0001019056-18-000007.txt : 20180103
0001019056-18-000007.hdr.sgml : 20180103
20180103161533
ACCESSION NUMBER: 0001019056-18-000007
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171229
FILED AS OF DATE: 20180103
DATE AS OF CHANGE: 20180103
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: 18505438
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
2017-12-29
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)
Common Stock, $0.01 par value per share
2017-12-29
4
J
0
288537
A
2581337
D
Common Stock, $0.01 par value per share
2017-12-29
4
J
0
3957075
A
20074295
I
See footnotes
On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 288,537 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.
Such aggregate 20,074,294 shares of Issuer Common Stock may be deemed to be beneficially owned by the Reporting Person and represents (a) 14,987,283 shares of Issuer Common Stock directly owned by Kennedy Cabot Acquisition, LLC ("KCA"), which the Reporting Person is the managing member, (b) 136,537 shares of Issuer Common Stock owned by StockCross, an entity which the Reporting Person is a director of and has an ownership interest in and (c) 4,932,075 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.
Represents shares of Issuer Common Stock issued to members of the Gebbia family in the Transfer. No consideration was paid for such shares.
/s/ Gloria E. Gebbia
2018-01-03