MULLEN MICHAEL A (CEO and Chairman of the Board) exercised options at NATIONAL HOLDINGS CORP
Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.
M · 1 exercise
Filed: 1/3/2020ACC: 0001437749-20-000183
DirectorOfficer· CEO and Chairman of the Board
Since Jan 2018
-18.20K
Net shares
Net seller
$48.4K
Total sold
0
Open market trades
0B · 0S
3
Total transactions
78.13K acquired · 96.33K disposed
Non-Derivative Transactions2
Common Stock
Direct
Shares
−18.20K
Price / share
$2.66
Trade value
$48.42K
% of position
7.9%
12/23/2019
230.21K→212.01K
Common Stock
Direct
Shares
+78.13K
Price / share
—
Trade value
—
% of position
36.9%
1/3/2020
212.01K→290.13K
Total
Net shares
+59.92K
Net value
-$48.42K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 12/23/2019 | F · Tax Withholding | −18.20K | $2.66 | $48.42K | 7.9% | 230.21K | 212.01K |
| Common Stock Direct | 1/3/2020 | M · Option Exercise | +78.13K | — | — | 36.9% | 212.01K | 290.13K |
| Total | +59.92K | -$48.42K | ||||||
Derivative Transactions1
Restricted Stock Units
Direct
Converts to
Common Stock
78.13K shares
Shares
−78.13K
Strike price
Held after
919.35K
Exercisable
—
1/3/2020
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Restricted Stock Units Direct | Common Stock78.13K shares | 1/3/2020 | M · Option Exercise | −78.13K | — | 919.35K |