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Family control group in Siebert (NASDAQ: SIEB) updates large share holdings

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Siebert Financial Corp. insider Richard Gebbia, identified as a member of a 10% owner group, reported family-related changes in indirect ownership of the company’s common stock. He directly owns 3,078,127 shares of common stock.

On January 20, 2026, minor family members associated with him were gifted 13,000 shares, increasing his reported indirect ownership, and those same 13,000 shares were then transferred by family members to a limited liability company owned by various family members, decreasing his indirect ownership by the same amount. Family members included in his indirect ownership collectively hold 561,273 shares, for which he disclaims beneficial ownership except for his pecuniary interest.

The filing also notes an indirect holding of 17,074,103 shares for a family control group. Within this group, 403,780 shares underlying a warrant issued by a control-group member to BCW Securities LLC had been previously underreported, and there was a net decrease of 143,000 shares from gifts by control-group members. Gebbia disclaims beneficial ownership of these control-group shares except to the extent of any pecuniary interest.

Positive

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Negative

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Insider Gebbia Richard
Role Insider
Type Security Shares Price Value
Gift Common Stock, $0.01 par value per share 13,000 $0.00 --
Other Common Stock, $0.01 par value per share 13,000 $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 — 574,273 shares (Indirect, See Footnote); Common Stock, $0.01 par value per share — 3,078,127 shares (Direct)
Footnotes (1)
  1. The Reporting Person owns 3,078,127 shares of Issuer common stock. The Reporting Person's minor family members were gifted 13,000 shares of Issuer common stock, resulting in a net increase of 13,000 shares of Issuer common stock to the Reporting Person's indirect ownership. The Reporting Person's family members transferred 13,000 shares of Issuer common stock to a limited liability company owned by various family members, resulting in a net decrease of 13,000 shares of Issuer common stock to the Reporting Person's indirect ownership. Various family members included in the Reporting Person's indirect ownership own 561,273 shares of Issuer common stock. 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 part of a control group consisting of family members of the Reporting Person. The indirect ownership of Issuer common stock by certain members of the control group was underreported by 403,780 shares. These shares represent shares of Issuer common stock underlying a warrant issued by a member of the control group to BCW Securities LLC, a Delaware limited liability company on May 22, 2023, which were previously omitted from the member's beneficial 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 part of a control group consisting of family members of the Reporting Person. Members of the control group gifted 143,000 shares of issuer common stock to family members and others included and not included within the control group, and subsequent transactions resulted in a net decrease of 143,000 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.
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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 Richard
(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)
Director 10% Owner
Officer (give title below) X Other (specify below)
Member of 10% owner group
3. Date of Earliest Transaction (Month/Day/Year)
01/20/2026
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 3,078,127 D(1)
Common Stock, $0.01 par value per share 01/20/2026 G V 13,000 A $0 574,273 I See Footnote(2)
Common Stock, $0.01 par value per share 01/20/2026 J 13,000 D $0 561,273 I See Footnote(2)
Common Stock, $0.01 par value per share 17,074,103(3) I Control Group(4)
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 3,078,127 shares of Issuer common stock.
2. The Reporting Person's minor family members were gifted 13,000 shares of Issuer common stock, resulting in a net increase of 13,000 shares of Issuer common stock to the Reporting Person's indirect ownership. The Reporting Person's family members transferred 13,000 shares of Issuer common stock to a limited liability company owned by various family members, resulting in a net decrease of 13,000 shares of Issuer common stock to the Reporting Person's indirect ownership. Various family members included in the Reporting Person's indirect ownership own 561,273 shares of Issuer common stock. 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. The indirect ownership of Issuer common stock by certain members of the control group was underreported by 403,780 shares. These shares represent shares of Issuer common stock underlying a warrant issued by a member of the control group to BCW Securities LLC, a Delaware limited liability company on May 22, 2023, which were previously omitted from the member's beneficial 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.
4. The Reporting Person is part of a control group consisting of family members of the Reporting Person. Members of the control group gifted 143,000 shares of issuer common stock to family members and others included and not included within the control group, and subsequent transactions resulted in a net decrease of 143,000 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/ Richard Gebbia 01/22/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider position does Richard Gebbia report in SIEB?

Richard Gebbia reports as a member of a 10% owner group of Siebert Financial Corp. (SIEB). He is not listed as a director or officer in this filing.

How many SIEB shares does Richard Gebbia own directly and indirectly?

The filing states that Richard Gebbia directly owns 3,078,127 shares of Siebert Financial common stock. Family members included in his indirect ownership hold 561,273 shares, and a broader family control group is reported with 17,074,103 shares, for which he disclaims beneficial ownership except to the extent of his pecuniary interest.

What transactions involving 13,000 SIEB shares are reported on January 20, 2026?

On January 20, 2026, minor family members associated with Richard Gebbia were gifted 13,000 shares of Siebert Financial common stock at a price of $0 per share, increasing his reported indirect ownership. Those 13,000 shares were then transferred by family members to a family-owned limited liability company, reducing his indirect ownership by the same amount.

What is the significance of the 561,273 SIEB shares mentioned in the Form 4?

The filing explains that various family members included in Richard Gebbia’s indirect ownership collectively hold 561,273 shares of Siebert Financial common stock. Gebbia disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in them.

Why does the SIEB control group show 17,074,103 indirectly owned shares?

Richard Gebbia is reported as part of a family control group that collectively has 17,074,103 shares of Siebert Financial common stock reported as indirectly owned. The filing notes that these are control group holdings, and Gebbia disclaims beneficial ownership of these shares except to the extent of any pecuniary interest.

What change is reported from gifts by the SIEB control group?

The filing notes that members of the family control group gifted 143,000 shares of Siebert Financial common stock to family members and others, with subsequent transactions resulting in a net decrease of 143,000 shares for the control group. Richard Gebbia disclaims beneficial ownership of these shares except to the extent of his pecuniary interest.