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)
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Delaware |
001-12629 |
36-4128138 |
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(State or Other Jurisdiction |
(Commission |
(I.R.S. Employer |
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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.☐
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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:
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Glenn C. Worman has been appointed President, in addition to currently serving as Chief Financial Officer of National Holdings Corporation |
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John C. DeSena will assume the role of Chief Operating Officer of National Holdings Corporation |
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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.
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Item 9.01. |
Financial Statements and Exhibits. |
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(d) |
Exhibits |
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Exhibit No. |
Description |
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99.1 |
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.
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NATIONAL HOLDINGS CORPORATION |
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(Registrant) |
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Date: July 23, 2018 |
By: |
/s/ Michael Mullen |
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Name: |
Michael Mullen |
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Title: |
Chief Executive Officer |
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