Form D · Investment Banking
NATIONAL HOLDINGS CORP
New York, NY · CIK 0001023844
Offering snapshot reported Sep 13, 2013 · SEC filing
- Reported sold
- $3.17M Offering amount: $3.17M
- Investors reported
- 14 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Aug 30, 2013 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Sep 13, 2013 | Initial | $3,174,989 | No comparison | 14 | SEC filing |
| Feb 8, 2013 | Initial | $8,835,479 | No comparison | 45 | SEC filing |
| Jan 14, 2011 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Nov 4, 2010 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Oct 13, 2010 | Initial | $3,000,000 | No comparison | 6 | SEC filing |
| Jun 11, 2010 | Initial | $1,700,000 | No comparison | 8 | SEC filing |
| May 12, 2009 | Initial | $500,000 | No comparison | Not reported | SEC filing |
| Jul 14, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Apr 14, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jun 15, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Mar 29, 2006 | Paper | Not reported | No comparison | Not reported |
Offering details
- Securities
- Equity
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $159K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-202860
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| National Securitites Corporation | 7569 |
Source: Form D, filed Sep 13, 2013. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Levin Alan | Executive |
| Paul J Coviello | Director |
| Christopher Dewey | Director, Executive |
| Robert Fagenson | Director |
| Brian Friedman | Executive |
| Marshall Geller | Director |
| Salvatore Giardina | Director |
| Mark Goldwasser | Director, Executive |
| Salvatore Guardina | Director |
| Mark Klein | Director, Executive |
| Robert W. Lautz, Jr. | Director |
| William Lerner | Director |
| Alan B. Levin | Executive |
| Charles Modica | Director |
| Jorge Ortega | Director |
| Frank S. Plimpton | Director |
| Frederic B. Powers, Iii | Director |
| Jonathan Rich | Executive |
| Leonard J. Sokolow | Director |
| Peter Zurkow | Director |
Issuer details
Industry: Investment Banking (See others in industry)
Address:
410 Park Avenue, 14th Floor
New York, NY, 10022
New York, NY, 10022