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)
|
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
|
Name
|
For
Nominee |
Authority
Withheld From Nominee |
Broker
Non-
Votes
|
|||||||||
|
||||||||||||
Gloria E. Gebbia
|
27,306,827
|
307,332
|
—
|
|||||||||
John J. Gebbia
|
27,306,823
|
307,336
|
||||||||||
Charles A. Zabatta
|
27,155,295
|
458,864
|
—
|
|||||||||
Francis V. Cuttita
|
27,130,701
|
483,458
|
—
|
|||||||||
Andrew H. Reich
|
27,300,604
|
313,555
|
—
|
|||||||||
Jerry M. Schneider
|
27,523,760
|
90,399
|
—
|
|
By:
|
/s/ Andrew H. Reich
|
|
|
|
Andrew H. Reich
|
|
|
|
Executive Vice President, Chief Operating Officer, Chief
Financial Officer and Secretary
|