Washington, D.C. 20549






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



(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)
(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.





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