Filing Details

Accession Number:
0001157523-19-002016
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-09-27 15:02:38
Reporting Period:
2019-09-25
Accepted Time:
2019-09-27 15:02:38
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
65596 Siebert Financial Corp SIEB Security Brokers, Dealers & Flotation Companies (6211) 111796714
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1692471 E Gloria Gebbia C/O Siebert Financial Corp.
120 Wall Street
New York NY 10005
No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $0.01 Par Value Per Share Disposition 2019-09-25 50,000 $1.90 3,577,283 No 4 S Indirect By KCA
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By KCA
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.01 Par Value Per Share 5,901,194 Indirect By family
Common Stock, $0.01 Par Value Per Share 7,658,500 Direct
Footnotes
  1. The Reporting Person is the Managing Member of KCA and may be deemed to be the indirect beneficial owner of 3,577,283 shares of Issuer common stock directly owned by KCA. On September 25, 2019, KCA sold 50,000 shares of Issuer common stock pursuant to an exercise of a warrant. 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.
  2. Various family members have received gifts from the Reporting Person; therefore, the Reporting Person may be deemed to be the indirect beneficial owner of a total of 5,901,194 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.