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Gebbia Gloria E – ‘4’ for 1/24/20 re: Siebert Financial Corp.

On:  Monday, 1/27/20, at 9:34pm ET   ·   For:  1/24/20   ·   Accession #:  1157523-20-111   ·   File #:  0-05703

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/27/20  Gebbia Gloria E                   4                      1:6K   Siebert Financial Corp.           Business Wire/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- form4.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2020-01-24 </periodOfReport>
<issuer>
<issuerCik> 0000065596 </issuerCik>
<issuerName> SIEBERT FINANCIAL CORP </issuerName>
<issuerTradingSymbol> SIEB </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001692471 </rptOwnerCik>
<rptOwnerName> Gebbia Gloria E </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> C/O SIEBERT FINANCIAL CORP. </rptOwnerStreet1>
<rptOwnerStreet2> 120 WALL STREET </rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10005 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> true </isDirector>
<isTenPercentOwner> true </isTenPercentOwner>
<isOther> true </isOther>
<otherText> MEMBER OF 10% OWNER GROUP </otherText>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock, $0.01 par value per share </value>
</securityTitle>
<transactionDate>
<value> 2020-01-24 </value>
</transactionDate>
<deemedExecutionDate>
<value> 2020-01-24 </value>
</deemedExecutionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> S </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 350000 </value>
</transactionShares>
<transactionPricePerShare>
<value> 1.9 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 3177283 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> By KCA </value>
<footnoteId id="F1"/>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeHolding>
<securityTitle>
<value> Common Stock, $0.01 par value per share </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 8194901 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> By family </value>
<footnoteId id="F2"/>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
<nonDerivativeHolding>
<securityTitle>
<value> Common Stock, $0.01 par value per share </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 7849615 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeHolding>
</nonDerivativeTable>
<footnotes>
<footnote id="F1"> The Reporting Person is the Managing Member of KCA and may be deemed to be the indirect beneficial owner of 3,177,283 shares of Issuer common stock directly owned by KCA. On January 24, 2020, KCA sold 350,000 shares of Issuer common stock pursuant to an exercise of warrants. The Reporting Person disclaims beneficial ownership of the shares of Issuer common stock owned by KCA, except to the extent of the Reporting Person's pecuniary interest therein. </footnote>
<footnote id="F2"> The Reporting Person may be deemed to be the indirect beneficial owner of a total of 8,194,901 shares of Issuer common stock owned by family trusts and certain family members. The Reporting Person disclaims beneficial ownership of such shares of Issuer common stock, except to the extent of the Reporting Person's pecuniary interest therein. </footnote>
</footnotes>
<ownerSignature>
<signatureName> /s/ Gloria E. Gebbia </signatureName>
<signatureDate> 2020-01-27 </signatureDate>
</ownerSignature>
</ownershipDocument>


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Filing Submission 0001157523-20-000111   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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