0001019056-18-000391.txt : 20180216
0001019056-18-000391.hdr.sgml : 20180216
20180216164208
ACCESSION NUMBER: 0001019056-18-000391
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180214
FILED AS OF DATE: 20180216
DATE AS OF CHANGE: 20180216
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: 18621763
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
2018-02-14
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
2018-02-14
4
J
0
4410000
A
7707800
D
Common Stock, $0.01 par value per share
2018-02-14
4
J
0
900318
A
5879494
I
By family
Common Stock, $0.01 par value per share
2018-02-14
4
J
0
9090000
D
3827283
I
By KCA
Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock (the "Distribution"). The Reporting Person received 4,410,000 shares based upon her ownership of KCA class A member interests.
Certain members of the Reporting Person's family received a total of 1,530,000 shares of Issuer common stock in the Distribution. The Reporting Person may be deemed to be the indirect beneficial owner of a total of 5,879,494 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.
The Reporting Person is the Managing Member of KCA and may be deemed to be the indirect beneficial owner of 3,827,283 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
2018-02-15