Welcome to our dedicated page for Siebert Finl SEC filings (Ticker: SIEB), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Siebert Financial Corp. filings document a public diversified financial-services company with broker-dealer, advisory, custody, clearing, securities lending, principal trading and capital markets activities. Periodic and current reports cover operating results, revenue categories, business-line investments, capital structure and material agreements involving the company's financial-services subsidiaries.
Recent disclosures include proxy materials and 8-K reports on annual meeting voting, director elections, equity incentive plan matters, governance procedures and shareholder approvals. Other filings describe the acquisition of remaining membership interests in RISE Financial Services, making it a wholly owned subsidiary, and equity offering arrangements under a shelf registration statement involving the company's common stock.
Siebert Financial director Gloria E. Gebbia, a more than 10% owner, reports changes and clarifications to her indirect holdings of Siebert Financial Corp. common stock. A family trust she jointly owns with her husband, the Gebbia Living Trust, gifted 140,000 shares to family members, resulting in Gebbia’s indirect ownership through that trust totaling 9,833,494 shares of common stock. A separate family control group, of which she is a member, now has indirect holdings of 17,074,103 shares after net gifts of 143,000 shares, and she disclaims beneficial ownership of those control group shares except for her pecuniary interest. The filing also notes that her indirect ownership had previously omitted 403,780 shares underlying a warrant issued to BCW Securities LLC, which are now included in her reported beneficial ownership.
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.
Siebert Financial Corp. insider filing shows changes in indirect ownership following family share gifts and a prior underreporting correction. The reporting person, identified as a director, CEO, 10% owner and member of a 10% owner group of Siebert Financial Corp. (SIEB), reports no directly owned common shares. A trust jointly owned with the reporting person’s spouse, the Gebbia Living Trust, gifted 140,000 shares of common stock to family members on January 20, 2026, reducing the reporting person’s indirect holdings through that trust to 9,833,494 shares. The filing also notes that the reporting person’s indirect ownership had previously been underreported by 403,780 shares tied to common stock underlying a warrant issued to BCW Securities LLC, which are now included. A family control group associated with the reporting person holds 17,074,103 shares in total after net gifts of 143,000 shares, with the reporting person disclaiming beneficial ownership of those control group shares except to the extent of any pecuniary interest.
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.
Siebert Financial Corp. insider ownership changes were reported by a single reporting person on a Form 4. The individual directly owns 1,924,891 shares of Siebert Financial Corp. common stock. Various family-related transactions on 11/20/2025 affected the reporting person’s indirect holdings and those of a broader family control group.
The report notes that minor family members were gifted 26,000 shares, increasing the reporting person’s indirect ownership, and that 26,000 shares were then transferred by family members to a family-owned limited liability company, decreasing that indirect ownership by the same amount. Family members included in the reporting person’s indirect ownership hold 490,000 shares of common stock, and a family control group collectively holds 16,813,323 shares. The reporting person disclaims beneficial ownership of these family and control group shares except to the extent of any pecuniary interest.
Siebert Financial Corp. (SIEB) reported an insider equity change by Andrew H. Reich, who serves as director, EVP, COO, CFO and Secretary. On 11/20/2025, he gifted 20,000 shares of Siebert common stock to an adult family member, a transfer recorded at a price of $0 because it was a gift. Following this transaction, he directly owns 589,574 shares of Siebert common stock.
The filing also notes that he holds 28,000 shares for the benefit of his minor children and disclaims beneficial ownership of those shares except to the extent of his pecuniary interest. No derivative securities were reported in this form.
Siebert Financial Corp. (SIEB) director and 10% owner Gloria E. Gebbia reported an indirect transfer of company stock within her family. A family trust, the John J & Gloria E Gebbia TTEESS UAD 12/8/94, gifted 128,000 shares of Siebert common stock at a reported price of $0, reflecting a non-cash transfer. After these transactions, Gebbia reports no direct ownership of Siebert shares and an indirect beneficial stake of 9,569,714 shares held through the Gebbia Living Trust. She is also part of a family control group that indirectly holds 16,813,323 shares, while disclaiming beneficial ownership beyond her pecuniary interest.
Siebert Financial Corp. (SIEB) insider John J. Gebbia, a director, CEO, 10% owner and member of a control group, reported an indirect transfer of common stock. On 11/20/2025, a trust he jointly owns with his wife, the Gebbia Living Trust, gifted 128,000 shares of Siebert common stock, recorded at a price of $0 per share with transaction code "G" for a gift. After these transactions, Gebbia indirectly owns 9,569,714 shares of Siebert common stock through the Gebbia Living Trust and is also listed with 16,813,323 shares as part of a family control group. He states that he does not directly own any Siebert common shares and disclaims beneficial ownership of control group shares except for his pecuniary interest.
Siebert Financial Corp. (SIEB) insider Richard Gebbia filed a Form 4 reporting family-related transfers of common stock and confirming his current holdings. He directly owns 3,078,127 shares of Siebert common stock. A minor family member was gifted 13,000 shares, and that same amount was later transferred by the family member to a family-owned LLC, both at a price of $0, leaving Gebbia with 561,273 shares reported as indirectly owned through various family members. Gebbia is also part of a family control group that collectively reports 16,813,323 shares as indirectly owned, with earlier gifts from the Gebbia Living Trust causing a 128,000-share net decrease to the control group. Gebbia disclaims beneficial ownership of the indirectly held family and control-group shares except to the extent of his pecuniary interest.
Siebert Financial Corp. reported the results of its 2025 Annual Meeting of Shareholders held on November 18, 2025. Shareholders elected seven directors to serve until the 2026 annual meeting, with each nominee receiving more than 34.7 million votes in favor.
Investors also approved an amendment and restatement of the 2021 Equity Incentive Plan, increasing the number of common shares available and reserved for issuance to 5,000,000. In addition, shareholders gave advisory approval to the Company’s named executive compensation and ratified the appointment of Crowe LLP as independent registered public accounting firm for fiscal 2025.