0001019056-17-000813.txt : 20171227
0001019056-17-000813.hdr.sgml : 20171227
20171227162313
ACCESSION NUMBER: 0001019056-17-000813
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171222
FILED AS OF DATE: 20171227
DATE AS OF CHANGE: 20171227
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gebbia Gloria E
CENTRAL INDEX KEY: 0001692471
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-05703
FILM NUMBER: 171276352
MAIL ADDRESS:
STREET 1: C/O GUSRAE KAPLAN NUSBAUM PLLC
STREET 2: 120 WALL STREET
CITY: NEW YORK
STATE: NY
ZIP: 10005
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SIEBERT FINANCIAL CORP
CENTRAL INDEX KEY: 0000065596
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 111796714
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 120 WALL STREET
STREET 2: 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 212-644-2400
MAIL ADDRESS:
STREET 1: 120 WALL STREET
STREET 2: 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10005
FORMER COMPANY:
FORMER CONFORMED NAME: MICHAELS J INC
DATE OF NAME CHANGE: 19950221
4
1
gebbia_4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-12-22
0
0000065596
SIEBERT FINANCIAL CORP
SIEB
0001692471
Gebbia Gloria E
C/O SIEBERT FINANCIAL CORP.,
120 WALL STREET
NEW YORK
NY
10005
1
0
1
1
10% Owner(1)(2)
Common Stock, $0.01 par value per share
2017-12-22
4
J
0
2292800
A
2292800
D
Common Stock, $0.01 par value per share
2017-12-22
4
J
0
5000000
D
16117220
I
See footnotes
Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. In addition, the reporting person gifted 157,000 of the shares received from KCA. Following the distribution and gifts, the reporting person had direct ownership of 2,292,800 shares of Issuer common stock. Gloria E. Gebbia is the managing member of Kennedy Cabot Acquisition, LLC ("KCA") and therefore may be deemed to be the indirect beneficial owner of 16,142,220 shares of Issuer common stock directly owned by KCA. Cont'd in Footnote 2.
Footnote 1 cont'd - The Reporting Person is a director of and has an ownership interest in StockCross Financial Services, Inc. ("StockCross") and may be deemed to share indirect beneficial ownership of 136,537 shares of Issuer common stock owned by StockCross. In addition, the Reporting Person may be deemed to share indirect beneficial ownership of 1,018,400 shares of Issuer common stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.
/s/ Gloria E. Gebbia
2017-12-27