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 17, 2014

 

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.)
410 Park Avenue, 14th Floor, New York, NY				10271
(Address of Principal Executive Offices)				(Zip Code)
	(212) 417-8000
	(Registrant's Telephone Number, Including Area Code)
	Not Applicable
	(Former Name or Former Address, if Changed Since Last Report)

 

 

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))

 

  

Item 5.03     Amendments to Articles of Incorporation or By-laws; Change in Fiscal Year.

 

On December 17, 2014, the Board of Directors of National Holdings Corporation (the “Company”) approved amendments to Article V, Sections 1, 3 and 4 of the Company’s Amended and Restated By-laws (the “By-laws”) to permit the issuance and transfer of uncertificated shares of its stock. This amendment was adopted to allow the Company to participate in the Direct Registration System.

 

The Direct Registration System enables investors to establish, either through the Company’s transfer agent or through the investor’s broker-dealer, a book-entry position on the books of the Company and to electronically transfer their position through the Depository Trust Company. The system also enables investors to have securities registered in their name without having a physical certificate issued.

 

The description of the amendment to the By-laws contained herein is qualified in its entirety by the complete text of the amendment to the By-laws, which is attached hereto as Exhibit 3.1 and incorporated herein by reference.

 

Item 9.01     Financial Statements and Exhibits.

 

(d)     Exhibits:

 

3.1

Amendment to National Holdings Corporation Amended and Restated By-laws.

 

 

 

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.

 

 

	National Holdings Corporation
	(Registrant)
Date:     December 23, 2014	By:	/s/ Robert B. Fagenson
		Robert B. Fagenson
		Co-Executive Chairman

 

 

EXHIBIT INDEX

 

   

Exhibit No.		Description
3.1		Amendment to National Holdings Corporation Amended and Restated By-laws.