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SIEB CEO John J. Gebbia updates indirect holdings after 128K-share gift

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Form Type
4

Rhea-AI Filing Summary

Siebert Financial Corp. (SIEB) insider John J. Gebbia, a director, CEO, 10% owner and member of a control group, reported an indirect transfer of common stock. On 11/20/2025, a trust he jointly owns with his wife, the Gebbia Living Trust, gifted 128,000 shares of Siebert common stock, recorded at a price of $0 per share with transaction code "G" for a gift. After these transactions, Gebbia indirectly owns 9,569,714 shares of Siebert common stock through the Gebbia Living Trust and is also listed with 16,813,323 shares as part of a family control group. He states that he does not directly own any Siebert common shares and disclaims beneficial ownership of control group shares except for his pecuniary interest.

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Insider Gebbia John J
Role CEO
Type Security Shares Price Value
Gift Common Stock, $0.01 par value per share 128,000 $0.00 --
holding Common Stock, $0.01 par value per share -- -- --
holding Common Stock, $0.01 par value per share -- -- --
Holdings After Transaction: Common Stock, $0.01 par value per share — 9,569,714 shares (Indirect, See footnote); Common Stock, $0.01 par value per share — 0 shares (Direct)
Footnotes (1)
  1. The Reporting Person does not directly own any shares of Issuer common stock. The Reporting Person and the Reporting Person's wife, Gloria E. Gebbia, jointly own the John J & Gloria E Gebbia TTEESS UAD 12/8/94 ("Gebbia Living Trust"). The Gebbia Living Trust gifted 128,000 shares of Issuer common stock to family members and subsequent transactions, resulted in a net decrease of 128,000 shares of issuer common stock to the Reporting Person's indirect ownership. The Reporting Person indirectly owns 9,569,714 shares of Issuer common stock owned by the Gebbia Living Trust. The Reporting Person is part of a control group consisting of family members of the Reporting Person. The Gebbia Living Trust, a member of the control group, gifted 128,000 shares of issuer common stock to family members included and not included within the control group, and subsequent transactions resulted in a net decrease of 128,000 shares of issuer common stock to the control group. 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.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Gebbia John J
(Last) (First) (Middle)
C/O SIEBERT FINANCIAL CORP.
653 COLLINS AVENUE
(Street)
MIAMI BEACH FL 33139
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SIEBERT FINANCIAL CORP [ SIEB ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) X Other (specify below)
CEO Member of 10% owner group
3. Date of Earliest Transaction (Month/Day/Year)
11/20/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.01 par value per share 0 D(1)
Common Stock, $0.01 par value per share 11/20/2025 11/20/2025 G V 128,000 D $0 9,569,714 I See footnote(2)
Common Stock, $0.01 par value per share 16,813,323 I Control Group(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. The Reporting Person does not directly own any shares of Issuer common stock.
2. The Reporting Person and the Reporting Person's wife, Gloria E. Gebbia, jointly own the John J & Gloria E Gebbia TTEESS UAD 12/8/94 ("Gebbia Living Trust"). The Gebbia Living Trust gifted 128,000 shares of Issuer common stock to family members and subsequent transactions, resulted in a net decrease of 128,000 shares of issuer common stock to the Reporting Person's indirect ownership. The Reporting Person indirectly owns 9,569,714 shares of Issuer common stock owned by the Gebbia Living Trust.
3. The Reporting Person is part of a control group consisting of family members of the Reporting Person. The Gebbia Living Trust, a member of the control group, gifted 128,000 shares of issuer common stock to family members included and not included within the control group, and subsequent transactions resulted in a net decrease of 128,000 shares of issuer common stock to the control group. 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/ John J. Gebbia 11/24/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did SIEB's John J. Gebbia report on this Form 4?

The filing reports that the Gebbia Living Trust, jointly owned by John J. Gebbia and his wife, gifted 128,000 shares of Siebert Financial common stock on 11/20/2025, recorded at a price of $0 per share with transaction code "G" for a gift.

How many SIEB shares does John J. Gebbia indirectly own after the reported transaction?

Following the reported gift and related transactions, John J. Gebbia indirectly owns 9,569,714 shares of Siebert Financial common stock through the Gebbia Living Trust.

Does John J. Gebbia directly own any Siebert Financial (SIEB) common stock?

No. The filing states that the reporting person does not directly own any shares of Siebert Financial common stock; his reported holdings are indirect through the Gebbia Living Trust and a family control group.

What is the relationship between John J. Gebbia and Siebert Financial Corp. (SIEB)?

John J. Gebbia is identified as a Director, CEO, 10% Owner, and a member of a control group of family members with respect to Siebert Financial Corp.

What is the control group share position mentioned for SIEB in this Form 4?

The report shows 16,813,323 shares of Siebert Financial common stock as indirectly owned by a family control group. Gebbia disclaims beneficial ownership of these shares except to the extent of his pecuniary interest.

Who owns the Gebbia Living Trust that holds Siebert Financial (SIEB) shares?

The Gebbia Living Trust is jointly owned by John J. Gebbia and his wife, Gloria E. Gebbia. The trust holds Siebert Financial common stock reported as part of Gebbia's indirect ownership.

What caused the 128,000-share decrease in John J. Gebbia's indirect ownership of SIEB?

The filing explains that the Gebbia Living Trust gifted 128,000 shares of Siebert common stock to family members, and subsequent transactions produced a net decrease of 128,000 shares in Gebbia's indirect ownership.