NATIONAL HOLDINGS CORP Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2011-01-14: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; Date of first sale Yet to occur; Total offering amount $690,000.
- 2010-11-04: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; Date of first sale Yet to occur; Total offering amount $2,000,000.
- 2010-10-13: Federal exemption Rule 506; Types of securities offered Equity; OptionToAcquire; Date of first sale 2010-10-05; Total offering amount $5,000,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2011-01-14 | Rule 506 | Equity; OptionToAcquire | Yet to occur | $690,000 | $0 | $690,000 | 0 |
| 2010-11-04 | Rule 506 | Equity; OptionToAcquire | Yet to occur | $2,000,000 | $0 | $2,000,000 | 0 |
| 2010-10-13 | Rule 506 | Equity; OptionToAcquire | 2010-10-05 | $5,000,000 | $3,000,000 | $2,000,000 | 6 |