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Siebert Financial Corp. (SIEB) family control group adjusts share holdings

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

Rhea-AI Filing Summary

David Gebbia, a member of a 10% owner group of Siebert Financial Corp., filed a Form 4 updating his direct and indirect holdings of the company’s common stock. He directly owns 1,415,318 shares of common stock. On January 20, 2026, 13,000 shares were gifted to his minor family members at a price of $0, increasing his reported indirect ownership to 387,000 shares, and 13,000 shares were then transferred at $0 to a family-owned limited liability company, reducing that indirect position to 374,000 shares. He is also reported as indirectly owning 17,074,103 shares through a family control group, which includes 403,780 shares underlying a warrant that had previously been omitted. Gebbia disclaims beneficial ownership of the indirectly held and control group shares except to the extent of his pecuniary interest.

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Insider Gebbia David
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 — 387,000 shares (Indirect, See Footnote); Common Stock, $0.01 par value per share — 1,415,318 shares (Direct)
Footnotes (1)
  1. The Reporting Person owns 1,415,318 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 member 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 374,000 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 David
(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 1,415,318 D(1)
Common Stock, $0.01 par value per share 01/20/2026 G V 13,000 A $0 387,000 I See Footnote(2)
Common Stock, $0.01 par value per share 01/20/2026 J 13,000 D $0 374,000 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 1,415,318 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 member 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 374,000 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/ David 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 activity did David Gebbia report for SIEB on this Form 4?

The filing reports family-related gifts and transfers of 13,000 shares of Siebert Financial Corp. common stock on January 20, 2026, all at a price of $0 per share. These transactions affected his reported indirect ownership through family members and a family-owned limited liability company, rather than his direct personal account.

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

According to the filing, David Gebbia directly owns 1,415,318 shares of Siebert Financial Corp. common stock. Various family members included in his indirect ownership own 374,000 shares after the reported transactions, and a family control group is shown as indirectly holding 17,074,103 shares, all of which he disclaims beneficial ownership of except for his pecuniary interest.

What do the 13,000 share gift and transfer mean for Gebbias SIEB holdings?

The filing explains that 13,000 shares of Siebert common stock were gifted to Gebbias minor family members, creating a net increase of 13,000 shares in his reported indirect ownership. A family member then transferred 13,000 shares to a family-owned limited liability company, creating a net decrease of 13,000 shares in his reported indirect ownership through that entity. Both transactions were recorded at $0 per share.

What is the significance of the 403,780 SIEB shares mentioned in the control group footnote?

The filing states that indirect ownership by certain members of the family control group was previously underreported by 403,780 shares. These shares represent Siebert common stock underlying a warrant issued to BCW Securities LLC on May 22, 2023 that had been omitted from the members beneficial ownership. This correction is now reflected in the control groups 17,074,103 indirectly owned shares.

What does the 143,000 share change in the control group represent for SIEB?

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

Does David Gebbia claim full beneficial ownership of all indirectly held SIEB shares?

No. For the 374,000 indirectly held shares through family members and the 17,074,103 shares held by the family control group, the filing states that Gebbia disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest in them.