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

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