Current Report Filing (8-k)
July 16 2018 - 1:28PM
Edgar (US Regulatory)
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): July 16, 2018
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)
|
|
|
|
120
Wall Street, New York, New York
(Address of principal executive offices)
|
10005
(Zip Code)
|
Registrant’s
telephone number, including area code:
(212) 644-2400
(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):
o
Written
communications pursuant to Rule 425 under the Securities Act
o
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act
o
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act
o
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act
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
o
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.
o
Item
8.01 Other Events.
Siebert Financial Corp. (the "Company") is providing the following information to update the investing public regarding the Company's total of restricted and unrestricted shares. There are currently 27,157,188 shares of the Company's common stock outstanding. 20,699,870 are control/restricted shares. The remaining 6,470,081 shares (23.8% of the total outstanding) of the Company's common stock are without restrictions.
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 hereunto duly authorized.
Dated: July 16,
2018
|
By:
|
/s/ Andrew H. Reich
|
|
|
Andrew H. Reich
|
|
|
EVP, Chief Operating Officer,
Chief Financial Officer and Secretary
|
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