18pt;margin:0pt;text-align:center;"><b>NATIONAL HOLDINGS CORPORATION</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Exact Name of Registrant as Specified in Charter)</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

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			<td style="vertical-align:top;width:32%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Delaware</b><br>
			(State or Other Jurisdiction<br>
			of Incorporation)</p>
			</td>
			<td style="vertical-align:bottom;width:2%;">
			<p style="font-size:3pt;margin:0pt;text-align:left;">&nbsp;</p>

			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
			<td style="vertical-align:top;width:32%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>001-12629</b><br>
			(Commission File Number)</p>
			</td>
			<td style="vertical-align:bottom;width:2%;">
			<p style="font-size:3pt;margin:0pt;text-align:left;">&nbsp;</p>

			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
			<td style="vertical-align:top;width:32%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>36-4128138</b><br>
			(IRS Employer Identification No.)</p>
			</td>
		</tr>

</table>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>200 Vesey Street, 25</b><b>th</b><b> Floor, New York, NY 10281</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Address of Principal Executive Offices)</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><u><b>(212) 417-8000</b></u></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Registrant&rsquo;s telephone number, including area code)</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">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:</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744; Written communications pursuant to Rule 425 under the Securities Act.</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744; Soliciting material pursuant to Rule 14a-12 under the Exchange Act.</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744; Pre-commencement communications pursuant to Rule 14d-2b under the Exchange Act.</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744; Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act.</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:46.8pt;margin-right:0pt;margin-top:0pt;text-align:left;text-indent:-28.8pt;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&sect;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&sect;240.12b-2 of this chapter). &nbsp;Emerging growth company &#9744;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">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.&#9744;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

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<p style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; margin: 0pt; text-align: left">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;<b>Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;"><i>Director resignations</i></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;"><i>&nbsp;</i></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">On February 8, 2019, each of Neil Herskowitz and Eli Salig notified National Holdings Corporation (the &ldquo;Company&rdquo;) of his decision to resign as a member of the Board of Directors of the Company (the &ldquo;Board&rdquo;), effective as of February 13, 2019. With the resignation, each of Mr. Herskowitz and Mr. Salig also resigned as a member of the Company&rsquo;s Audit Committee. There were no disagreements between either Mr. Herskowitz or Mr. Salig and the Company or any officer or director of the Company which led to such director&rsquo;s resignation.</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;"><i>Appointment of Barbara Creagh as Director</i></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">On February 8, 2019, following the recommendation of the Nominating and Corporate Governance Committee, the Board appointed Barbara Creagh to the Board, effective as of February 13, 2019. Ms. Creagh will serve as a Class II director until her term expires at the 2019 annual meeting of stockholders, at which time she will stand for election by the Company&rsquo;s stockholders. Ms. Creagh was also named to the audit and compensation committees of the Board. The Board has determined that Ms. Creagh is &ldquo;independent&rdquo; as contemplated by the Nasdaq Stock Market and other governing laws and applicable regulations, including Rule 10C-1under the Securities Exchange Act of 1934, as amended (the &ldquo;Exchange Act&rdquo;).</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">There is no arrangement or understanding between Ms. Creagh and any other person pursuant to which she was selected as a director of the Company. As of the date of this report, neither Ms. Creagh, nor any of her immediate family members, is a party to any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K. Ms. Creagh will receive compensation for her service as a non-employee director and for committee service in accordance with the Company&rsquo;s director compensation program, which is described in the Company&rsquo;s Amended Annual Report on Form 10-K/A filed under the Exchange Act on January 28, 2019, including the award of a one-time award under the Company&rsquo;s 2013 Omnibus Incentive Plan of 50,000 restricted stock units of the Company.</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;"><i>Appointment of Jeff Gary as Director</i></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Also on February 8, 2019, following the recommendation of the Nominating and Corporate Governance Committee, the Board appointed Jeff Gary to the Board, effective as of February 13, 2019. Mr. Gary will serve as a Class III director until his term expires at the 2020 annual meeting of stockholders, at which time he will stand for election by the Company&rsquo;s stockholders. Mr. Gary was also named chairman of the audit committee of the Board.&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">There is no arrangement or understanding between Mr. Gary and any other person pursuant to which he was selected as a director of the Company. As of the date of this report, neither Mr. Gary, nor any of his immediate family members, is a party to any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K. Mr. Gary will receive compensation for his service as a non-employee director and for committee service in accordance with the Company&rsquo;s director compensation program, which is described in the Company&rsquo;s Amended Annual Report on Form 10-K/A filed under the Exchange Act on January 28, 2019, including the award of a one-time award under the Company&rsquo;s 2013 Omnibus Incentive Plan of 50,000 restricted stock units of the Company.</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

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<div id="PGNUM" style="text-align: center; width: 100%">&nbsp;</div>

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<div id="PGHDR" style="text-align: left; width: 100%">&nbsp;</div>
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<p style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; margin: 0pt; text-align: left">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>SIGNATURE</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;text-indent:36pt;">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.</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;&nbsp;</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Date: February 15, 2019</p>
			</td>
			<td colspan="2" style="vertical-align:middle;width:50.3%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>NATIONAL HOLDINGS CORPORATION</b></p>

			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">(Registrant)</p>
			</td>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
			<td colspan="2" style="vertical-align:middle;width:50.3%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:middle;width:49.6%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
			<td colspan="2" style="vertical-align:middle;width:50.3%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:middle;width:49.6%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
			<td colspan="2" style="vertical-align:middle;width:50.3%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:middle;width:49.6%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
			<td style="vertical-align:middle;width:5.7%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">By:</p>
			</td>
			<td style="vertical-align:middle;border-bottom:solid 1px #000000;;width:44.6%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">/s/ Michael Mullen</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:middle;width:49.6%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
			<td style="vertical-align:middle;width:5.7%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Name:</p>
			</td>
			<td style="vertical-align:middle;width:44.6%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Michael Mullen</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:middle;width:49.6%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
			<td style="vertical-align:middle;width:5.7%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Title:</p>
			</td>
			<td style="vertical-align:middle;width:44.6%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Chief Executive Officer</p>
			</td>
		</tr>

</table>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;"><b>&nbsp;&nbsp;</b></p>
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{"company-data": {"conformed-name": "NATIONAL HOLDINGS CORP", "cik": "0001023844", "assigned-sic": "6200", "irs-number": "364128138", "state-of-incorporation": "DE", "fiscal-year-end": "0930"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-12629", "film-number": "19611890"}, "business-address": {"street1": "200 VESEY STREET", "street2": "25TH FLOOR", "city": "NEW YORK", "state": "NY", "zip": "10281", "phone": "212-417-8000"}, "mail-address": {"street1": "200 VESEY STREET", "street2": "25TH FLOOR", "city": "NEW YORK", "state": "NY", "zip": "10281"}, "former-company": {"former-conformed-name": "OLYMPIC CASCADE FINANCIAL CORP", "date-changed": "19960927"}}
nhld20190215b_8k.htm
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):
February 13,
2019
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, 25
th
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.
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act.
☐ Pre-commencement communications pursuant to Rule 14d-2b under the Exchange Act.
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act.
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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
Director resignations
On February 8, 2019, each of Neil Herskowitz and Eli Salig notified National Holdings Corporation (the "Company") of his decision to resign as a member of the Board of Directors of the Company (the "Board"), effective as of February 13, 2019. With the resignation, each of Mr. Herskowitz and Mr. Salig also resigned as a member of the Company's Audit Committee. There were no disagreements between either Mr. Herskowitz or Mr. Salig and the Company or any officer or director of the Company which led to such director's resignation.
Appointment of Barbara Creagh as Director
On February 8, 2019, following the recommendation of the Nominating and Corporate Governance Committee, the Board appointed Barbara Creagh to the Board, effective as of February 13, 2019. Ms. Creagh will serve as a Class II director until her term expires at the 2019 annual meeting of stockholders, at which time she will stand for election by the Company's stockholders. Ms. Creagh was also named to the audit and compensation committees of the Board. The Board has determined that Ms. Creagh is "independent" as contemplated by the Nasdaq Stock Market and other governing laws and applicable regulations, including Rule 10C-1under the Securities Exchange Act of 1934, as amended (the "Exchange Act").
There is no arrangement or understanding between Ms. Creagh and any other person pursuant to which she was selected as a director of the Company. As of the date of this report, neither Ms. Creagh, nor any of her immediate family members, is a party to any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K. Ms. Creagh will receive compensation for her service as a non-employee director and for committee service in accordance with the Company's director compensation program, which is described in the Company's Amended Annual Report on Form 10-K/A filed under the Exchange Act on January 28, 2019, including the award of a one-time award under the Company's 2013 Omnibus Incentive Plan of 50,000 restricted stock units of the Company.
Appointment of Jeff Gary as Director
Also on February 8, 2019, following the recommendation of the Nominating and Corporate Governance Committee, the Board appointed Jeff Gary to the Board, effective as of February 13, 2019. Mr. Gary will serve as a Class III director until his term expires at the 2020 annual meeting of stockholders, at which time he will stand for election by the Company's stockholders. Mr. Gary was also named chairman of the audit committee of the Board.
There is no arrangement or understanding between Mr. Gary and any other person pursuant to which he was selected as a director of the Company. As of the date of this report, neither Mr. Gary, nor any of his immediate family members, is a party to any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K. Mr. Gary will receive compensation for his service as a non-employee director and for committee service in accordance with the Company's director compensation program, which is described in the Company's Amended Annual Report on Form 10-K/A filed under the Exchange Act on January 28, 2019, including the award of a one-time award under the Company's 2013 Omnibus Incentive Plan of 50,000 restricted stock units of the Company.
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: February 15, 2019
NATIONAL HOLDINGS CORPORATION
(Registrant)
By:
/s/ Michael Mullen
Name:
Michael Mullen
Title:
Chief Executive Officer