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