0001019056-18-000283.txt : 20180206
0001019056-18-000283.hdr.sgml : 20180206
20180206174657
ACCESSION NUMBER: 0001019056-18-000283
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180202
FILED AS OF DATE: 20180206
DATE AS OF CHANGE: 20180206
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: 18578708
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
2018-02-02
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
0
Common Stock, $0.01 par value per share
2018-02-02
4
S
0
288537
5.04
D
3297800
D
Common Stock, $0.01 par value per share
2018-02-02
4
S
0
900318
5.04
D
4349494
I
By family
Common Stock, $0.01 par value per share
2018-02-02
4
S
0
70000
5.04
D
12917283
I
By KCA
Pursuant to a Common Stock Purchase Agreement dated January 31, 2018, on February 2, 2018, the Reporting Person and certain members of the Reporting Person's family sold Issuer common stock in a private transaction. The Reporting Person may be deemed to be the indirect beneficial owner of a total of 4,349,494 shares of Issuer common stock owned by a family trust 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.
Pursuant to a Securities Purchase Agreement dated January 31, 2018, on February 2, 2018, Kennedy Cabot Acquisition, LLC ("KCA") sold 70,000 shares of Issuer common stock in a private transaction. The Reporting Person is the Managing Member of KCA and may be deemed to be the indirect beneficial owner of 12,917,283 shares of Issuer common stock directly owned by KCA. 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.
/s/ Gloria E. Gebbia
2018-02-06