Siebert Financial group gains 69,360 shares by gift

The reported figures distinguish the jointly owned trust position from shares listed for the wider family control group.

Rhea-AI Filing Summary

Siebert Financial Corp (SIEB) reported shareholdings associated with CEO, director and member of a 10% owner group John J. Gebbia as of September 28, 2026. Gebbia says he does not directly own common shares; he and his spouse, Gloria E. Gebbia, jointly own the Gebbia Living Trust, which indirectly owns 9,794,994 shares.

A separate control-group entry lists 17,119,963 shares. An LLC owned by family members outside the control group gifted 69,360 shares to control-group family members, resulting in a net increase of 69,360 shares to the group. Gebbia disclaims beneficial ownership of those shares except to the extent of his pecuniary interest.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Gebbia John J

Role CEO

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

Holdings After Transaction: Common Stock, $0.01 par value per share — 0 shares (Direct); Common Stock, $0.01 par value per share — 9,794,994 shares (Indirect, See footnote); Common Stock, $0.01 par value per share — 17,119,963 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, Gloria E. Gebbia, jointly own the John J & Gloria E Gebbia TTEESS UAD 12/8/94 ("Gebbia Living Trust"). The Reporting Person indirectly owns 9,794,994 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. 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

Direct common shares: 0 shares Gebbia Living Trust common shares: 9,794,994 shares Control-group common shares: 17,119,963 shares +1 more

4 metrics

Direct common shares 0 shares John J. Gebbia; as of September 28, 2026

Gebbia Living Trust common shares 9,794,994 shares Indirectly owned; as of September 28, 2026

Control-group common shares 17,119,963 shares As of September 28, 2026

Shares gifted to control-group family members 69,360 shares Gifted by an LLC owned by family members outside the control group; net increase to the group

Key Terms

beneficial ownership, pecuniary interest, control group, indirectly owns

4 terms

beneficial ownership financial

"disclaims beneficial ownership of such shares"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

pecuniary interest financial

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

control group financial

"part of a control group consisting of family members"

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.

indirectly owns financial

"indirectly owns 9,794,994 shares"

FAQ

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

How many SIEB shares are held by John J. Gebbia's trust?

The Gebbia Living Trust indirectly owns 9,794,994 shares of Siebert Financial Corp common stock. John J. Gebbia and his spouse, Gloria E. Gebbia, jointly own the trust.

Does John J. Gebbia directly own SIEB shares?

No. Gebbia states that he does not directly own any shares of Siebert Financial Corp common stock.

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 John J

(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)

X	Director	X	10% Owner
X	Officer (give title below)	X	Other (specify below)
	CEO		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								0	D(1)
Common Stock, $0.01 par value per share								9,794,994	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 does not directly own any shares of Issuer common stock.

2. The Reporting Person and the Reporting Person's spouse, Gloria E. Gebbia, jointly own the John J & Gloria E Gebbia TTEESS UAD 12/8/94 ("Gebbia Living Trust"). The Reporting Person indirectly owns 9,794,994 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. 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/ John J. 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)