Entry into a Material Definitive Agreement On October 28, 2025, Siebert Financial Corp. (the “Company”) entered into Membership Interest Purchase Agreements with certain employees, directors and affiliates of the Company and RISE Financial Services, LLC (“RISE”), a subsidiary of the Company, pursuant to which the Company purchased the remaining 32% of the limited liability membership interests in RISE that the Company did not previously own, including 24% that were owned by Gloria E. Gebbia,…

Entry Into a Material Definitive Agreement. On June 27, 2025, Siebert Financial Corp. (the “Company”) entered into a Sales Agreement (the “Sales Agreement”) with Muriel Siebert & Co., LLC (“MSCO”), and Ladenburg Thalmann & Co. Inc (“Ladenburg” and together with MSCO, the “Agents”), pursuant to which the Company may offer and sell, from time to time through or to the Agents, as sales agent or principal, shares of the Company’s common stock, par value $0.01 per share (the “Shares”), having an a…

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant On November 22, 2024, Muriel Siebert & Co., LLC (“MSCO”), a fully owned subsidiary of Siebert Financial Corp. (the “Company”) entered into a Credit Agreement (the “BMO Credit Agreement”) with BMO Bank N.A. (the “Lender”), a national banking association. The BMO Credit Agreement provides for a revolving credit facility of up to $20,000,000. The Company may use any borrowings under…

Entry into a Material Definitive Agreement The information required by this

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant On August 15, 2024, Siebert Financial Corp. (the “Company”) entered into a Loan and Security Agreement (the “Credit Agreement”) with East West Bank (the “Lender”), a California banking corporation, dated as of July 29, 2024. The Credit Agreement provides for a revolving credit facility of up to $20,000,000. The initial term of the Credit Agreement is two years. The Company may use…

Entry into a Material Definitive Agreement The information required by this

Changes in Registrant’s Certifying Accountant. As previously reported on a Current Report on Form 8-K filed by Siebert Financial Corp. (the “Company”) o n May 16, 2024, Baker Tilly US, LLP resigned as the Company’s independent registered public accounting firm. In connection with the foregoing, on July 24, 2024, the Company, through and with the approval of the audit committee of its board of directors, approved the appointment of Crowe LLP (“Crowe”) as the Company’s independent registered pu…

Changes in Registrant’s Certifying Accountant On May 13, 2024, Siebert Financial Corp. (the “Company”) finalized discussions with its independent registered public accounting firm, Baker Tilly US, LLP (“Baker Tilly), that it was resigning its engagement with the Company upon completion of Baker Tilly’s review of the Company’s financial statements for the quarter ended March 31, 2024. The Company is in the process of selecting a new independent registered public accounting firm. Baker Tilly’s…

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing On April 18, 2024, the Company received a notification from Nasdaq Regulation that the Company no longer complies with Nasdaq’s Listing Rules (the “Nasdaq Rules”) for continued listing, as a result of the Company’s failure to file its Annual Report on Form 10-K for the year ended December 31, 2023 (the “2023 Form 10-K”). Based on discussions with the Company’s auditors, the Company expects to f…

Regulation FD Disclosure On April 24, 2024, the Company issued a press release. A copy of such release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated by reference herein. Pursuant to General Instruction B.2 of Current Report on Form 8-K, the information contained in, or incorporated into, Item 8.01, including the press release attached as Exhibit 99.1, is being furnished and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchan…

Entry into a Material Definitive Agreement. On January 18, 2024, Siebert Technologies, LLC (“STCH”), a subsidiary of Siebert Financial Corp. (the “Company”) entered into a Purchase Agreement (the “Purchase Agreement”) with J2 Financial Technology, Inc., d/b/a “Guild”, a Delaware corporation. Under the Purchase Agreement, STCH purchased a Mobile Self-Directed Trading App for the total purchase price (“Purchase Price”) of three hundred eight-five thousand dollars ($385,000), consisting of three…

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. On January 5, 2024, Siebert Financial Corp. (the “Company”) received a letter from Nasdaq Regulation, dated January 5, 2024, notifying it that because the Company has not held an annual meeting of shareholders within twelve months of the end of the Company’s fiscal year end, it no longer complies with Nasdaq’s Listing Rules (the “Rules”) for continued listing, including Listing Rules 5620(a).…

Other Events. On December 19, 2023, the Company published a press release announcing the termination of the Second Tranche Transaction. A copy of the press release is attached to this Report as Exhibit 99.1 and is incorporated herein by reference. Forward-Looking Statements For purposes of this Report, the terms “Siebert,” “Company,” “we,” “us” and “our” refer to Siebert Financial Corp. and its wholly-owned and majority-owned subsidiaries collectively, unless the context otherwise requires. T…

Entry into a Material Definitive Agreement. Settlement Agreement On December 19, 2023, Siebert Financial Corp. (the “Company”) entered into a Termination and Settlement Agreement (the “Settlement Agreement”) with Kakaopay Corporation (“Kakaopay”), Kakaopay Securities Corp. (“Kakaopay Securities”), Muriel Siebert & Co., Inc. (“Muriel Siebert”) and certain Gebbia parties named therein. Under the Settlement Agreement, the parties mutually agreed to terminate the Second Stock Purchase Agreement e…

Termination of a Material Definitive Agreement. The information set forth in

Material Modification to Rights of Security Holders. The information set forth in

Other Events. On November 11, 2023, Siebert delivered a notice (the “Notice”) to Kakaopay Corporation (“Kakaopay”) stating that a material adverse effect has occurred with respect to Kakaopay in light of, among other events, Korean authorities taking action against Kakaopay, its parent company, Kakao Corp., and their affiliates, and Kakao Corp.’s recent announcement that it will establish an independent compliance committee for Kakao Corp. and its subsidiaries to address what it described as…

Results of Operations and Financial Condition. On November 13, 2023, Siebert Financial Corp. (the "Company") issued a press release announcing financial results for the three months ended September 30, 2023. A copy of such release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated by reference herein. Pursuant to General Instruction B.2 of Current Report on Form 8-K, the information contained in, or incorporated into, Item 2.02, including the press release atta…

Entry into a Material Definitive Agreement. On July 10, 2023, Siebert Financial Corp. (the “Company”) entered into a Share Redemption Agreement (the “Share Redemption Agreement”) with Cynthia DiBartolo, Tigress Holdings LLC, a Delaware limited liability company (“Tigress”), pursuant to which the Company will repurchase from Ms. DiBartolo one million (1,000,000) of its common stock held by Cynthia DiBartolo in exchange for conveying to Ms. DiBartolo the Company’s 17% interest in Tigress (the “…

Chairman of the Board and Chief Executive Officer — John J. Gebbia: John J. Gebbia was promoted to Chairman of the Board and Chief Executive Officer.

Other Events. As previously reported on April 27, 2023, Siebert Financial Corp. (the “Company”) entered into a First Tranche Stock Purchase Agreement with Kakaopay Corporation (“Kakaopay”), a company established under the Laws of the Republic of Korea and a fintech subsidiary of Korean-based conglomerate Kakao Corp., pursuant to which the Company agreed to issue and sell to Kakaopay 8,075,607 shares of Common Stock (the “First Tranche Shares”, and such transaction, the “First Tranche”) at a p…

Entry into a Material Definitive Agreement. On April 27, 2023, Siebert Financial Corp., a New York corporation (the “Company”), announced that it entered into an agreement to sell newly issued shares of the Company’s Common Stock, par value $0.01 per share (the “Common Stock”) to Kakaopay Corporation (“Kakaopay”), a company established under the Laws of the Republic of Korea and a fintech subsidiary of Korean-based conglomerate Kakao Corp. Stock Purchase Agreements On April 27, 2023, the Comp…

Chief Executive Officer and board member of RISE, President of RISE Prime – Capital Introduction — Cynthia DiBartolo, Lisa Vioni: The reorganization and termination agreements led to the resignation of key executives from their positions.

Entry into a Material Definitive Agreement

Entry Into a Material Definitive Agreement. On May 27, 2022, Siebert Financial Corp. (the “Company”) entered into a Capital on Demand TM Sales Agreement (the “Sales Agreement”) with JonesTrading Institutional Services LLC, as agent (“Agent”), pursuant to which the Company may offer and sell, from time to time through or to the Agent, shares of the Company’s common stock, par value $0.01 per share (the “Shares”), having an aggregate offering price of up to $9,600,000 (the “Offering”). The offe…