Notification That Annual Report Will Be Submitted Late (nt 10-k)
March 31 2017 - 2:49PM
Edgar (US Regulatory)
|
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB
APPROVAL
|
|
OMB
Number: 3235-0058
Expires: October 31, 2018
Estimated average burden
hours per response........2.50
|
|
|
|
|
FORM
12b-25
|
SEC
FILE NUMBER
000-05703
|
|
NOTIFICATION
OF LATE FILING
|
CUSIP
NUMBER
US8261761097
|
NOTIFICATION
OF LATE FILING
(Check One)
:
x
Form
10-K
o
Form 20-F
o
Form 11-K
o
Form 10-Q
o
Form 10-D
o
Form N-SAR
o
Form N-CSR
For
Period Ended:
December 31, 2016
o
Transition Report on Form 10-K
o
Transition Report on Form 20-F
o
Transition Report on Form 11-K
o
Transition Report on Form 10-Q
o
Transition Report on Form N-SAR
For
the Transition Period Ended: ________________________
Nothing in this
form shall be construed to imply that the Commission has verified any information contained herein.
If the notification relates to a
portion of the filing checked above, identify the item(s) to which the notification relates:
PART I -- REGISTRANT INFORMATION
Siebert Financial Corp.
Full Name of Registrant
Former Name if Applicable
120 Wall Street
Address of Principal Executive Office
(Street and Number)
New York, NY 10005
City, State and Zip Code
PART II -- RULES 12b-25(b) AND
(c)
If the subject report could not be
filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should
be completed. (Check box if appropriate.)
|
(a)
|
The
reasons described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;
|
x
|
(b)
|
The
subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-SAR or
Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the
prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form
10-D, or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date;
and
|
|
(c)
|
The
accountant's statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.
|
PART III-- NARRATIVE
State below in reasonable detail
why the Form 10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR, N-CSR or the transition report portion thereof, could not be filed within the
prescribed time period. (Attach extra sheets if needed.)
As reported in a Form 8-K filed by
the registrant on December 21, 2016, on December 16, 2016 the registrant completed a transaction which resulted in a change of
control and the appointment of a new board of directors, audit committee and a new executive officer. As a result of these changes,
the compilation, dissemination and review of the information required to be presented in the Form 10-K for the period ending December
31, 2016 could not be completed and filed by the registrant without undue hardship and expense to the registrant. The registrant
anticipates that it will file its Form 10-K for the period ended December 31, 2016 within the "grace" period provided
by Securities Exchange Act Rule 12b-25.
PART IV -- OTHER INFORMATION
(1) Name and telephone number of
person to contact in regard to this notification
Andrew
H. Reich
|
|
212
|
|
644-2400
|
(Name)
|
|
(Area
Code)
|
|
(Telephone
Number)
|
(2) Have all other periodic reports
required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940
during the preceding 12 months or for such shorter period that the registrant was required to file such report(s) been filed?
If the answer is no, identify report(s).
x
Yes
o
No
(3) Is it anticipated that any significant
change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements
to be included in the subject report or portion thereof?
x
Yes
o
No
If so: attach an explanation of the
anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons why a reasonable estimate of the
results cannot be made.
Siebert Financial Corp.
(Name of Registrant
as Specified in Charter)
Has caused this notification to be
signed on its behalf by the undersigned thereunto duly authorized.
Date
|
March 31, 2017
|
|
By
|
/s/ Andrew H. Reich
|
|
|
|
Andrew H. Reich
|
|
|
|
Executive Vice President,
Chief Operating Officer,
Chief Financial Officer,
Secretary and
Director
|
Siebert Financial (NASDAQ:SIEB)
Historical Stock Chart
From Aug 2024 to Sep 2024
Siebert Financial (NASDAQ:SIEB)
Historical Stock Chart
From Sep 2023 to Sep 2024