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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Siebert Financial Corp.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| June 27, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): June 27, 2025 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| June 27, 2025 |
Exhibit 10.50 Execution Version Siebert Financial Corp. Common Stock ($0.01 par value per share) Sales Agreement June 27, 2025 Muriel Siebert & Co., LLC 300 Vesey St., Suite 501 New York, NY 10282 Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: Siebert Financial Corp., a New York corporation (the “Company”), confirms its agreement (this “Agr |
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| June 27, 2025 |
$50,000,000 Siebert Financial Corp. Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-287680 Prospectus Supplement (to Prospectus dated June 9, 2025) $50,000,000 Siebert Financial Corp. Common Stock We have entered into a sales agreement (the “Sales Agreement”) with Muriel Siebert & Co., LLC (“MSCO”) and Ladenburg Thalmann & Co. Inc. (“Ladenburg”, and together with MSCO, the “Agents”) relating to the sale of shares of our common |
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| June 5, 2025 |
June 5, 2025 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 RE: Siebert Financial Corp. Registration Statement on Form S-3 Filed May 30, 2025 File No. 333-287680 Acceleration Request Requested Date: Monday, June 9, 2025 Requested Time: 4:30 p.m. Eastern Time Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act |
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| May 30, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Siebert Financial Corp. |
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| May 30, 2025 |
As filed with the Securities and Exchange Commission on May 30, 2025 As filed with the Securities and Exchange Commission on May 30, 2025 Registration Statement No. |
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| May 30, 2025 |
Exhibit 4.3 SIEBERT FINANCIAL CORP. Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of , 20 Debt Securities Table Of Contents Page article 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 article 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee’s Certificate 8 Section |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| April 10, 2025 |
Financial Statements and Exhibits, Other Events 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): April 10, 2025 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fil |
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| April 1, 2025 |
Exhibit 19.1 Siebert Financial Corp. Insider Trading Policy and Guidelines Purpose This Insider Trading Policy (the “Policy”) provides guidelines with respect to transactions in the securities of Siebert Financial Corp. (the “Company”) and the handling of confidential information about the Company and the companies with which the Company does business. The Company’s Board of Directors (“Board of D |
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| April 1, 2025 |
Subsidiaries of the registrant Exhibit 21.1 SUBSIDIARIES Company Jurisdiction % Owned* 1. Muriel Siebert & Co., Inc. Delaware 100.0% 2. Siebert AdvisorNXT, Inc. New York 100.0% 3. Park Wilshire Companies, Inc. Texas 100.0% 4. Siebert Technologies, LLC Nevada 100.0% 5. RISE Financial Services, LLC Delaware 68.0% 6. StockCross Digital Solutions, Ltd.** Bermuda 100.0% 7. Gebbia Entertainment, LLC Florida 100.0% * Ownership percent |
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| April 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition |
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| April 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 |
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| March 31, 2025 |
Subsidiaries of the registrant Exhibit 21.1 SUBSIDIARIES Company Jurisdiction % Owned* 1. Muriel Siebert & Co., Inc. Delaware 100.0% 2. Siebert AdvisorNXT, Inc. New York 100.0% 3. Park Wilshire Companies, Inc. Texas 100.0% 4. Siebert Technologies, LLC Nevada 100.0% 5. RISE Financial Services, LLC Delaware 68.0% 6. StockCross Digital Solutions, Ltd.** Bermuda 100.0% 7. Gebbia Entertainment, LLC Florida 100.0% * Ownership percent |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Co |
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| March 31, 2025 |
Exhibit 19.1 Siebert Financial Corp. Insider Trading Policy and Guidelines Purpose This Insider Trading Policy (the “Policy”) provides guidelines with respect to transactions in the securities of Siebert Financial Corp. (the “Company”) and the handling of confidential information about the Company and the companies with which the Company does business. The Company’s Board of Directors (“Board of D |
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| December 19, 2024 |
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 18, 2024 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission |
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| December 19, 2024 |
Exhibit 10.47 Credit Agreement Dated as of November 22, 2024 between Muriel Siebert & Co., LLC and BMO Bank N.A. Table of Contents Section Description Page Section 1. The Credits. Section 1.1. Revolving Credit 1 Section 1.2. Revolving Credit Loans 1 Section 1.3. Manner and Disbursement of Loans. 2 Section 2. Interest and Change In Circumstances. 2 Section 2.1. Interest Rate 2 Section 2.2. Computat |
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| December 19, 2024 |
Exhibit 10.48 Revolving Note Chicago, Illinois $20,000,000 November 22, 2024 On the Termination Date, for value received, the undersigned, Muriel Siebert & Co., LLC, a Delaware limited liability corporation (the “Borrower”), hereby promises to pay to the order of BMO Bank N.A. (the “Bank”) at its office at 320 South Canal Street, Chicago, Illinois, the principal sum of (i) Twenty Million and no/10 |
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| December 19, 2024 |
Exhibit 10.49 Guaranty Dated: November 22, 2024 For Value Received and in consideration of advances made or to be made, or credit given or to be given, or other financial accommodation afforded or to be afforded to Muriel Siebert & Co., LLC, a Delaware limited liability corporation (hereinafter designated as the “Borrower”), by BMO Bank N.A. and/or any affiliates of the Bank (hereinafter collectiv |
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| November 12, 2024 |
Exhibit 10.45 REVOLVER NOTE $20,000,000 July 29, 2024 FOR VALUE RECEIVED, the undersigned, SIEBERT FINANCIAL CORP., a New York corporation (“Borrower”), HEREBY PROMISES TO PAY to the order of EAST WEST BANK, a California banking corporation (“Bank”) at its office located at 9300 Flair Drive, 6th Floor, El Monte, CA 91731, Attn: Loan Servicing Department, or at such other place as Bank may from tim |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fromto Commission file number 0-5703 Siebert Financial Corp. |
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| November 12, 2024 |
Exhibit 10.46 Execution Version CONTINUING GUARANTY This CONTINUING GUARANTY (as amended, restated, supplemented or otherwise modified from time to time, this “Guaranty”), dated as of July 29, 2024, is executed and delivered by JOHN J. GEBBIA, individually and as a co-trustee of the JOHN AND GLORIA LIVING TRUST U/D/T DECEMBER 8, 1994, and GLORIA GEBBIA, individually and as a co-trustee of the JOHN |
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| November 12, 2024 |
Exhibit 10.44 Execution Version LOAN AND SECURITY AGREEMENT by and between SIEBERT FINANCIAL CORP., as Borrower and EAST WEST BANK, as Bank Dated as of July 29, 2024 TABLE OF CONTENTS Page 1. DEFINITIONS AND CONSTRUCTION 1 1.1 Definitions 1 1.2 Accounting Terms 1 1.3 Other Definitional Terms; Rules of Interpretation 1 2. LOANS AND TERMS OF PAYMENT 1 2.1 Credit Extension 1 2.2 Payments 3 2.3 Credit |
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| November 5, 2024 |
Submission of Matters to a Vote of Security Holders 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): November 1, 2024 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission F |
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| September 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of |
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| August 20, 2024 |
Exhibit 10.45 REVOLVER NOTE $20,000,000 July 29, 2024 FOR VALUE RECEIVED, the undersigned, SIEBERT FINANCIAL CORP., a New York corporation (“Borrower”), HEREBY PROMISES TO PAY to the order of EAST WEST BANK, a California banking corporation (“Bank”) at its office located at 9300 Flair Drive, 6th Floor, El Monte, CA 91731, Attn: Loan Servicing Department, or at such other place as Bank may from tim |
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| August 20, 2024 |
Exhibit 10.46 Execution Version CONTINUING GUARANTY This CONTINUING GUARANTY (as amended, restated, supplemented or otherwise modified from time to time, this “Guaranty”), dated as of July 29, 2024, is executed and delivered by JOHN J. GEBBIA, individually and as a co-trustee of the JOHN AND GLORIA LIVING TRUST U/D/T DECEMBER 8, 1994, and GLORIA GEBBIA, individually and as a co-trustee of the JOHN |
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| August 20, 2024 |
Exhibit 10.44 Execution Version LOAN AND SECURITY AGREEMENT by and between SIEBERT FINANCIAL CORP., as Borrower and EAST WEST BANK, as Bank Dated as of July 29, 2024 TABLE OF CONTENTS Page 1. DEFINITIONS AND CONSTRUCTION 1 1.1 Definitions 1 1.2 Accounting Terms 1 1.3 Other Definitional Terms; Rules of Interpretation 1 2. LOANS AND TERMS OF PAYMENT. 2 2.1 Credit Extension. 2 2.2 Payments 3 2.3 Cred |
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| August 20, 2024 |
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): August 15, 2024 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| July 26, 2024 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant 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 24, 2024 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| July 16, 2024 |
Siebert Financial Corp. 8,075,607 Shares of Common Stock Filed Pursuant to Rule 424(b)(4) Registration No. 333-276585 Prospectus Siebert Financial Corp. 8,075,607 Shares of Common Stock This prospectus relates to the offer and resale from time to time by the selling shareholder identified in this prospectus (the “Selling Shareholder”) of up to 8,075,607 shares of our common stock, par value $0.01 per share. The shares of our common stock referenced in t |
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| July 5, 2024 |
As filed with the Securities and Exchange Commission on July 5, 2024 As filed with the Securities and Exchange Commission on July 5, 2024 Registration No. |
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| May 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| May 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB APPROVAL OMB Number: Expires: Estimated average burden hours per response ... SEC FILE NUMBER (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on |
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| May 16, 2024 |
Exhibit 16.1 May 16, 2024 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Dear Ladies and Gentlemen: We are the independent registered public accounting firm for Siebert Financial Corp. (the “Company”). We have read the Company’s disclosure set forth in Item 4.01 “Changes in Registrant’s Certifying Accountant” of the Company’s Current Report on Form 8-K dated May 16, 2024 |
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| May 16, 2024 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant 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): May 13, 2024 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| May 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Co |
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| May 10, 2024 |
Exhibit 97 SIEBERT FINANCIAL CORP. CLAWBACK POLICY 1. Introduction The Board of Directors (the “Board”) of Siebert Financial Corp. (the “Company ”) believes that it is in the best interests of the Company and its stockholders to adopt this Clawback Policy (this “Policy”), which provides for the recoupment of certain executive compensation in the event of an accounting restatement resulting from ma |
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| May 10, 2024 |
Subsidiaries of the registrant Exhibit 21.1 SUBSIDIARIES Company Jurisdiction % Owned* 1. Muriel Siebert & Co., Inc. Delaware 100.0% 2. Siebert AdvisorNXT, Inc. New York 100.0% 3. Park Wilshire Companies, Inc. Texas 100.0% 4. Siebert Technologies, LLC Nevada 100.0% 5. RISE Financial Services, LLC Delaware 68.0% 6. StockCross Digital Solutions, Ltd.** Bermuda 100.0% * Ownership percentage as of the date of this Report ** Inactiv |
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| April 24, 2024 |
Exhibit 99.1 Siebert Receives Notification of Deficiency from Nasdaq Related to Delayed Filing of Annual Report on Form 10-K NEW YORK, NY – April 24, 2024 – Siebert Financial Corp. (NASDAQ: SIEB) (“Siebert” or the “Company”), a diversified provider of financial services, announced that it has received a notice (the "Notice") from the Nasdaq Stock Market ("Nasdaq") on April 18, 2024 notifying the C |
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| April 24, 2024 |
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): April 18, 2024 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fil |
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| April 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25/A (Amendment No. 1) NOTIFICATION OF LATE FILING OMB APPROVAL OMB Number: Expires: Estimated average burden hours per response ... SEC FILE NUMBER (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K |
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| April 10, 2024 |
Submission of Matters to a Vote of Security Holders 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): April 5, 2024 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| March 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL FORM 12b-25 OMB Number: Expires: NOTIFICATION OF LATE FILING Estimated average burden hours per response ... SEC FILE NUMBER (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report |
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| February 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| February 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy |
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| January 31, 2024 |
Siebert Financial Corp. 8,075,607 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-276585 Prospectus Siebert Financial Corp. 8,075,607 Shares of Common Stock This prospectus relates to the offer and resale from time to time by the selling shareholder identified in this prospectus (the “Selling Shareholder”) of up to 8,075,607 shares of our common stock, par value $0.01 per share. The shares of our common stock referenced in t |
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| January 25, 2024 |
Siebert Financial Corp. 653 Collins Avenue Miami Beach, FL 33139 Siebert Financial Corp. 653 Collins Avenue Miami Beach, FL 33139 January 24, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 RE: Siebert Financial Corp. Registration Statement on Form S-3 Filed January 18, 2024 File No. 333-276585 Acceleration Request Requested Date: Friday, January 26, 2024 Requested Time: 5:00 p.m. |
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| January 24, 2024 |
Exhibit 10.43 PURCHASE AGREEMENT THIS AGREEMENT (“Agreement”) is made as of this 18th day of January, 2024 (“Effective Date”) by and among, J2 Financial Technology, Inc., d/b/a “Guild”, a Delaware corporation (the “Seller”), Siebert Technologies, LLC, a Nevada limited liability company (the “Purchaser”). W I T N E S S E T H WHEREAS, the Seller is the sole owner of the Transferred Assets described |
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| January 24, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): January 18, 2024 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission F |
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| January 23, 2024 |
SC 13D/A 1 ea192052-13da24gebbiasieb.htm AMENDMENT NO. 24 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 24) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Director Siebert Finan |
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| January 18, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Siebert Financial Corp. |
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| January 18, 2024 |
As filed with the Securities and Exchange Commission on January 18, 2024 As filed with the Securities and Exchange Commission on January 18, 2024 Registration No. |
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| January 18, 2024 |
As filed with the Securities and Exchange Commission on January 18, 2024 As filed with the Securities and Exchange Commission on January 18, 2024 Registration No. |
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| January 12, 2024 |
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): January 5, 2024 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fi |
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| December 20, 2023 |
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 19, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission |
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| December 20, 2023 |
SIEBERT FINANCiAL AND Kakao pay MUTUALLY AGREE TO TERMINATE STOCK PURCHASE AGREEMENT Exhibit 99.1 Final Version SIEBERT FINANCiAL AND Kakao pay MUTUALLY AGREE TO TERMINATE STOCK PURCHASE AGREEMENT MIAMI, FLORIDA and SEOUL, SOUTH KOREA, December 19, 2023 – Siebert Financial Corp. (NASDAQ: SIEB) (“Siebert”) and Kakaopay Corporation (KOSPI: 377300) (“Kakao Pay”) today announced that they have entered into a mutual agreement to terminate the previously announced Second Tranche Stock P |
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| December 20, 2023 |
Exhibit 10.41 Execution Version TERMINATION AND SETTLEMENT AGREEMENT This TERMINATION AND SETTLEMENT AGREEMENT (this “Agreement”), dated as of December 19, 2023 (the “Effective Date”), is entered into by and among (i) Siebert Financial Corp., a New York corporation (“Siebert” or the “Company”), (ii) Kakaopay Corporation, a company established under the laws of the Republic of Korea (“Kakaopay”), ( |
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| December 20, 2023 |
Exhibit 10.42 Execution Version AMENDED AND RESTATED STOCKHOLDERS’ AGREEMENT THIS AMENDED AND RESTATED STOCKHOLDERS’ AGREEMENT (this “Agreement”) is entered as of December 19, 2023, by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the laws of the Republic of Korea (“Kakaopay”), the stockholders of the Company listed on |
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| December 18, 2023 |
SC 13D/A 1 ea190190-13da23gebbiasieb.htm AMENDMENT NO. 23 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 23) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Director Siebert Finan |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| November 13, 2023 |
Siebert Reports Third Quarter 2023 Financial Results Exhibit 99.1 Siebert Reports Third Quarter 2023 Financial Results NEW YORK, NY – November 13, 2023 – Siebert Financial Corp. (NASDAQ: SIEB) (“Siebert”), a diversified provider of financial services, today reported financial results for the third quarter ended September 30, 2023. Third Quarter 2023 Financial Highlights ● Revenue of $18.1 million compared to $14.3 million in the third quarter of 202 |
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| November 13, 2023 |
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): November 11, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission |
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| October 20, 2023 |
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): October 20, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission F |
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| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| July 14, 2023 |
Exhibit 10.40 Execution Copy SHARE REDEMPTION AGREEMENT This Share Redemption Agreement (this “Agreement”) is made and entered into as of July 10, 2023, (the “Effective Date”) by and among Cynthia DiBartolo (“DiBartolo”), Siebert Financial Corp., a New York corporation (the “Company”) and Tigress Holdings LLC, a Delaware limited liability company (“Tigress”). A. The Company owns limited liability |
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| July 14, 2023 |
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 10, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| July 14, 2023 |
Exhibit 10.40 Execution Copy SHARE REDEMPTION AGREEMENT This Share Redemption Agreement (this “Agreement”) is made and entered into as of July 10, 2023, (the “Effective Date”) by and among Cynthia DiBartolo (“DiBartolo”), Siebert Financial Corp., a New York corporation (the “Company”) and Tigress Holdings LLC, a Delaware limited liability company (“Tigress”). A. The Company owns limited liability |
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| July 14, 2023 |
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 10, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| June 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 22) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176109 (CUSIP Number) Gloria E. Gebbia Director Siebert Financial Corp. 535 Fifth Avenue, 4th Floor, New York, NY, 10017 (212) 644-2400 ( |
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| June 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 21) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Director Siebert Financial Corp. 535 Fifth Avenue, 4th Floor, New York, NY, 10017 (212) 644-2400 |
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| May 30, 2023 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) Exhibit 13 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. |
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| May 30, 2023 |
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): May 24, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| May 30, 2023 |
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): May 24, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| May 30, 2023 |
SIEB / Siebert Financial Corp. / Kakaopay Corp - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Siebert Financial Corp. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 826176109 (CUSIP Number) Dongyoup Oh c/o Kakaopay Corporation 15F, Tower B, 166 Pangyoyeok-ro, Bundang-gu, Seongnam-si, Gyeonggi-do, Republic o |
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| May 24, 2023 |
Financial Statements and Exhibits, Other Events 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): May 18, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| May 24, 2023 |
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): May 18, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| May 3, 2023 |
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): April 27, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.37 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and Kimberly Gebbia (“Gebbia”) (each, a “Party” an |
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| May 3, 2023 |
Exhibit 10.38 FINAL FORM STOCKHOLDERS’ AGREEMENT THIS STOCKHOLDERS’ AGREEMENT (this “Agreement”) is entered as of [●], 2023, by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of the Republic of Korea (“Kakaopay”), the stockholders of the Company listed on Schedule I hereto (the “Gebbia Stockholders”), and [●] (t |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.35 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and John M. Gebbia (“Gebbia”) (each, a “Party” and |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.32 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and Gloria Gebbia (“Gebbia”) (each, a “Party” and, |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.32 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and Gloria Gebbia (“Gebbia”) (each, a “Party” and, |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.37 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and Kimberly Gebbia (“Gebbia”) (each, a “Party” an |
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| May 3, 2023 |
First Tranche Stock Purchase Agreement Exhibit 10.28 Execution Version FIRST TRANCHE STOCK PURCHASE AGREEMENT Dated as of April 27, 2023 By and Between SIEBERT FINANCIAL CORP. and Kakaopay Corporation FIRST TRANCHE STOCK PURCHASE AGREEMENT THIS FIRST TRANCHE STOCK PURCHASE AGREEMENT (this “Agreement”; certain defined terms used in this Agreement are set forth in Section 8.1 hereto) is made as of the 27th day of April, 2023 (the “Effect |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.36 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and David Gebbia (“Gebbia”) (each, a “Party” and, |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.35 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and John M. Gebbia (“Gebbia”) (each, a “Party” and |
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| May 3, 2023 |
Foreign Broker-Dealer Fee Sharing Agreement Exhibit 10.30 Execution Version Foreign Broker-Dealer Fee Sharing Agreement This Foreign Broker-Dealer Fee Sharing Agreement (this “Agreement”) is made as of the April 27, 2023 by Kakaopay Securities Corp., a corporation organized and existing under the laws of South Korea (“KPS”), with its principal place of business located at 8F B-dong 166 Pangyoyeok-ro Bundang-gu Seongnam-Si, 13529 South Korea |
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| May 3, 2023 |
Exhibit 10.38 FINAL FORM STOCKHOLDERS’ AGREEMENT THIS STOCKHOLDERS’ AGREEMENT (this “Agreement”) is entered as of [●], 2023, by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of the Republic of Korea (“Kakaopay”), the stockholders of the Company listed on Schedule I hereto (the “Gebbia Stockholders”), and [●] (t |
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| May 3, 2023 |
Foreign Broker-Dealer Fee Sharing Agreement Exhibit 10.30 Execution Version Foreign Broker-Dealer Fee Sharing Agreement This Foreign Broker-Dealer Fee Sharing Agreement (this “Agreement”) is made as of the April 27, 2023 by Kakaopay Securities Corp., a corporation organized and existing under the laws of South Korea (“KPS”), with its principal place of business located at 8F B-dong 166 Pangyoyeok-ro Bundang-gu Seongnam-Si, 13529 South Korea |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.31 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and John J. Gebbia (“Gebbia”) (each, a “Party” and |
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| May 3, 2023 |
Exhibit 10.39 FINAL FORM REGISTRATION RIGHTS AND LOCK-UP AGREEMENT THIS REGISTRATION RIGHTS AND LOCK-UP AGREEMENT (this “Agreement”), dated as of [●], 2023, is made and entered into by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the laws of the Republic of Korea (the “Purchaser”), and the undersigned parties listed un |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.33 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and John and Gloria Gebbia Living Trust (“Gebbia”) |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.34 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and Richard Gebbia (“Gebbia”) (each, a “Party” and |
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| May 3, 2023 |
Second Tranche Stock Purchase Agreement Exhibit 10.29 Execution Version SECOND TRANCHE STOCK PURCHASE AGREEMENT Dated as of April 27, 2023 By and Between SIEBERT FINANCIAL CORP. and Kakaopay Corporation SECOND TRANCHE STOCK PURCHASE AGREEMENT THIS SECOND TRANCHE STOCK PURCHASE AGREEMENT (this “Agreement”; certain defined terms used in this Agreement are set forth in Section 8.1 hereto) is made as of the 27th day of April, 2023 (the “Eff |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.31 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and John J. Gebbia (“Gebbia”) (each, a “Party” and |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.36 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and David Gebbia (“Gebbia”) (each, a “Party” and, |
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| May 3, 2023 |
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): April 27, 2023 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 3, 2023 |
First Tranche Stock Purchase Agreement Exhibit 10.28 Execution Version FIRST TRANCHE STOCK PURCHASE AGREEMENT Dated as of April 27, 2023 By and Between SIEBERT FINANCIAL CORP. and Kakaopay Corporation FIRST TRANCHE STOCK PURCHASE AGREEMENT THIS FIRST TRANCHE STOCK PURCHASE AGREEMENT (this “Agreement”; certain defined terms used in this Agreement are set forth in Section 8.1 hereto) is made as of the 27th day of April, 2023 (the “Effect |
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| May 3, 2023 |
Second Tranche Stock Purchase Agreement Exhibit 10.29 Execution Version SECOND TRANCHE STOCK PURCHASE AGREEMENT Dated as of April 27, 2023 By and Between SIEBERT FINANCIAL CORP. and Kakaopay Corporation SECOND TRANCHE STOCK PURCHASE AGREEMENT THIS SECOND TRANCHE STOCK PURCHASE AGREEMENT (this “Agreement”; certain defined terms used in this Agreement are set forth in Section 8.1 hereto) is made as of the 27th day of April, 2023 (the “Eff |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.34 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and Richard Gebbia (“Gebbia”) (each, a “Party” and |
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| May 3, 2023 |
Registration Rights and Lock-Up Agreement Exhibit 10.39 FINAL FORM REGISTRATION RIGHTS AND LOCK-UP AGREEMENT THIS REGISTRATION RIGHTS AND LOCK-UP AGREEMENT (this “Agreement”), dated as of [●], 2023, is made and entered into by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the laws of the Republic of Korea (the “Purchaser”), and the undersigned parties listed un |
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| May 3, 2023 |
Support and Restrictive Covenant Agreement Exhibit 10.33 Execution Version Support and Restrictive Covenant Agreement Support and Restrictive Covenant Agreement (this “Agreement”), dated as of April 27, 2023 (the “Effective Date”), by and among Siebert Financial Corp., a New York corporation (the “Company”), Kakaopay Corporation, a company established under the Laws of Korea (“Purchaser”), and John and Gloria Gebbia Living Trust (“Gebbia”) |
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| April 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| April 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 20) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Director Siebert Financial Corp. 535 Fifth Avenue, 4th Floor, New York, NY, 10017 (212) 644-2400 |
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| March 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Co |
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| March 29, 2023 |
Subsidiaries of the registrant*** Exhibit 21.1 SUBSIDIARIES Company Jurisdiction % Owned* 1. Muriel Siebert & Co., Inc. Delaware 100.0% 2. Siebert AdvisorNXT, Inc. New York 100.0% 3. Park Wilshire Companies, Inc. Texas 100.0% 4. Siebert Technologies, LLC Nevada 100.0% 5. RISE Financial Services, LLC Delaware 68.0% 6. StockCross Digital Solutions, Ltd.** Bermuda 100.0% *Ownership percentage as of the date of this Report **Inactive |
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| December 29, 2022 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Siebert Financial Corp. |
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| December 29, 2022 |
As filed with the Securities and Exchange Commission on December 29, 2022 As filed with the Securities and Exchange Commission on December 29, 2022 Registration No. |
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| December 21, 2022 |
SIEB / Siebert Financial Corp. / SIEBERT FINANCIAL CORP Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 19) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Director Siebert Financial Corp. 535 Fifth Avenue, 4th Floor, New York, NY, 10017 (212) 644-2400 |
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| December 6, 2022 |
Submission of Matters to a Vote of Security Holders 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): November 30, 2022 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number ??0-5703 Siebert Financial Corp. |
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| November 7, 2022 |
SIEB / Siebert Financial Corp. / McDonald Andrew Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 Siebert Financial Corp. (Name of Issuer) Common Stock, par value $.01 (Title of Class of Securities) 826176 10 9 (CUSIP Number) Andrew McDonald c/o Muriel Siebert & Co., Inc. 9378 Wilshire Blvd. Beverly Hills, CA 90212 800-225-6196 (Name, Address and Telephone Number of |
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| October 21, 2022 |
Exhibit 10.27 Execution Copy TERMINATION AGREEMENT by and among HEDGE CONNECTION, INC., LISA VIONI, RISE FINANCIAL SERVICES, LLC, AND SIEBERT FINANCIAL CORP. October 18, 2022 This TERMINATION AGREEMENT, dated as of October 18, 2022 (this ?Agreement?), is by and among Hedge Connection Inc., a corporation organized under the laws of Florida (?Hedge Connection?), Lisa Vioni (?Vioni?), RISE Financial |
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| October 21, 2022 |
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): October 18, 2022 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission F |
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| October 21, 2022 |
Exhibit 10.26 Execution Copy REORGANIZATION AGREEMENT by and among TIGRESS HOLDINGS, LLC, RISE FINANCIAL SERVICES, LLC, AND SIEBERT FINANCIAL CORP. October 18, 2022 This REORGANIZATION AGREEMENT, dated as of October 18, 2022 (this ?Agreement?), is by and among Tigress Holdings, LLC, a limited liability company organized under the laws of Delaware (?Tigress Holdings?), RISE Financial Services, LLC, |
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| October 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| October 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A ? Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 ? ? Filed by the Registrant ? ? ? ? ? Filed by a Party other than the Registrant ? ? ?? Check the appropriate box: ? ? ?? ? ? Preliminary Proxy Statement ? ? ?? ? ? Confidential, For Use of the Commission Only (as permitted by Rule |
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| September 30, 2022 |
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): September 26, 2022 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission |
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| August 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number ??0-5703 Siebert Financial Corp. |
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| May 27, 2022 |
$9,600,000 Siebert Financial Corp. Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-262895 Prospectus Supplement (to Prospectus dated March 2, 2022) $9,600,000 Siebert Financial Corp. Common Stock We have entered into a Capital on Demand? Sales Agreement, or sales agreement, with JonesTrading Institutional Services LLC, or JonesTrading, relating to the sale of shares of our common stock offered by this prospectus supplement an |
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| May 27, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): May 27, 2022 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| May 27, 2022 |
Exhibit 10.25 Siebert Financial Corp. Common Stock ($0.01 par value per share) Capital on Demand? Sales Agreement May 27, 2022 JonesTrading Institutional Services LLC 757 Third Avenue, 23rd Floor New York, NY 10017 Ladies and Gentlemen: Siebert Financial Corp., a New York corporation (the ?Company?), confirms its agreement (this ?Agreement?) with JonesTrading Institutional Services LLC (the ?Agent |
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| May 25, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 23, 2022 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| May 25, 2022 |
Exhibit 99.1 Siebert Reports First Quarter 2022 Financial Results Expansion into Correspondent Clearing Services and Hire of Key FinTech Leader NEW YORK, NY ? May 23, 2022 ? Siebert Financial Corp. (NASDAQ: SIEB) (?Siebert?), a mission-driven provider of financial services, today reported financial results for the first quarter ended March 31, 2022. Recent Business Highlights ? Approval of Corresp |
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| May 23, 2022 |
Debt Exchange Agreement between Siebert Financial Corp. and Gloria E. Gebbia, dated March 31, 2022. Exhibit 10.24 DEBT EXCHANGE AGREEMENT This Debt Exchange Agreement (the ?Agreement?) is entered into effective as of as of March 31, 2022 by and between Gloria E. Gebbia (?Investor?) and Siebert Financial Corp., a New York corporation (the ?Company?), with reference to the following facts: WHEREAS, Investor has loaned certain funds to the Company as reflected in various notes payable to Gloria E. |
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| May 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number ??0-5703 Siebert Financial Corp. |
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| May 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A (Amendment No. 1) (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB APPROVAL OMB Number: Expires: Estimated average burden hours per response ... SEC FILE NUMBER (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ??? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: March 31, 2022 ? Transition Report on Form 10-K ? Transition Report on |
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| April 6, 2022 |
Exhibit 10.24 DEBT EXCHANGE AGREEMENT This Debt Exchange Agreement (the ?Agreement?) is entered into effective as of as of March 31, 2022 by and between Gloria E. Gebbia (?Investor?) and Siebert Financial Corp., a New York corporation (the ?Company?), with reference to the following facts: WHEREAS, Investor has loaned certain funds to the Company as reflected in various notes payable to Gloria E. |
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| April 6, 2022 |
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): March 31, 2022 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fil |
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| April 4, 2022 |
Siebert Reports Fourth Quarter and Full Year 2021 Financial Results Exhibit 99.1 Siebert Reports Fourth Quarter and Full Year 2021 Financial Results ? Revenue Growth of 23% for Full Year 2021 ? Operating Income Growth of 111% for Full Year 2021 ? Stockholder?s Equity Growth of 30% for Full Year 2021 ? MSCO Net Capital Growth of 32% for Full Year 2021 ? Strategic Investments in Tigress and Hedge Connection Extend Siebert?s Commitment to Empowering Clients? Success |
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| April 4, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): March 30, 2022 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fil |
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| March 30, 2022 |
Subsidiaries of the registrant*** Exhibit 21.1 SUBSIDIARIES Company Jurisdiction % Owned* 1. Muriel Siebert & Co., Inc. Delaware 100.0% 2. Siebert AdvisorNXT, Inc. New York 100.0% 3. Park Wilshire Companies, Inc. Texas 100.0% 4. Siebert Technologies, LLC Nevada 100.0% 5. RISE Financial Services, LLC** Delaware 67.8% 6. StockCross Digital Solutions, Ltd.*** Bermuda 100.0% * As of the date of this Report ** Formerly known as WPS Pri |
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| March 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Co |
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| March 30, 2022 |
Exhibit 4.0 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Description of Common Stock General The following description of our capital stock and provisions of our certificate of incorporation, as amended, and by-laws is a summary only and not a complete description. Our authorized capital stock consists of 100,000,000 shares of |
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| February 28, 2022 |
February 28, 2022 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 RE: Siebert Financial Corp. Registration Statement on Form S-3 Filed February 18, 2022 File No. 333-262895 Acceleration Request Requested Date: Wednesday, March 2, 2022 Requested Time: 5:00 p.m. Eastern Time Ladies and Gentlemen: In accordance with Rule 461 under the |
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| February 18, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Siebert Financial Corp. |
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| February 18, 2022 |
As filed with the Securities and Exchange Commission on February 18, 2022 As filed with the Securities and Exchange Commission on February 18, 2022 Registration Statement No. |
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| January 27, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 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): January 21, 2022 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission F |
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| January 27, 2022 |
Agreement between Siebert Financial Corp. and Hedge Connection, Inc., dated January 21, 2022. Exhibit 10.23 EXECUTION COPY PURCHASE AGREEMENT by and among HEDGE CONNECTION INC., RISE FINANCIAL SERVICES, LLC AND LISA VIONI January 21, 2022 EXECUTION COPY This PURCHASE AGREEMENT, dated as of January 21, 2022 (this ?Agreement?), is by and among Hedge Connection Inc. organized under the laws of Florida (the ?Company?), RISE Financial Services, LLC, a limited liability company organized under t |
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| January 27, 2022 |
Exhibit 99.1 RISE Financial Services, LLC, a Subsidiary of Siebert, Purchases Minority Stake in Hedge Connection Inc., A Woman-Owned and Patented FinTech Company Providing Capital Introduction Solutions ? RISE Financial Services, LLC, to offer the only woman-owned and patented FinTech platform providing virtual capital introductions for hedge funds ? Lisa Vioni, co-founder of Hedge Connection, app |
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| January 13, 2022 |
AMENDED AND RESTATED JOINT FILING AND GROUP AGREEMENT Exhibit 99.1 AMENDED AND RESTATED JOINT FILING AND GROUP AGREEMENT This Amended and Restated Joint Filing and Group Agreement (this ?Agreement?) is dated as of January 10, 2022, by and among Gloria Gebbia, Richard Gebbia, John M. Gebbia, David Gebbia, and Kimberly Gebbia, (each a ?Party? to this Agreement, and collectively, the ?Parties? or the ?Group?). RECITALS WHEREAS, pursuant to a Joint Filin |
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| January 13, 2022 |
SIEB / Siebert Financial Corp. / SIEBERT FINANCIAL CORP - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 18) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Director Siebert Financial Corp. 535 Fifth Avenue, 4th Floor, New York, NY, 10017 (212) 644-2400 |
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| January 5, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 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 30, 2021 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission |
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| January 5, 2022 |
Exhibit 10.21 THIS NOTE HAS BEEN ACQUIRED FOR INVESTMENT PURPOSES ONLY AND MAY NOT BE TRANSFERRED UNTIL (i) A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "ACT") SHALL HAVE BECOME EFFECTIVE WITH RESPECT THERETO OR (ii) RECEIPT BY THE COMPANY OF AN OPINION OF COUNSEL REASONABLY SATISFACTORY TO THE COMPANY TO THE EFFECT THAT REGISTRATION UNDER THE ACT IS NOT REQUIRED IN C |
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| January 5, 2022 |
Exhibit 10.20 |
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| January 5, 2022 |
Siebert Purchases Office Building in Miami to Expand Key Operations Exhibit 99.1 Siebert Purchases Office Building in Miami to Expand Key Operations Siebert Financial Corp. (NASDAQ: SIEB) (?Siebert?), a provider of financial services, today announced that it has completed the purchase of an office building located at 653 Collins Avenue in Miami Beach, Florida. The purchase reflects Siebert?s ongoing commitment to expand in the Greater Miami area and the location w |
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| January 5, 2022 |
Exhibit 10.22 |
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| November 19, 2021 |
SIEB / Siebert Financial Corp. / McDonald Andrew - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 Siebert Financial Corp. (Name of Issuer) Common Stock, par value $.01 (Title of Class of Securities) 826176 10 9 (CUSIP Number) Andrew McDonald c/o Muriel Siebert & Co., Inc. Suite 300 9378 Wilshire Blvd. Beverly Hills, CA 90212 800-225-6196 (Name, Address and Telephone |
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| November 17, 2021 |
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): November 16, 2021 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission |
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| November 17, 2021 |
Agreement between Siebert Financial Corp. and Tigress Holdings, LLC, dated November 16, 2021. Exhibit 10.19 CONTRIBUTION AGREEMENT by and among TIGRESS HOLDINGS, LLC, WPS PRIME SERVICES, LLC AND SIEBERT FINANCIAL CORP. November 16, 2021 This CONTRIBUTION AGREEMENT, dated as of November 16, 2021 (this ?Agreement?), is by and among Tigress Holdings, LLC, a limited liability company organized under the laws of Delaware (the ?Tigress Holdings?), WPS Prime Services, LLC, a limited liability com |
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| November 17, 2021 |
Siebert and Tigress Launch RISE Financial Services, A Woman-Owned, Diverse Financial Services Firm Exhibit 99.1 Siebert and Tigress Launch RISE Financial Services, A Woman-Owned, Diverse Financial Services Firm ? WPS Prime Services Rebranded to RISE Financial Services ? RISE Prime, a Division of RISE Financial Services, Is Aligned with Growing Mission-Driven ESG Initiatives of Institutional Investors ? Siebert Closed Transaction and Acquired 24% of Tigress, and In Exchange Tigress Received 24% |
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| November 15, 2021 |
Exhibit 10.18 AMENDMENT NO. 1 TO COMMON STOCK PURCHASE AGREEMENT This Amendment No. 1 to Common Stock Purchase Agreement, dated as of August 18, 2021 (the "Amendment"), is made by and between Siebert Financial Corp., a New York corporation, ("Siebert" or ?Buyer?), and OpenHand Holdings, Inc., a Delaware corporation, ("OpenHand" or ?Seller? or ?Company?), and together with Siebert, the "Parties", a |
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| November 15, 2021 |
Exhibit 10.16 AMENDMENT TO FULLY DISCLOSED CLEARING AGREEMENT THIS AMENDMENT TO FULLY DISCLOSED CLEARING AGREEMENT (this ?Amendment?) is made by and between MURIEL SIEBERT & CO., INC. (?Correspondent?) and NATIONAL FINANCIAL SERVICES LLC (?NFS?), effective as of the last date of execution set forth below. WHEREAS, Correspondent and NFS have entered into a Fully Disclosed Clearing Agreement, effect |
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| November 15, 2021 |
Exhibit 10.17 GUARANTY AGREEMENT THIS GUARANTY AGREEMENT (this ?Guaranty?) is made as of August 1, 2021 between Siebert Financial Corporation, a New York corporation (?Guarantor?) and National Financial Services LLC, a Delaware limited liability company (?NFS?). NFS and Guarantor are referred to collectively herein as the ?Parties? and each individually herein as a ?Party.? WHEREAS, Muriel Siebert |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number ??0-5703 Siebert Financial Corp. |
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| September 23, 2021 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 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): September 17, 2021 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission |
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| September 3, 2021 |
Termination of a Material Definitive Agreement, Financial Statements and Exhibits 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): August 30, 2021 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 25, 2021 |
Siebert Financial Corp. 4141 NE 2nd Avenue, Suite 201 Miami, FL 33137 August 23, 2021 CONFIDENTIAL Tigress Holdings, LLC 410 Park Avenue 12th Floor New York, NY 10022 Attn: Cynthia D. DiBartolo, CEO Re: Letter of Intent for Transactions between Siebert Financial Corp. and Tigress Holdings, LLC Dear Cynthia, We are pleased to submit this Letter of Intent (this ?LOI?) in connection with a potential |
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| August 25, 2021 |
Siebert To Acquire Stake in Leading Diversity Broker, Tigress Financial Partners - Siebert to Purchase 24% of Tigress Financial Partners - Tigress Financial Partners to Receive 24% of Siebert?s Subsidiary WPS Prime Services and Shares of Siebert Common Stock - Incredible Partnership to Build Upon Siebert?s Legacy While Supporting Strategic Partners in Building Diversity Initiatives - Tigress Financial Partners? Cynthia DiBartolo to Join Siebert?s Management Team at Close of Transaction New York, August 23, 2021 ? Siebert Financial Corp. |
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| August 25, 2021 |
Financial Statements and Exhibits, Other Events 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): August 23, 2021 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number ??0-5703 Siebert Financial Corp. |
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| August 16, 2021 |
Siebert Financial Corp. 2021 Equity Incentive Plan** Exhibit 4.1 SIEBERT FINANCIAL CORP. 2021 EQUITY INCENTIVE PLAN 1. Purpose; Eligibility. 1.1 General Purpose. The name of this plan is the Siebert Financial Corp. 2021 Equity Incentive Plan (the "Plan"). The purposes of the Plan are to (a) enable Siebert Financial Corp., a New York corporation (the "Company"), and any Affiliate to attract and retain the types of Employees, Consultants and Directors |
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| August 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| August 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| August 4, 2021 |
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): August 4, 2021 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 17, 2021 |
EX-10.15 2 sieb10qex10-15.htm COMMON STOCK PURCHASE AGREEMENT Exhibit 10.15 COMMON STOCK PURCHASE AGREEMENT TIDS STOCK PURCHASE AGREEMENT (this “Agreement”) dated as of January 31, 2021 is made by and between Siebert Financial Corp. (“Siebert”), a New York corporation (the “Buyer”), and OpenHand Holdings, Inc. (“OpenHand”), a Delaware corporation (the “Seller” or “Company”). W I T N E S S E T |
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| May 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number ??0-5703 Siebert Financial Corp. |
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| April 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Siebert Financial Corp. (Name of Issuer) Common Stock, par value $.01 (Title of Class of Securities) 826176 10 9 (CUSIP Number) Andrew McDonald c/o Muriel Siebert & Co., Inc. 9464 Wilshire Blvd. Beverly Hills, CA 90212 800-225-6196 (Name, Address and Telephone Number of Pe |
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| April 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 17) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 |
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| March 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 16) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 |
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| March 10, 2021 |
Subsidiaries of the registrant*** EX-21.1 2 a52391908ex211.htm EXHIBIT 21.1 Exhibit 21.1 SUBSIDIARIES Company Jurisdiction % Owned 1. Muriel Siebert & Co., Inc. Delaware 100 % 2. Siebert AdvisorNXT, Inc. New York 100 % 3. Park Wilshire Companies, Inc. Texas 100 % 4. Siebert Technologies, LLC Nevada 100 % 5. WPS Prime Services, LLC Delaware 100 % 6. StockCross Digital Solutions, Ltd.* Bermuda 100 % *Inactive subsidiary |
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| March 10, 2021 |
Annual Report - SIEBERT FINANCIAL CORP. FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2020 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp |
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| November 16, 2020 |
Quarterly Report - SIEBERT FINANCIAL CORP. 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| September 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Siebert Financial Corp. (Name of Issuer) Common Stock, par value $.01 (Title of Class of Securities) 826176 10 9 (CUSIP Number) Andrew McDonald c/o Muriel Siebert & Co., Inc. 9464 Wilshire Blvd. Beverly Hills, CA 90212 800-225-6196 (Name, Address and Telephone Number of Pe |
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| August 25, 2020 |
Submission of Matters to a Vote of Security Holders - SIEBERT FINANCIAL CORP. 8-K 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): August 21, 2020 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 13, 2020 |
Quarterly Report - SIEBERT FINANCIAL CORP. FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| August 5, 2020 |
- SIEBERT FINANCIAL CORP. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| July 30, 2020 |
Termination of a Material Definitive Agreement, Financial Statements and Exhibits 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 24, 2020 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| July 28, 2020 |
Exhibit 99.2 TERM LOAN NOTE FOR VALUE RECEIVED, the undersigned, SIEBERT FINANCIAL CORP., a New York corporation (“Borrower”), HEREBY PROMISES TO PAY to the order of EAST WEST BANK, a California banking corporation (“Bank”) at its office located at 9300 Flair Drive, 6th Floor, El Monte, CA 91731, Attn: Loan Servicing Department, or at such other place as Bank may from time to time designate in wri |
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| July 28, 2020 |
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 22, 2020 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| July 28, 2020 |
Exhibit 99.1 LOAN AND SECURITY AGREEMENT by and between SIEBERT FINANCIAL CORP., as Borrower and EAST WEST BANK, as Bank Dated as of July 22, 2020 TABLE OF CONTENTS Page 1. DEFINITIONS AND CONSTRUCTION 1 1.1 Definitions 1 1.2 Accounting Terms 1 1.3 Other Definitional Terms; Rules of Interpretation 1 2. TERM LOANS AND TERMS OF PAYMENT. 1 2.1 Promise to Pay 1 2.2 Interest Rate, Payments, and Calcula |
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| July 7, 2020 |
- SIEBERT FINANCIAL CORP. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| July 7, 2020 |
- SIEBERT FINANCIAL CORP. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| June 26, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): June 22, 2020 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of (Commission File Number) (IRS E |
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| June 26, 2020 |
EQUITY INTERESTS PURCHASE AGREEMENT Exhibit 99.1 EQUITY INTERESTS PURCHASE AGREEMENT This EQUITY INTERESTS PURCHASE AGREEMENT (this “Agreement”), dated as of June 22, 2020, is entered into by and among Siebert Financial Corp., a New York corporation (the “Seller”) and WPS Acquisitions, LLC, a Delaware LLC (the “Purchaser”). Each of the Seller and the Purchaser may be referred to herein as a “Party” and collectively, as the “Parties” |
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| June 24, 2020 |
Amended and Restated Joint Filing Agreement. Exhibit 24.1 AMENDED AND RESTATED JOINT FILING AND GROUP AGREEMENT This Amended and Restated Joint Filing and Group Agreement (this “Agreement”) is dated as of June 22, 2020, by and among Kennedy Cabot Acquisition, Gloria Gebbia, Richard Gebbia, and John M. Gebbia (each a “Party” to this Agreement, and collectively, the “Parties” or the “Group”). RECITALS WHEREAS, pursuant to a Joint Filing Agreem |
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| June 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 15) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 |
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| June 2, 2020 |
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): June 1, 2020 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of (Commission File Number) (IRS Em |
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| May 28, 2020 |
Quarterly Report - SIEBERT FINANCIAL CORP. 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| May 15, 2020 |
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): May 15, 2020 Siebert Financial Corp. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of (Commission File Number) (IRS Em |
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| April 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 14) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 |
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| March 27, 2020 |
Subsidiaries of the registrant*** Exhibit 21.1 SUBSIDIARIES Company Jurisdiction % Owned 1. Muriel Siebert & Co., Inc. Delaware 100% 2. Siebert AdvisorNXT, Inc. New York 100% 3. Park Wilshire Companies, Inc. Texas 100% 4. Siebert Technologies, LLC Nevada 100% 5. Weeden Prime Services, LLC Delaware 100% |
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| March 27, 2020 |
SIEB / Siebert Financial Corp. 10-K - Annual Report - SIEBERT FINANCIAL CORP. 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2019 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Co |
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| March 27, 2020 |
Exhibit 3.1(a) CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF SIEBERT FINANCIAL CORP. (Under Section 805 of the Business Corporation Law of the State of New York) The undersigned, desiring to amend a certificate of incorporation under the provisions of the Business Corporation Law of the State of New York (hereinafter referred to as the “BCL”), hereby certifies as follows: FIRST: |
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| March 17, 2020 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 1, 2020 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of (Commissi |
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| March 17, 2020 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS Exhibit 99.3 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS The unaudited pro forma condensed financial statements (“Pro Forma Financial Statements”) of Siebert Financial Corp. (“SIEB”) and StockCross Financial Services, Inc. (“StockCross”) reflect various adjustments to give effect to the following transaction: • SIEB acquired the remaining 85% of StockCross’ common stock, pursuant t |
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| March 17, 2020 |
Exhibit 99.2 STOCKCROSS FINANCIAL SERVICES, INC. AND SUBSIDIARY REPORT ON AUDIT OF FINANCIAL STATEMENTS AND SUPPLEMENTARY INFORMATION REPORT ON COMPLIANCE REPORT ON SIPC ASSESSMENT DECEMBER 31, 2019 This report is deemed CONFIDENTIAL in accordance with rule 17a-5(e) (3) of the Securities Exchange Act STOCKCROSS FINANCIAL SERVICES, INC. AND SUBSIDIARY CONSOLIDATED STATEMENT OF FINANCIAL CONDITION D |
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| February 14, 2020 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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 2, 2019 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of (Commiss |
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| February 14, 2020 |
Exhibit 99.2 WEEDEN PRIME SERVICES, LLC FINANCIAL STATEMENTS WITH SUPPLEMENTARY INFORMATION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2018 (CONFIDENTIAL PURSUANT TO RULE 17a-5(e)(3) AND CFTC REGULATION 1.10) CONFIDENTIAL TREATMENT REQUESTED UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number : 3235-0123 Expires: August 31 , |
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| February 14, 2020 |
UNAUDITED PRO FORMA COMBINED FINANCIAL STATEMENTS Exhibit 99.3 UNAUDITED PRO FORMA COMBINED FINANCIAL STATEMENTS The unaudited pro forma combined financial statements (“Pro Forma Financial Statements”) of Siebert Financial Corp. (“Siebert”) and Weeden Prime Services, LLC (“Weeden”) reflect various adjustments to give effect to the following transaction: • Siebert acquired all of the member interests in Weeden, pursuant to the terms of an Equity I |
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| February 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 13) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 |
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| January 27, 2020 |
SIEB / Siebert Financial Corp. DEF 14C - - SIEBERT FINANCIAL CORP. DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement SIEBERT FINANCIAL CORP. (Name of Reg |
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| January 24, 2020 |
SIEB / Siebert Financial Corp. / Overstock.com, Inc - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Siebert Financial Corp. (Name of Issuer) Common Stock $0.01 Par Value (Title of Class of Securities) 826176109 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| January 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 12) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 |
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| January 17, 2020 |
SIEB / Siebert Financial Corp. PRE 14C - - SIEBERT FINANCIAL CORP. PRE 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement SIEBERT FINANCIAL CORP. (Name of Reg |
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| January 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 11) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 |
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| January 7, 2020 |
Exhibit 99.1 AGREEMENT AND PLAN OF MERGER THIS AGREEMENT AND PLAN OF MERGER, dated as of December 31, 2019 (this “Agreement”), is made by and among SIEBERT FINANCIAL CORP., a New York corporation (“Parent”), MURIEL SIEBERT & CO., INC., a Delaware corporation and a wholly-owned subsidiary of Parent (“Merger Sub”), STOCKCROSS FINANCIAL SERVICES, INC., a Massachusetts corporation (the “Company”), and |
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| January 7, 2020 |
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): January 1, 2020 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of (Commission File Number) (IRS |
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| December 18, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 10) Siebert Financial Corp (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 ( |
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| December 4, 2019 |
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 2, 2019 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission F |
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| December 4, 2019 |
Exhibit 99.2 THIS NOTE HAS BEEN ACQUIRED FOR INVESTMENT PURPOSES ONLY AND MAY NOT BE TRANSFERRED UNTIL (i) A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”) SHALL HAVE BECOME EFFECTIVE WITH RESPECT THERETO OR (ii) RECEIPT BY THE COMPANY OF AN OPINION OF COUNSEL REASONABLY SATISFACTORY TO THE COMPANY TO THE EFFECT THAT REGISTRATION UNDER THE ACT IS NOT REQUIRED IN CO |
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| December 4, 2019 |
Siebert Financial Corp. Completes Acquisition of Weeden Prime Services, LLC Exhibit 99.3 Siebert Financial Corp. Completes Acquisition of Weeden Prime Services, LLC Effective December 2, 2019, Siebert acquired Weeden Prime, a leading prime brokerage services provider, for a total purchase price of approximately $7.1 million in cash Weeden Prime has generated approximately $12-14 million in annual revenue Through its acquisition of Weeden Prime, Siebert will gain approxima |
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| November 13, 2019 |
SIEB / Siebert Financial Corp. 10-Q - Quarterly Report - SIEBERT FINANCIAL CORP. 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| October 2, 2019 |
EQUITY INTERESTS PURCHASE AGREEMENT Exhibit 99.1 EQUITY INTERESTS PURCHASE AGREEMENT This EQUITY INTERESTS PURCHASE AGREEMENT (this “Agreement”), dated as of September 27, 2019, is entered into by and among Weeden Investors L.P., a Delaware limited partnership (“LP”), Weeden Securities Corporation, a Delaware corporation (“GP” and together with LP, each, a “Seller” and collectively, the “Sellers”), and Siebert Financial Corp., a New |
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| October 2, 2019 |
Exhibit 99.2 ESCROW AGREEMENT This Escrow Agreement (this “Agreement”) is entered into as of September 27, 2019, by and among Siebert Financial Corp., a Delaware corporation (the “Buyer”), Weeden Securities Corporation, a Delaware corporation (the “GP Seller”), Weeden Investors L.P., a Delaware limited partnership (“LP Seller” and, together with GP Seller, the “Sellers”)and Citibank, N.A. (the “Es |
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| October 2, 2019 |
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): September 27, 2019 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission |
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| October 2, 2019 |
Siebert Financial Corp. to Acquire Weeden Prime Services, LLC Exhibit 99.3 Siebert Financial Corp. to Acquire Weeden Prime Services, LLC Acquisition of Weeden Prime will add prime brokerage business line to Siebert as well as expand product offerings to retail customer base Weeden Prime will significantly increase Siebert’s revenue and will add substantial assets under management, two branch offices and 25 employees NEW YORK-(BUSINESS WIRE)-October 1, 2019-S |
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| September 30, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 9) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 ( |
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| August 14, 2019 |
SIEB / Siebert Financial Corp. 10-Q - Quarterly Report - SIEBERT FINANCIAL CORP. 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| August 1, 2019 |
Submission of Matters to a Vote of Security Holders 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 30, 2019 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| July 19, 2019 |
Siebert Financial Corp. to Acquire StockCross Financial Services, Inc. Exhibit 99.2 Siebert Financial Corp. to Acquire StockCross Financial Services, Inc. Acquisition of StockCross, a clearing broker-dealer, will add market-making, equity stock plan services, IRA custodianship, and securities lending business lines to Siebert Upon closing, Siebert will obtain an additional $1 billion in customer assets, three retail branches and 45 employees Transaction results in cl |
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| July 19, 2019 |
Exhibit 99.1 July 15, 2019 Mr. Michael J. Colombino Chief Financial Officer StockCross Financial Services, Inc. 9464 Wilshire Boulevard Beverly Hills, CA 90212 Re: Purchase of StockCross Shares Dear Mr. Colombino: Siebert Financial Corp. (“Siebert”) is pleased to submit to StockCross Financial Services, Inc. (“StockCross”), subject to the terms and conditions described herein, a proposal for the b |
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| July 19, 2019 |
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 15, 2019 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| June 19, 2019 |
SIEB / Siebert Financial Corp. DEFA14A - - SIEBERT FINANCIAL CORP. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| June 19, 2019 |
SIEB / Siebert Financial Corp. DEF 14A - - SIEBERT FINANCIAL CORP. DEF14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| May 15, 2019 |
SIEB / Siebert Financial Corp. 10-Q Quarterly Report SIEBERT FINANCIAL CORP. FORM 10-Q F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| May 9, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 8) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 ( |
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| April 8, 2019 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.2 REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Stockholders of Stockcross Financial Services, Inc. and Subsidiary Beverly Hills, California 90212 Opinion on the Consolidated Financial Statements We have audited the accompanying consolidated statement of financial condition of Stockcross Financial Services, Inc. and Subsidiary (the Company) as of |
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| April 8, 2019 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 18, 2019 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorpor |
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| April 8, 2019 |
Exhibit 99.3 SIEBERT FINANCIAL CORP. & SUBSIDIARIES PRO FORMA CONSOLIDATED STATEMENTS OF FINANCIAL CONDITION As of December 31, 2018 Siebert Financial Corp. Pro Forma Adjustments Pro Forma Balance ASSETS Cash and cash equivalents $ 7,229,000 $ (3,666,000 ) $ 3,563,000 Receivables from clearing and other brokers 2,030,000 — 2,030,000 Receivable from related party 1,000,000 — 1,000,000 Receivable fr |
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| April 4, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 (21 |
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| March 29, 2019 |
SIEB / Siebert Financial Corp. SIEBERT FINANCIAL CORP. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2018 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Co |
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| March 29, 2019 |
Subsidiaries of the registrant*** EXHIBIT 21.1 SUBSIDIARIES Company Jurisdiction % Owned 1. Muriel Siebert & Co., Inc. Delaware 100% 2. Siebert AdvisorNXT, Inc. New York 100% 3. Park Wilshire Companies, Inc. Texas 100% 4. KCA Technologies, LLC. Nevada 100% |
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| January 25, 2019 |
Siebert Financial Corp. to Acquire 15% Ownership of StockCross Financial Services, Inc. Exhibit 99.2 Siebert Financial Corp. to Acquire 15% Ownership of StockCross Financial Services, Inc. NEW YORK-(BUSINESS WIRE)-January 25, 2019-Siebert Financial Corp. (NASDAQ:SIEB) announced today that its wholly-owned subsidiary, Muriel Siebert & Co., Inc. (“MSCO”), acquired a 15% ownership of StockCross Financial Services, Inc., one of the largest privately-owned brokerage firms in the nation. I |
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| January 25, 2019 |
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): January 18, 2019 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission F |
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| January 25, 2019 |
STOCKCROSS SHARE REPURCHASE AGREEMENT Exhibit 99.1 STOCKCROSS SHARE REPURCHASE AGREEMENT This StockCross Share Repurchase Agreement (as amended from time to time, this "Agreement") dated as of January 18, 2019 (this “Agreement"), is by and among tZERO Group, Inc., a Delaware corporation ("t ZERO"), StockCross Financial Services, Inc., a Massachusetts corporation (" StockCross") and Muriel Siebert & Co., Inc., a Delaware Corporation (" |
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| January 2, 2019 |
SIEB / Siebert Financial Corp. / Kennedy Cabot Acquisition, LLC - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 (21 |
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| November 15, 2018 |
SIEB / Siebert Financial Corp. Date: 11/15/18 To: United States SECURITIES AND EXCHANGE COMMISSION Division of Corporation Finance Office of Financial Services Washington, D. |
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| November 14, 2018 |
SIEB / Siebert Financial Corp. SIEBERT FINANCIAL CORP. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| October 10, 2018 |
SIEB / Siebert Financial Corp. 120 Wall Street | 25th Floor | New York, NY 10005 Tel: (212) 644-2434 | Fax: (212) 838-0647 | www. |
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| September 11, 2018 |
SIEB / Siebert Financial Corp. / Kennedy Cabot Acquisition, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) Siebert Financial Corp. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 826176 10 9 (CUSIP Number) Gloria E. Gebbia Managing Member Kennedy Cabot Acquisition, LLC 24005 Ventura Blvd. Suite 200 Calabasas CA 91302 (21 |
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| August 13, 2018 |
SIEB / Siebert Financial Corp. FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-5703 Siebert Financial Corp. |
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| July 16, 2018 |
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 16, 2018 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
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| June 15, 2018 |
Submission of Matters to a Vote of Security Holders 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): June 15, 2018 SIEBERT FINANCIAL CORP. (Exact name of registrant as specified in its charter) New York 0-5703 11-1796714 (State or other jurisdiction of incorporation) (Commission File |
