Welcome to our dedicated page for Siebert Finl SEC filings (Ticker: SIEB), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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Key Takeaway: On 27 June 2025, Siebert Financial Corp. (Nasdaq: SIEB) disclosed that it has entered into a Sales Agreement with its wholly-owned subsidiary Muriel Siebert & Co., LLC and Ladenburg Thalmann & Co. Inc. allowing the company to sell, from time to time, up to $50 million of its common stock through an "at-the-market" (ATM) equity offering.
The shares are registered under an effective shelf registration statement on Form S-3 (File No. 333-287680) declared effective by the SEC on 9 June 2025 and will be offered via a prospectus supplement dated 27 June 2025. Sales may be executed by the Agents as principal or agent using any method permitted for ATM programs, and the company can set minimum acceptable prices, suspend, or terminate the offering at its discretion; it is not obligated to sell any shares.
Compensation terms include a 3.0 % commission on gross proceeds payable to the Agents, plus reimbursement of specified expenses. Ladenburg will act as the "qualified independent underwriter" under FINRA Rule 5121 and is entitled to an additional fee for that role. Customary indemnification and contribution provisions are included. Key supporting documents were filed as exhibits: 5.1 (legal opinion), 10.50 (Sales Agreement), 23.1 (consent), and 104 (cover page interactive data).
No financial results, intended use of proceeds, or other operational updates were provided; the filing solely reports entry into a material definitive agreement that gives Siebert Financial incremental flexibility to raise equity capital when market conditions are favorable.
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