0001157523-20-000111.txt : 20200127 0001157523-20-000111.hdr.sgml : 20200127 20200127213403 ACCESSION NUMBER: 0001157523-20-000111 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200124 FILED AS OF DATE: 20200127 DATE AS OF CHANGE: 20200127 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: 20551179 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 form4.xml X0306 4 2020-01-24 0000065596 SIEBERT FINANCIAL CORP SIEB 0001692471 Gebbia Gloria E C/O SIEBERT FINANCIAL CORP. 120 WALL STREET NEW YORK NY 10005 true true true MEMBER OF 10% OWNER GROUP Common Stock, $0.01 par value per share 2020-01-24 2020-01-24 4 S 0 350000 1.9 D 3177283 I By KCA Common Stock, $0.01 par value per share 8194901 I By family Common Stock, $0.01 par value per share 7849615 D The Reporting Person is the Managing Member of KCA and may be deemed to be the indirect beneficial owner of 3,177,283 shares of Issuer common stock directly owned by KCA. On January 24, 2020, KCA sold 350,000 shares of Issuer common stock pursuant to an exercise of warrants. 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. The Reporting Person may be deemed to be the indirect beneficial owner of a total of 8,194,901 shares of Issuer common stock owned by family trusts 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. /s/ Gloria E. Gebbia 2020-01-27