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): August 21, 2020
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, NY
|
10005
|
|
(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):
☐ 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 “2020 Annual Meeting”) on August 21, 2020. At the 2020 Annual Meeting, the following proposal was submitted by the
Company’s Board of Directors to a vote of the Company’s shareholders and the final results of the voting on the proposal is 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 2021 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
|
|
|
27,306,827
|
|
|
|
307,332
|
|
|
|
—
|
|
|
John J. Gebbia
|
|
|
27,306,823
|
|
|
|
307,336
|
|
|
|
|
|
|
Charles A. Zabatta
|
|
|
27,155,295
|
|
|
|
458,864
|
|
|
|
—
|
|
|
Francis V. Cuttita
|
|
|
27,130,701
|
|
|
|
483,458
|
|
|
|
—
|
|
|
Andrew H. Reich
|
|
|
27,300,604
|
|
|
|
313,555
|
|
|
|
—
|
|
|
Jerry M. Schneider
|
|
|
27,523,760
|
|
|
|
90,399
|
|
|
|
—
|
|
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: August 25, 2020
|
|
By:
|
/s/ Andrew H. Reich
|
|
|
|
|
Andrew H. Reich
|
|
|
|
|
Executive Vice President, Chief Operating Officer, Chief
Financial Officer and Secretary
|