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