8-K - SIEB - Equibles

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 <br><br>of incorporation)	(Commission File Number)	(IRS Employer<br><br> Identification Number)
653 Collins Avenue, Miami Beach, FL	33139
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(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<br>communications pursuant to Rule 425 under the Securities Act
☐	Soliciting<br>material pursuant to Rule 14a-12 under the Exchange Act
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☐	Pre-commencement<br>communications pursuant to Rule 14d-2(b) under the Exchange Act
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☐	Pre-commencement<br>communications pursuant to Rule 13e-4(c) under the Exchange Act
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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 Mattersto 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
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 <br> Withheld From<br> Proposal No. 2		Broker-Non Votes
	37,074,068		279,397		45,451		—

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<br><br> <br>Executive Vice President, Chief<br> Operating Officer,<br><br> Chief Financial Officer, and Secretary<br><br> <br>(Principal financial and accounting<br> officer)