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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): November 1, 2024

 

Siebert Financial Corp.

(Exact name of registrant as specified in its charter)

 

New York   0-5703   11-1796714
(State or other jurisdiction
of incorporation)		   (Commission File Number)   (IRS Employer
Identification Number)

 

653 Collins Avenue, Miami Beach, FL 33139
(Address of principal executive offices) (Zip Code)

 

Registrant’s telephone number, including area code: (310) 385-1861

 

 

 

(Former name or former address, if changed since last report.)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

☐Written communications pursuant to Rule 425 under the Securities Act

 

☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act

 

☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act

 

☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

   Trading Symbol(s)   Name of each exchange on which registered
Common Stock - $0.01 par value   SIEB   The Nasdaq Capital Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company ☐

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

 

 

 

Item 5.07 Submission of Matters to a Vote of Security Holders.

 

Siebert Financial Corp. (the “Company”) held its Annual Meeting of Shareholders (the “2024 Annual Meeting”) on November 1, 2024. At the 2024 Annual Meeting, the following proposals were submitted by the Company’s Board of Directors to a vote of the Company’s shareholders and the ratification of the appointment of the Company’s independent registered public accounting firm. The final results of the voting on the proposals are noted below.

 

Proposal No. 1 - The election of the persons named below as directors to hold office until the Company’s annual meeting of shareholders to be held in 2025 and until his or her successor is duly elected and qualified or until his or her earlier resignation or removal.

 

Name  For
Nominee		   Authority
Withheld From
Nominee		   Broker-Non
Votes		 
Gloria E. Gebbia   32,899,284    149,633           — 
John J. Gebbia   32,914,029    134,888    — 
Charles A. Zabatta   32,822,127    226,790    — 
Francis V. Cuttita   32,799,284    249,633    — 
Andrew H. Reich   32,899,776    149,141    — 
Jerry M. Schneider   32,892,765    156,152    — 
Hocheol Shin   32,606,308    442,609    — 

 

Proposal No. 2 - The ratification of the appointment of Crowe LLP (“Crowe) as the Company’s independent registered public accounting firm for fiscal 2024.

 

For Proposal No. 2   Against Proposal No. 2   Authority
Withheld From
Proposal No. 2		   Broker-Non Votes 
 37,074,068    279,397    45,451           — 

 

1 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned thereunto duly authorized.

 

Dated: November 5, 2024 SIEBERT FINANCIAL CORP.
     
  By /s/ Andrew H. Reich
   

Andrew H. Reich

Executive Vice President, Chief Operating Officer,
Chief Financial Officer, and Secretary

(Principal financial and accounting officer)

 

 

2

 

 

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Nov. 01, 2024
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Entity File Number 0-5703
Entity Registrant Name Siebert Financial Corp.
Entity Central Index Key 0000065596
Entity Tax Identification Number 11-1796714
Entity Incorporation, State or Country Code NY
Entity Address, Address Line One 653 Collins Avenue
Entity Address, City or Town Miami Beach
Entity Address, State or Province FL
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Title of 12(b) Security Common Stock - $0.01 par value
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