Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NATIONAL HOLDINGS CORPNHLD · Entity 142239 | Director | September 12, 2016 | September 13, 2016 |
| XWELL, Inc.FH · Entity 1233 | Director | August 31, 2017 | September 05, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NATIONAL HOLDINGS CORP
Report date September 12, 2016 · Filed September 13, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.02 per shareSEC Table I · non-derivative | IndirectSee Footnote | 414,323 |
Reported balance
After 2016-09-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-09-12 · Other · Disposed 414,323 · Balance 414,323 F1: Shares of Common Stock owned directly by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe, as President of Iroquois Capital Management, LLC, the investment advisor of the Fund, may be deemed to beneficially own the shares of Common Stock owned directly by the Fund. Mr. Abbe disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein. |
| Common Stock, par value $0.02 per shareSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2016-09-12 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2016-09-12 · Other · Disposed 16,668 · Balance 0 F2: Shares of Common Stock held by certain trusts or accounts established for the benefit of Mr. Abbe's children or other relatives. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Common Stock owned directly by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe, as President of Iroquois Capital Management, LLC, the investment advisor of the Fund, may be deemed to beneficially own the shares of Common Stock owned directly by the Fund. Mr. Abbe disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein.
F2: Shares of Common Stock held by certain trusts or accounts established for the benefit of Mr. Abbe's children or other relatives.
XWELL, Inc.
Report date August 31, 2017 · Filed September 05, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 286,542 |
Reported balance
After 2017-08-31 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-08-31 · Purchase · Acquired 7,500 · Balance 286,542 F1: These securities are held by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe is president of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and, as such, may be deemed to be the beneficial owner of all shares of common stock held by the Fund. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe is president of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and, as such, may be deemed to be the beneficial owner of all shares of common stock held by the Fund. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 31, 2017 Filed Sep 5, 2017 13:15 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 7,500 | $1.25 | $9,410.25 |
DisclosureSEC source: 0001144204-17-046478 · v474549_4.xml · nonDerivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 286,542 F1 · ownership.nature: These securities are held by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe is president of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and, as such, may be deemed to be the beneficial owner of all shares of common stock held by the Fund. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| August 18, 2017 Filed Aug 22, 2017 12:55 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 3,100 | $1.21 | $3,736.12 |
DisclosureSEC source: 0001144204-17-044495 · v473736_form4.xml · nonDerivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 279,042 F1 · ownership.nature: These securities are held by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe is president of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and, as such, may be deemed to be the beneficial owner of all shares of common stock held by the Fund. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| August 11, 2017 Filed Aug 14, 2017 23:19 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 8,047 | $1.16 | $9,357.86 |
DisclosureSEC source: 0001144204-17-043311 · v473238_4.xml · nonDerivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 275,942 F1 · ownership.nature: These securities are held by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe is president of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and, as such, may be deemed to be the beneficial owner of all shares of common stock held by the Fund. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| May 19, 2017 Filed May 22, 2017 13:56 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 6,670 | $1.54 | $10,279.80 |
DisclosureSEC source: 0001144204-17-028758 · v467531_4.xml · nonDerivative · entry 2 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 267,895 F2 · ownership.nature: These securities are held by Iroquois Capital Investment Group ("ICIG"). Mr. Abbe is managing member of ICIG and has the authority and responsibility for the investments made on behalf of ICIG and, as such, may be deemed to be the beneficial owner of all shares of common stock held by ICIG. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| May 19, 2017 Filed May 22, 2017 13:56 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 33,000 | $1.54 | $50,859.60 |
DisclosureSEC source: 0001144204-17-028758 · v467531_4.xml · nonDerivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 261,225 F1 · ownership.nature: These securities are held by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe is president of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and, as such, may be deemed to be the beneficial owner of all shares of common stock held by the Fund. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| May 17, 2017 Filed May 19, 2017 14:01 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 15,500 | $1.54 | $23,823.50 |
DisclosureSEC source: 0001144204-17-028533 · v467432_form4.xml · nonDerivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 228,225 F1 · ownership.nature: 10,000 of the securities are held by Iroquois Master Fund Ltd. (the "Fund") and 5,500 of the securities are held by Iroquois Capital Investment Group ("ICIG"). Mr. Abbe is a managing member of ICIG and is president of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and ICIG and, as such, may be deemed to be the beneficial owner of all shares of common stock held by the Fund and by ICIG. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| January 17, 2017 Filed Jan 20, 2017 22:45 UTC | XWELL, Inc. FH · Entity 1233 | GrantStock Option · Derivative | 75,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001144204-17-003264 · v456888_4.xml · derivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2027-01-17 F1 · security: These securities were issued as part of the Issuer's annual equity compensation to non-employee directors. F1 · price: These securities were issued as part of the Issuer's annual equity compensation to non-employee directors. F2 · derivative.exercise_date: These options to purchase shares of common stock of the Issuer vest in equal quarterly installments over a one-year period, with one-fourth vesting on the date of grant and one-fourth vesting at the end of each fiscal quarter thereafter. Read SEC document |
| September 16, 2016 Filed Sep 19, 2016 12:45 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 21,600 | $2.64 | $56,952.72 |
DisclosureSEC source: 0001144204-16-124336 · v448977_form4.xml · nonDerivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 212,725 F1 · ownership.nature: These securities are held by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe is a member of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and as such may be deemed to be the beneficial owner of all shares of common stock held by the Fund. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 15, 2016 Filed Sep 16, 2016 12:45 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 8,300 | $2.45 | $20,307.61 |
DisclosureSEC source: 0001144204-16-124182 · v448919_4.xml · nonDerivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 191,125 F1 · ownership.nature: These securities are held by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe is a member of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and as such may be deemed to be the beneficial owner of all shares of common stock held by the Fund. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 14, 2016 Filed Sep 15, 2016 12:45 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 10,600 | $2.14 | $22,724.28 |
DisclosureSEC source: 0001144204-16-124015 · v448854_form4.xml · nonDerivative · entry 2 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 182,825 F1 · ownership.nature: These securities are held by Iroquois Capital Management L.L.C ("Iroquois"). Mr. Abbe is a member of Iroquois, who has the authority and responsibility for the investments made on its behalf and as such may be deemed to be the beneficial owner of all shares of common stock held by it. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 13, 2016 Filed Sep 15, 2016 12:45 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 13,441 | $2.13 | $28,644.12 |
DisclosureSEC source: 0001144204-16-124015 · v448854_form4.xml · nonDerivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 172,225 F1 · ownership.nature: These securities are held by Iroquois Capital Management L.L.C ("Iroquois"). Mr. Abbe is a member of Iroquois, who has the authority and responsibility for the investments made on its behalf and as such may be deemed to be the beneficial owner of all shares of common stock held by it. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 12, 2016 Filed Sep 13, 2016 16:32 UTC | NATIONAL HOLDINGS CORP NHLD · Entity 142239 | OtherCommon Stock, par value $0.02 per share | 16,668 | $3.25 | $54,171.00 |
DisclosureSEC source: 0001437749-16-038633 · rdgdoc.xml · nonDerivative · entry 2 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F2 · ownership.nature: Shares of Common Stock held by certain trusts or accounts established for the benefit of Mr. Abbe's children or other relatives. Read SEC document |
| September 12, 2016 Filed Sep 13, 2016 16:32 UTC | NATIONAL HOLDINGS CORP NHLD · Entity 142239 | OtherCommon Stock, par value $0.02 per share | 414,323 | $3.25 | $1,346,549.75 |
DisclosureSEC source: 0001437749-16-038633 · rdgdoc.xml · nonDerivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 414,323 F1 · ownership.nature: Shares of Common Stock owned directly by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe, as President of Iroquois Capital Management, LLC, the investment advisor of the Fund, may be deemed to beneficially own the shares of Common Stock owned directly by the Fund. Mr. Abbe disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 12:46 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 52,005 | $2.13 | $110,755.05 |
DisclosureSEC source: 0001144204-16-123813 · v448786_4.xml · nonDerivative · entry 2 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 158,784 F2 · ownership.nature: These securities are held by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe is a member of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and as such may be deemed to be the beneficial owner of all shares of common stock held by the Fund. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 12:46 UTC | XWELL, Inc. FH · Entity 1233 | PurchaseCommon Stock | 100,000 | $2.10 | $210,000.00 |
DisclosureSEC source: 0001144204-16-123813 · v448786_4.xml · nonDerivative · entry 1 Abbe Richard · CIK 0001524877 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 106,779 F1 · shares: These securities were purchased in a privately negotiated transaction entered into between the reporting person and an employee of the issuer who is an existing stockholder. F2 · ownership.nature: These securities are held by Iroquois Master Fund Ltd. (the "Fund"). Mr. Abbe is a member of Iroquois Capital Management L.L.C, who has the authority and responsibility for the investments made on behalf of the Fund and as such may be deemed to be the beneficial owner of all shares of common stock held by the Fund. Mr. Abbe disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.