nhld20180723_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): July 20, 2018

 

NATIONAL HOLDINGS CORPORATION

(Exact Name of Registrant as Specified in Its Charter)

 

          Delaware          

        001-12629        

      36-4128138      

(State or Other Jurisdiction

(Commission

(I.R.S. Employer

of Incorporation)

File Number)

Identification No.)

 

 

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

 (Address, including zip code, 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 communication pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

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

 

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.

 

On July 20, 2018, National Holdings Corporation (“National” or the “Company”) announced the following executive promotions:

 

 

Glenn C. Worman has been appointed President, in addition to currently serving as Chief Financial Officer of National Holdings Corporation

 

John C. DeSena will assume the role of Chief Operating Officer of National Holdings Corporation

 

Thomas Kowalczyk has been promoted to Chief Executive Officer of National Asset Management, Inc., a subsidiary of National Holdings Corporation

 

The Company issued a press release detailing the promotions, and detailing the appointees’ qualifications and experience to serve the Company in each of their new respective roles. Such press release is being filed as exhibit 99.1 to this Form 8-K, and is hereby incorporated by reference into this item.

 

Item 9.01.

Financial Statements and Exhibits.

 

(d)

Exhibits

 

 

Exhibit No.

Description

   

99.1

Press release of the Company, dated July 20, 2018

 

 

 

 

SIGNATURES

 

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.

 

 

 

 

 

 

NATIONAL HOLDINGS CORPORATION 

 

 

(Registrant)

 

 

 

 

 

 

 

 

 

Date:     July 23, 2018

By:

  /s/ Michael Mullen 

 

 

Name: 

  Michael Mullen

 

 

Title: 

  Chief Executive Officer