Current Report Filing (8-k)
June 15 2018 - 3:07PM
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): June 15, 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
5.07 Submission of Matters to a Vote of Security Holders.
Siebert
Financial Corp. (the “Company”) held its Annual Meeting of Shareholders (the “2018 Annual Meeting”) on
June 15, 2018. At the 2018 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 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 stockholders
to be held in 2019 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
|
|
|
|
|
|
|
|
|
|
|
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Gloria E. Gebbia
|
|
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23,796,251
|
|
|
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23,482
|
|
|
|
—
|
|
Charles A. Zabatta
|
|
|
23,795,351
|
|
|
|
24,382
|
|
|
|
—
|
|
Francis V. Cuttita
|
|
|
23,794,551
|
|
|
|
25,182
|
|
|
|
—
|
|
Andrew H. Reich
|
|
|
23,795,651
|
|
|
|
24,082
|
|
|
|
—
|
|
Jerry M. Schneider
|
|
|
23,795,551
|
|
|
|
24,182
|
|
|
|
—
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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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: June 15, 2018
|
By:
|
/s/ Andrew H. Reich
|
|
|
Andrew H. Reich
|
|
|
EVP, Chief Operating Officer,
Chief Financial Officer and Secretary
|
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