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1
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NAME
OF REPORTING PERSON
S.S.
OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Christopher
C. Dewey
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2
|
CHECK
THE APPROPRIATE BOX IF MEMBER OF A GROUP
(a)
(b)
X*
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3
|
SEC
USE ONLY
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||
|
4
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CITIZENSHIP
OR PLACE OF ORGANIZATION
USA
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NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE
VOTING POWER
527,874**
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|
|
6
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SHARED
VOTING POWER
0
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||
|
7
|
SOLE
DISPOSITIVE POWER
527,874**
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||
|
8
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SHARED
DISPOSITIVE POWER
0
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||
|
9
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AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
527,874**
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||
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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||
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.48***
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12
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TYPE
OF REPORTING PERSON
IN
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|
Item
1(a).
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Name
of Issuer:
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National
Holdings Corporation
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Item
1(b).
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Address
of Issuer’s Principal Executive Offices:
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120
Broadway, 27th
Floor, New York, NY 10271
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|
Item
2(a) and (b).
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Name
of Person Filing and Address of Principal Business or Office or,
if none,
Residence:
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Christopher
C. Dewey
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|
c/o
National Holdings Corporation
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|
120
Broadway, 27th
Floor
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|
|
New
York, NY 10271
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Item
2(c).
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Citizenship:
|
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United
States
|
|
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Item
2(d).
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Title
of Class of Securities:
|
|
Common
Stock
|
|
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Item
2(e).
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CUSIP
Number:
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|
636375107
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|
Item
3.
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If
this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b)
or (c),
check whether the person filing is
a:
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(a)
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o
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Broker
or Dealer registered under Section 15 of the Act.
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(b)
|
o
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Bank
as defined in Section 3(a)(6) of the Act.
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|
(c)
|
o
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Insurance
Company as defined in Section 3(a)(19) of the Act.
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(d)
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o
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Investment
company registered under Section 8 of the Investment Company
Act of
1940.
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|
(e)
|
o
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An
investment adviser in accordance with Rule
13d-1(b)(1)(ii)(E);
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(f)
|
o
|
An
employee benefit plan or endowment fund in accordance with Rule
13d-1(b)(1)(ii)(F);
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(g)
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o
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A
parent holding company or control person in accordance with Rule
13d-1(b)(1)(ii)(G);
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(h)
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o
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A
savings associations as defined in Section 3(b) of the Federal
Deposit
Insurance Act (12 U.S.C. 1813);
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(i)
|
o
|
A
church plan that is excluded from the definition of an investment
company
under Section 3(c)(14) of the Investment Company Act of
1940
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(j)
|
o
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Group,
in accordance with Rule
13d-1(b)(1)(ii)(J).
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Item
4.
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Ownership:
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(a)
Amount beneficially owned:
|
|
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527,874
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(b)
Percent of class:
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9.48%
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(c)
Number of shares as to which the person has:
|
|
|
(i)
Sole power to vote or to direct the vote:
|
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|
527,874
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(ii)
Shared power to vote or to direct the vote:
|
|
|
-0-
|
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|
(iii)
Sole power to dispose or to direct the disposition of:
|
|
|
527,874
|
|
|
(iv)
Shared power to dispose or to direct the disposition
of:
|
|
|
-0-
|
|
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Item
5.
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Ownership
of Five Percent or Less of a Class:
|
|
|
Not
Applicable.
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Item
6.
|
Ownership
of More Than Five Percent on Behalf of Another
Person:
|
|
Not
Applicable
|
|
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Item
7.
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Identification
and Classification of the Subsidiary Which Acquired the Security
Being
Reported on By the Parent Holding Company or Control
Person:
|
|
Not
Applicable
|
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|
Item
8.
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Identification
and Classification of Members of the Group:
|
|
Not
Applicable
|
|
|
Item
9.
|
Notice
of Dissolution of Group:
|
|
Not
Applicable
|
|
Item
10.
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Certification:
|
|
By
signing below I certify that, to the best of my knowledge and belief,
the
securities referred to above were not acquired and are not held
for the
purpose of or with the effect of changing or influencing the control
of
the issuer of the securities and were not acquired and are not
held in
connection with or as a participant in any transaction having that
purpose
or effect.
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