Siebert Financial: minor receives 17,340-share gift

Gebbia disclaims beneficial ownership of family and control-group shares except to the extent of his pecuniary interest.

Rhea-AI Filing Summary

Gebbia David reported acquisition or exercise transactions in this Form 4 filing. Siebert Financial Corp (SIEB) common shares were gifted to a minor family member of David Gebbia, a member of a 10% owner group: 17,340 shares on September 28, 2026, increasing Gebbia’s indirect ownership by 17,340 shares. His various family members hold 391,340 shares included in his indirect ownership, and Gebbia owns 1,415,318 shares directly. A limited liability company owned by family members outside the Control Group gifted an aggregate of 69,360 shares to Control Group family members; the Control Group holding is 17,119,963 shares. Gebbia disclaims beneficial ownership of the family and group shares except to the extent of his pecuniary interest.

Insider Trade Summary

17,340 shares gifted

Gift 3 txns

Insider Gebbia David

Role Insider

Type	Security	Shares	Price	Value
Gift	Common Stock, $0.01 par value per share F2	17,340	$0.00	$0.00
holding	Common Stock, $0.01 par value per share F1	--	--	--
holding	Common Stock, $0.01 par value per share F3	--	--	--

Holdings After Transaction: Common Stock, $0.01 par value per share — 391,340 shares (Indirect, See Footnote); Common Stock, $0.01 par value per share — 1,415,318 shares (Direct); Common Stock, $0.01 par value per share — 17,119,963 shares (Indirect, Control Group)

Footnotes (3)

1. F1. The Reporting Person owns 1,415,318 shares of Issuer common stock.
2. F2. The Reporting Person's minor family member was gifted 17,340 shares of Issuer common stock, resulting in a net increase of 17,340 shares of Issuer common stock to the Reporting Person's indirect ownership. The Reporting Person's various family members own 391,340 shares of Issuer common stock. These shares are included in the Reporting Person's indirect beneficial ownership holdings. 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.
3. F3. The Reporting Person is part of a control group consisting of family members of the Reporting Person. A limited liability company owned by various family members not in the control group gifted an aggregate of 69,360 shares of Issuer common stock to family members of the control group, resulting in a net increase of 69,360 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.

Key Figures

Shares gifted: 17,340 shares Family-member shares: 391,340 shares Direct shares: 1,415,318 shares +2 more

5 metrics

Shares gifted 17,340 shares Gift to a minor family member on September 28, 2026

Family-member shares 391,340 shares Included in Gebbia’s indirect ownership

Direct shares 1,415,318 shares Shares owned directly by David Gebbia

Control Group shares 17,119,963 shares Shares held by the Control Group

Shares gifted to Control Group family members 69,360 shares Aggregate gift by an LLC owned by family members outside the Control Group

Key Terms

indirect beneficial ownership, pecuniary interest, Control Group

3 terms

indirect beneficial ownership regulatory

"included in the Reporting Person's indirect beneficial ownership holdings"

pecuniary interest regulatory

"except to the extent of the Reporting Person's pecuniary interest therein"

Control Group regulatory

"resulting in a net increase of 69,360 shares of Issuer common stock to the control group"

A control group is a set of study subjects that does not receive the treatment or change being tested, providing a baseline to show what happens without the intervention. For investors, control groups matter because they help determine whether reported benefits are real or just coincidence or outside influences—think of testing a new recipe by comparing it against the original to see if the change truly improves the result.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many SIEB shares did David Gebbia’s minor family member receive?

A minor family member received a gift of 17,340 SIEB common shares on September 28, 2026. The gift increased Gebbia’s indirect ownership by 17,340 shares.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/30/2026 - 03:00 PM Accepted by SEC EDGAR 09/30/2026 - 03:00 PM Learn about SEC filing dates

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 David

(Last) (First) (Middle)

C/O SIEBERT FINANCIAL CORP.

653 COLLINS AVENUE

(Street)

MIAMI BEACH FLORIDA 33139

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
SIEBERT FINANCIAL CORP [ SIEB ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
	Officer (give title below)	X	Other (specify below)
			Member of 10% owner group

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/28/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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								1,415,318	D(1)
Common Stock, $0.01 par value per share	09/28/2026		G	V	17,340	A	$0	391,340	I	See Footnote(2)
Common Stock, $0.01 par value per share								17,119,963	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 owns 1,415,318 shares of Issuer common stock.

2. The Reporting Person's minor family member was gifted 17,340 shares of Issuer common stock, resulting in a net increase of 17,340 shares of Issuer common stock to the Reporting Person's indirect ownership. The Reporting Person's various family members own 391,340 shares of Issuer common stock. These shares are included in the Reporting Person's indirect beneficial ownership holdings. 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.

3. The Reporting Person is part of a control group consisting of family members of the Reporting Person. A limited liability company owned by various family members not in the control group gifted an aggregate of 69,360 shares of Issuer common stock to family members of the control group, resulting in a net increase of 69,360 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/ David Gebbia	09/30/2026
	** 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.
* Form 4: SEC 1474 (03-26)