Siebert CEO reports gift of 6,000 shares

Siebert Financial Corp’s CEO and director, who is also part of a 10% owner group, reported a bona fide gift of 6,000 shares of common stock held indirectly.

Rhea-AI Filing Summary

Siebert Financial Corp’s CEO and director, who is also part of a 10% owner group, reported a bona fide gift of 6,000 shares of common stock held indirectly. The shares were gifted from the Gebbia Living Trust to individuals, reducing the reporting person’s indirect holdings in that trust to 9,827,494 shares.

The filing also notes the reporting person is part of a family control group that collectively holds 17,068,103 shares after the gift, while the reporting person disclaims beneficial ownership of those control group shares except for any pecuniary interest. This was a non-market, no‑price gift transfer, not an open‑market sale.

Insider Trade Summary

6,000 shares gifted

Gift 3 txns

Insider Gebbia John J

Role CEO

Type	Security	Shares	Price	Value
Gift	Common Stock, $0.01 par value per share	6,000	$0.00	$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 — 9,827,494 shares (Indirect, See footnote); Common Stock, $0.01 par value per share — 0 shares (Direct); Common Stock, $0.01 par value per share — 17,068,103 shares (Indirect, Control Group)

Footnotes (3)

1. F1. The Reporting Person does not directly own any shares of Issuer common stock.
2. F2. The Reporting Person and the Reporting Person's spouse, John J. Gebbia, jointly own the John J & Gloria E Gebbia TTEESS UAD 12/8/94 ("Gebbia Living Trust"). The Gebbia Living Trust gifted 6,000 shares of Issuer common stock to individuals which resulted in a net decrease of 6,000 shares of issuer common stock to the Reporting Person's indirect ownership. The Reporting Person indirectly owns 9,827,494 shares of Issuer common stock owned by the Gebbia Living Trust.
3. F3. The Reporting Person is part of a control group consisting of family members of the Reporting Person. Members of the control group gifted 6,000 shares of issuer common stock to individuals not included within the control group, which resulted in a net decrease of 6,000 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.

FAQ

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

What insider transaction did SIEB report in this Form 4?

The Form 4 reports a bona fide gift of 6,000 shares of Siebert Financial common stock by an insider. The shares were transferred from an indirectly held position, reducing that indirect ownership while involving no open-market buying or selling activity.

How many SIEB shares were gifted and at what price?

The insider reported gifting 6,000 shares of Siebert Financial common stock at a stated price of $0.00 per share. This reflects a non-cash, bona fide gift transfer to individuals rather than a sale for proceeds in the public market.

What are the insider’s SIEB holdings after the reported gift?

After the gift, the reporting person indirectly owns 9,827,494 shares of Siebert Financial common stock through the Gebbia Living Trust. The filing also shows that a related family control group collectively holds 17,068,103 shares of the company’s common stock following the transaction.

Was the SIEB insider transaction an open-market sale or purchase?

No, the transaction was not an open-market trade. It is coded as a bona fide gift, meaning 6,000 shares were transferred without consideration. As a result, there was no market buying or selling and no transaction price beyond the $0.00 gift designation.

Which entities are involved in the SIEB insider’s share ownership?

The filing identifies the Gebbia Living Trust as holding 9,827,494 shares indirectly for the reporting person after the gift. It also notes a broader family control group that holds 17,068,103 shares, with the reporting person disclaiming beneficial ownership beyond any pecuniary interest.

Does the SIEB Form 4 mention a Rule 10b5-1 trading plan?

The Form 4 footnotes describe the transaction as a bona fide gift by the Gebbia Living Trust and the family control group. They do not reference any Rule 10b5-1 trading plan or other pre-arranged trading program in connection with this insider transaction.

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

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Accepted by SEC EDGAR 03/12/2026 - 06:31 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 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)
03/09/2026

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								0	D(1)
Common Stock, $0.01 par value per share	03/09/2026		G		6,000	D	$0	9,827,494	I	See footnote(2)
Common Stock, $0.01 par value per share								17,068,103	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 spouse, John J. Gebbia, jointly own the John J & Gloria E Gebbia TTEESS UAD 12/8/94 ("Gebbia Living Trust"). The Gebbia Living Trust gifted 6,000 shares of Issuer common stock to individuals which resulted in a net decrease of 6,000 shares of issuer common stock to the Reporting Person's indirect ownership. The Reporting Person indirectly owns 9,827,494 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. Members of the control group gifted 6,000 shares of issuer common stock to individuals not included within the control group, which resulted in a net decrease of 6,000 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	03/12/2026
	** 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.