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SIEB Form 4 shows Gebbia family control group at 16.8M shares

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

Rhea-AI Filing Summary

Siebert Financial Corp. (SIEB) insider David Gebbia reported changes in his beneficial ownership of the company’s common stock. He directly owns 1,415,318 shares of Siebert common stock. The filing shows family-related transfers of 13,000 shares, recorded as gifts and movements among family accounts and a family-owned limited liability company, all at a reported price of $0 per share.

After these transactions, family members included in Gebbia’s indirect holdings own 374,000 shares of Siebert common stock, and a broader family control group beneficially owns 16,813,323 shares. The filing notes that Gebbia disclaims beneficial ownership of certain family and control-group shares except to the extent of his economic 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 member was 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 Gebbia Living Trust, a member of the control group, gifted 128,000 shares of Issuer common stock to family members included and not included in 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 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)
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 1,415,318 D(1)
Common Stock, $0.01 par value per share 11/20/2025 11/20/2025 G V 13,000 A $0 387,000 I See Footnote(2)
Common Stock, $0.01 par value per share 11/20/2025 11/20/2025 J V 13,000 D $0 374,000 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 owns 1,415,318 shares of Issuer common stock.
2. The Reporting Person's minor family member was 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 Gebbia Living Trust, a member of the control group, gifted 128,000 shares of Issuer common stock to family members included and not included in 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/ David 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 did David Gebbia report in this Form 4 for SIEB?

He reported changes in his beneficial ownership of Siebert Financial Corp. common stock, including family-related gifts and transfers of 13,000 shares at $0 per share.

How many SIEB shares does David Gebbia directly own?

David Gebbia directly owns 1,415,318 shares of Siebert Financial Corp. common stock, as stated in the filing.

What is David Gebbias indirect ownership in SIEB after these transactions?

Family members included in his indirect ownership hold 374,000 shares of Siebert common stock, with Gebbia disclaiming beneficial ownership except for his pecuniary interest.

What is the size of the Siebert Financial Corp. control group mentioned?

The filing states that a family control group related to David Gebbia beneficially owns 16,813,323 shares of Siebert common stock.

Were the 13,000 SIEB shares transferred for cash consideration?

No. The reported 13,000-share gift and subsequent transfer among family-related entities occurred at a stated price of $0 per share.

What role does David Gebbia have in relation to Siebert Financial Corp.?

He is identified as an other reporting person and a member of a control group of family members, but not as a listed director or officer in this excerpt.

Does David Gebbia claim full ownership of all family and control-group SIEB shares?

No. He disclaims beneficial ownership of certain family and control-group shares, except to the extent of his pecuniary interest in them.