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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/07/20 Kennedy Cabot Acquisition, LLC SC 13D/A 1:96K Siebert Financial Corp Business Wire/FA David Gebbia Gloria E. Gebbia John M. Gebbia Richard Gebbia |
Document/Exhibit Description Pages Size 1: SC 13D/A Siebert Financial Corp. SC 13D/A HTML 60K
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 |
(212) 514-8369 |
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
|
(Date of Event which Requires Filing of this Statement) |
1. |
NAMES OF REPORTING PERSONS |
|
Kennedy Cabot Acquisition, LLC |
||
2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
|
(see instructions) |
||
(a) | ☒ |
|
(b) |
☐ |
|
3. |
SEC USE ONLY |
|
4. |
SOURCE OF FUNDS (see instructions) |
|
AF |
||
5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐ | |
6. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
Nevada |
|
7. |
SOLE VOTING POWER |
0 |
||
NUMBER OF | 8. |
SHARED VOTING POWER |
SHARES | |
|
BENEFICIALLY |
19,221,799 | |
OWNED BY | 9. |
SOLE DISPOSITIVE POWER |
EACH |
||
REPORTING |
0 |
|
PERSON WITH | 10. |
SHARED DISPOSITIVE POWER |
19,221,799
|
1. |
NAMES OF REPORTING PERSONS |
|
Gloria E. Gebbia |
||
2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
|
(see instructions) |
||
(a) | ☒ |
|
(b) |
☐ |
|
3. |
SEC USE ONLY |
|
4. |
SOURCE OF FUNDS (see instructions) |
|
PF |
||
5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐ | |
6. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
Gloria E. Gebbia is a US Citizen |
|
7. |
SOLE VOTING POWER |
7,849,615
|
||
NUMBER OF | 8. |
SHARED VOTING POWER |
SHARES | |
|
BENEFICIALLY |
19,221,799
|
|
OWNED BY | 9. |
SOLE DISPOSITIVE POWER |
EACH |
||
REPORTING |
7,849,615
|
|
PERSON WITH | 10. |
SHARED DISPOSITIVE POWER |
19,221,799
|
1. |
NAMES OF REPORTING PERSONS |
|
John M. Gebbia | ||
2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
|
(see instructions) |
||
(a) | ☒ |
|
(b) |
☐ |
|
3. |
SEC USE ONLY |
|
4. |
SOURCE OF FUNDS (see instructions) |
|
PF |
||
5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐ | |
6. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
John M. Gebbia is a US Citizen |
|
7. |
SOLE VOTING POWER |
2,511,836
|
||
NUMBER OF | 8. |
SHARED VOTING POWER |
SHARES | |
|
BENEFICIALLY |
19,221,799
|
|
OWNED BY | 9. |
SOLE DISPOSITIVE POWER |
EACH |
||
REPORTING |
2,511,836
|
|
PERSON WITH | 10. |
SHARED DISPOSITIVE POWER |
19,221,799
|
1. |
NAMES OF REPORTING PERSONS |
|
Richard Gebbia | ||
2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
|
(see instructions) |
||
(a) | ☒ |
|
(b) |
☐ |
|
3. |
SEC USE ONLY |
|
4. |
SOURCE OF FUNDS (see instructions) |
|
PF |
||
5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐ | |
6. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
Richard Gebbia is a US Citizen |
|
7. |
SOLE VOTING POWER |
3,388,314
|
||
NUMBER OF | 8. |
SHARED VOTING POWER |
SHARES | |
|
BENEFICIALLY |
19,221,799
|
|
OWNED BY | 9. |
SOLE DISPOSITIVE POWER |
EACH |
||
REPORTING |
3,388,314
|
|
PERSON WITH | 10. |
SHARED DISPOSITIVE POWER |
19,221,799
|
1. |
NAMES OF REPORTING PERSONS |
|
David Gebbia | ||
2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
|
(see instructions) |
||
(a) | ☒ |
|
(b) |
☐ |
|
3. |
SEC USE ONLY |
|
4. |
SOURCE OF FUNDS (see instructions) |
|
PF |
||
5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐ | |
6. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
David Gebbia is a US Citizen |
|
7. |
SOLE VOTING POWER |
1,783,514
|
||
NUMBER OF | 8. |
SHARED VOTING POWER |
SHARES | |
|
BENEFICIALLY |
19,221,799
|
|
OWNED BY | 9. |
SOLE DISPOSITIVE POWER |
EACH |
||
REPORTING |
1,783,514
|
|
PERSON WITH | 10. |
SHARED DISPOSITIVE POWER |
19,221,799
|
i.
|
KCA beneficially owns 3,177,283 shares of Common Stock, representing approximately 10.4% of the outstanding Common Stock of the Issuer.
|
ii.
|
Gloria E. Gebbia is the Managing Member of KCA and, as such, can vote or direct the vote or dispose or direct the disposition of the shares of Common Stock owned by KCA, and (ii) Gloria E. Gebbia is the
direct beneficial owner of 7,849,615 shares of Common Stock, representing approximately 25.8% of outstanding Common Stock of the Issuer, and she is the indirect beneficial owner of the shares owned by KCA and she may be deemed to share
indirect beneficial ownership of a total of 8,194,901 additional shares of Issuer Common Stock, owned by family trusts and certain members of Gloria E. Gebbia’s family. Accordingly, Gloria E. Gebbia may be deemed to beneficially own,
directly and indirectly, an aggregate of 19,221,799 shares of Common Stock, representing approximately 63.1% of the outstanding Common Stock of the Issuer.
|
iii.
|
John M. Gebbia is the direct beneficial owner of 2,511,836 shares of Issuer Common Stock, representing approximately 8.2% of outstanding Common Stock of the Issuer and he may be deemed to share indirect
beneficial ownership of a total of 24,000 additional shares of Issuer Common Stock, owned by certain family members.
|
iv.
|
Richard Gebbia is the direct beneficial owner of 3,388,314 shares of Issuer Common Stock, representing approximately 11.1% of outstanding Common Stock of the Issuer and he may be deemed to share indirect
beneficial ownership of a total of 335,000 additional shares of Issuer Common Stock, owned by certain family members.
|
v.
|
David Gebbia is the direct beneficial owner of 1,783,514 shares of Issuer Common Stock, representing approximately 5.9% of outstanding Common Stock of the Issuer and he may be deemed to share indirect
beneficial ownership of a total of 35,800 additional shares of Issuer Common Stock, owned by certain family members.
|
(b)
|
The information contained in rows 7, 8, 9 and 10 on each of the cover pages of this Amendment is incorporated by reference in its entirety into this Item 5(b).
|
Dated: February 7, 2020
|
||
Kennedy Cabot Acquisition, LLC |
||
By: |
/s/ Gloria E. Gebbia |
|
Gloria E. Gebbia |
||
Managing Member |
||
/s/ Gloria E. Gebbia |
||
Gloria E. Gebbia |
||
/s/ John M. Gebbia |
||
John M. Gebbia |
||
/s/ Richard Gebbia |
||
Richard Gebbia |
||
/s/ David Gebbia |
||
David Gebbia |
This ‘SC 13D/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 2/7/20 | |||
1/24/20 | 4, SC 13G/A | |||
1/17/20 | PRE 14C, SC 13D/A | |||
1/10/20 | 4, SC 13D/A | |||
1/7/20 | 4, 8-K | |||
1/1/20 | 4, 8-K | |||
12/18/19 | 4, SC 13D/A | |||
11/13/19 | 10-Q | |||
9/30/19 | 10-Q, SC 13D/A | |||
5/9/19 | SC 13D/A | |||
4/4/19 | 4, SC 13D/A | |||
1/2/19 | 3, 4, SC 13D/A | |||
9/11/18 | 4, SC 13D/A, UPLOAD | |||
4/25/18 | SC 13D/A | |||
2/26/18 | SC 13D/A, SC 13G | |||
1/26/18 | SC 13D/A | |||
1/11/18 | SC 13D/A | |||
12/21/16 | 3, 8-K, SC 13D | |||
List all Filings |