0001157523-19-001653.txt : 20190801 0001157523-19-001653.hdr.sgml : 20190801 20190731212818 ACCESSION NUMBER: 0001157523-19-001653 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190730 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20190801 DATE AS OF CHANGE: 20190731 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-05703 FILM NUMBER: 19990631 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 8-K 1 a52024132.htm SIEBERT FINANCIAL CORP. 8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934


Date of Report (Date of earliest event reported):  July 30, 2019


SIEBERT FINANCIAL CORP.
(Exact name of registrant as specified in its charter)


New York
0-5703
11-1796714
(State or other jurisdiction of 
  incorporation)
    (Commission File Number)
(IRS Employer Identification
Number)


120 Wall Street, New York, NY    
10005
(Address of principal executive offices)
(Zip Code)


Registrant’s telephone number, including area code:    (212) 644-2400


(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐            Written communications pursuant to Rule 425 under the Securities Act

☐            Soliciting material pursuant to Rule 14a-12 under the Exchange Act

☐            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act

☐            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act

 
Securities registered pursuant to Section 12(b) of the Act:
 
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common Stock - $0.01 par value
SIEB
The Nasdaq Capital Market

 
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
 
Emerging growth company      ☐
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
 
Item 5.07 Submission of Matters to a Vote of Security Holders.
 
Siebert Financial Corp. (the “Company”) held its Annual Meeting of Shareholders (the “2019 Annual Meeting”) on July 30, 2019. At the 2019 Annual Meeting, the following proposals were submitted by the Company’s Board of Directors to a vote of the Company’s shareholders and the final results of the voting on the proposals are noted below.
 
Proposal No. 1 - The election of the persons named below as directors to hold office until the Company’s annual meeting of stockholders to be held in 2020 and until his or her successor is duly elected and qualified or until his or her earlier resignation or removal.
 
Name
 
For
Nominee
 
Authority
Withheld
From
Nominee
 
Broker
Non-Votes
 
 
 
 
 
 
 
Gloria E. Gebbia
 
23,864,872
 
132,420
 
—
Charles A. Zabatta
 
23,959,027
 
38,265
 
—
Francis V. Cuttita
 
23,957,328
 
39,964
 
—
Andrew H. Reich
 
23,864,353
 
132,939
 
—
Jerry M. Schneider
 
23,958,849
 
38,443
 
—

 
Proposal No. 2 – Non-binding advisory vote to approve named executive officer compensation. The compensation of the Company’s named executive officers as disclosed in the Proxy Statement pursuant to Item 402 of Regulation S-K, including the compensation tables and narrative discussion, was approved, on an advisory basis, and the votes were cast as follows:

For
 
Against
 
Abstain
  
Broker
Non-Votes
23,969,227
 
26,152
 
1,913
  
—

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.



Dated:  July 31, 2019

 
       

By:
/s/ Andrew H. Reich  
    Andrew H. Reich  
    Executive Vice President, Chief Operating Officer, Chief Financial Officer and Secretary