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Siebert Financial Corp. – ‘8-K’ for 9/26/22

On:  Friday, 9/30/22, at 4:31pm ET   ·   For:  9/26/22   ·   Accession #:  1213900-22-60709   ·   File #:  0-05703

Previous ‘8-K’:  ‘8-K’ on / for 5/27/22   ·   Next:  ‘8-K’ on 10/21/22 for 10/18/22   ·   Latest:  ‘8-K’ on 1/24/24 for 1/18/24   ·   1 Reference:  By:  Siebert Financial Corp. – ‘S-8’ on 12/29/22

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

 9/30/22  Siebert Financial Corp.           8-K:8       9/26/22   10:139K                                   EdgarAgents LLC/FA

Current Report   —   Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     28K 
 5: R1          Cover                                               HTML     47K 
 8: XML         IDEA XML File -- Filing Summary                      XML     11K 
 6: XML         XBRL Instance -- sieb8krfd_htm                       XML     15K 
 7: EXCEL       IDEA Workbook of Financial Reports                  XLSX      8K 
 3: EX-101.LAB  XBRL Labels -- sieb-20220926_lab                     XML     45K 
 4: EX-101.PRE  XBRL Presentations -- sieb-20220926_pre              XML     33K 
 2: EX-101.SCH  XBRL Schema -- sieb-20220926                         XSD     15K 
 9: JSON        XBRL Instance as JSON Data -- MetaLinks               12±    17K 
10: ZIP         XBRL Zipped Folder -- 0001213900-22-060709-xbrl      Zip     11K 


‘8-K’   —   Current Report


This is an HTML Document rendered as filed.  [ Alternative Formats ]



 iX:   C: 
  Siebert Financial Corp  
 i false  i 0000065596 0000065596 2022-09-26 2022-09-26

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM  i 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):  i September 26, 2022

 i Siebert Financial Corp.

(Exact name of registrant as specified in its charter)

 i New York

 i 0-5703

 i 11-1796714

(State or other jurisdiction of incorporation)

(Commission File Number)

(IRS Employer Identification Number)

 i 535 Fifth Avenue,  i 4th Floor,  i New York,  i NY

 i 10017

(Address of principal executive offices)

(Zip Code)

Registrant’s telephone number, including area code:  ( i 212)  i 644-2400

 

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 i  Written communications pursuant to Rule 425 under the Securities Act

 i  Soliciting material pursuant to Rule 14a-12 under the Exchange Act

 i  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act

 i  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

 i Common Stock - $0.01 par value

 i SIEB

The  i Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company   i 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐


Item 8.01 Other Events

Siebert Financial Corp. (the “Company”) is party to an agreement with a technology provider for technology development related to the Company’s online retail platforms with a term lapsing in the first quarter of 2023. On September 26, 2022, the Company and the technology provider mutually agreed to terminate the services being provided thereunder approximately six months early. Following September 26, 2022, neither the Company nor the vendor will have further obligations under the original agreement. The vendor will also return 193,906 shares of the Company’s common stock previously issued to the vendor and make a payment of $950,000 to the Company.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

Dated: September 30, 2022

SIEBERT FINANCIAL CORP.

 

 

By

/s/ Andrew H. Reich

 

Andrew H. Reich

Executive Vice President, Chief Operating

Officer, Chief Financial Officer, Secretary

and Director (Principal executive, financial

and accounting officer)



Dates Referenced Herein

This ‘8-K’ Filing    Date    Other Filings
Filed on:9/30/22None on these Dates
For Period end:9/26/22
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1 Subsequent Filing that References this Filing

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

12/29/22  Siebert Financial Corp.           S-8        12/29/22    4:104K                                   EdgarAgents LLC/FA
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