nhld20180511_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 14, 2018

 

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, 25th 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 2.02. Results of Operations and Financial Condition.

 

On February 14, 2018, National Holdings Corporation issued a press release to provide a corporate update and to announce its financial results for the first quarter ended December 31, 2017. A copy of such press release is being furnished as Exhibit 99.1 to this report.

 

On May 15, 2018, National Holdings Corporation issued a press release to provide a corporate update and to announce its financial results for the second quarter ended March 31, 2018. A copy of such press release is being furnished as Exhibit 99.2 to this report.

 

Item 9.01. Financial Statements and Exhibits. 

 

(d) Exhibits.

 

The following exhibits are furnished herewith:

 

Exhibit
Number

 

 

 

Description

 
 

 

  

99.1

 

 

Press release issued by National Holdings Corporation, dated February 14, 2018.
     

99.2

  

Press release issued by National Holdings Corporation, dated May 15, 2018.

 

 
 

 

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: May 15, 2018   NATIONAL HOLDINGS CORPORATION
  (Registrant)
   
   
 

By:        /s/ Michael Mullen                                 

Name:   Michael Mullen
  Title:     Chief Executive Officer