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): December 30, 2016
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National Holdings Corporation |
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(Exact name of registrant as specified in its charter) |
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Delaware |
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001-12629 |
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36-4128138 |
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(State or other jurisdiction |
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(Commission File Number) |
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(I.R.S. Employer |
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410 Park Avenue, 14th Floor New York, NY |
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10022 |
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(Address of principal executive offices) |
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(Zip Code) |
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Registrant’s telephone number, including area code: (212) 417-8000 |
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Not Applicable |
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(Former name or former address, if changed since last report.) |
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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: |
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13a-4(c)) |
The information in this Current Report on Form 8-K, including Exhibit 99.1 attached hereto and the information therefrom incorporated in Item 2.02 by reference to such Exhibit 99.1, are being furnished, and shall not be deemed “filed,” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to liability under that section, nor shall they be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such a filing.
Item 2.02. Results of Operations and Financial Condition.
On December 30, 2016, National Holdings Corporation issued a press release announcing its financial results for its fiscal year ended September 30, 2016. A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
| Exhibit No. | Description |
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99.1 |
Press release of National Holdings Corporation issued December 30, 2016. |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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National Holdings Corporation | |
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Date: January 4, 2017 |
By: |
/s/ Robert B. Fagenson |
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Name: Robert B. Fagenson Title: Vice Chairman and Chief Executive Officer |
EXHIBIT INDEX
| Exhibit No. | Description |
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99.1 |
Press release of National Holdings Corporation issued December 30, 2016. |