SIEB Siebert Financial Corporation

 

	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549    FORM 12b-25   NOTIFICATION OF LATE FILING	OMB APPROVAL
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(Check one):		☐ Form 10-K     ☐ Form 20-F     ☐ Form 11-K      ☒   Form 10-Q     ☐ Form 10-D     ☐ Form N-SAR ☐ Form N-CSR
		For Period Ended: March 31, 2024
		☐    Transition Report on Form 10-K
		☐    Transition Report on Form 20-F
		☐    Transition Report on Form 11-K
		☐    Transition Report on Form 10-Q
		☐    Transition Report on Form N-SAR
		For the Transition Period Ended:

 

Read Instruction (on back page) Before Preparing Form. Please Print or Type.
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
 

N/A 

Former Name if Applicable

 

653 Collins Avenue

Address of Principal Executive Office (Street and Number)

 

Miami Beach, FL, 33139

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 reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;
	(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 the reasons why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed time period.

 

Siebert Financial Corp. (the “Company”) is unable to file its Form 10-Q for the quarter ended March 31, 2024 (“Form 10-Q”) without unreasonable effort or expense within the time period prescribed. The Company presently anticipates that it will file its Form 10-Q not later than the 5 calendar days following the due date, as provided by Rule 12b-25 under the Securities Exchange Act of 1934.

 

PART IV — OTHER INFORMATION

 

(1)	Name and telephone number of person to contact in regard to this notification

 

Andrew H. Reich		(310)		385-1861
(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 answer is no, identify report(s).
	Yes  ☐   No  ☒
	The Company’s Form 10-K for the year ended December 31, 2023 was filed on May 10, 2024, which was after the prescribed due date.
(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?
	Yes ☐   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 hereunto duly authorized.

 

Date: May 16, 2024	By:	/s/ Andrew H. Reich
		Andrew H. Reich
		Executive Vice President, Chief Operating Officer, Chief Financial Officer, Secretary and Director (Principal financial and accounting officer)

 

 

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