Filing Details
- Accession Number:
- 0001157523-20-000539
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-04-20 13:00:30
- Reporting Period:
- 2020-04-16
- Accepted Time:
- 2020-04-20 13:00:30
- 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 | Acquisiton | 2020-04-16 | 2,181,621 | $5.60 | 10,031,236 | No | 4 | P | Direct | |
| Common Stock, $0.01 Par Value Per Share | Disposition | 2020-04-16 | 2,181,621 | $5.60 | 6,013,280 | No | 4 | S | Indirect | By family |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | S | Indirect | By family |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $0.01 Par Value Per Share | 3,177,283 | Indirect | By KCA |
Footnotes
- The Reporting Person is filing this Form 4 to report the acquisition in a private transaction of 2,181,621 shares of Issuer common stock by the Reporting Person from John M Gebbia, Richard Gebbia, and David J Gebbia.
- John M Gebbia, Richard Gebbia, and David J Gebbia sold a total of 2,181,621 shares of Issuer common stock to the Reporting Person in a private transaction, resulting in a decrease of 2,181,621 shares of Issuer common stock to the Reporting Person's indirect ownership. 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 3,177,283 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.
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