SIEBERT FINANCIAL CORP. (NASDAQ:SIEB) Files An 8-K Financial Statements and Exhibits
Item 9.01, which statements and information were excluded from the Original Form 8-K in reliance on paragraphs (a)(4) and (b)(2) of Item 9.01 of Form 8-K. Except as stated in this Explanatory Note, no other information contained in the Original Form 8-K is changed.
SIEBERT FINANCIAL CORP. (NASDAQ:SIEB) Files An 8-K Financial Statements and Exhibits
Forward-Looking Statements.
This Current Report on Form 8-K/A contains forward-looking statements made to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. Forward-looking statements typically are identified by use of terms such as “may,” “project,” “should,” “plan,” “expect,” “anticipate,” “believe,” “estimate” and similar words. Except as required by law, the Company undertakes no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events or otherwise. The Company’s actual results could differ materially from those contained in forward-looking statements due to a number of factors, including the statements under “Risk Factors” found in the Company’s Annual Reports on Form 10-K and its Quarterly Reports on Form 10-Q filed with the SEC.
Item 9.01. Financial Statements and Exhibits.
(a) Financial statements of businesses acquired.
Audited financial statements and the accompanying notes of Weeden Prime Services, LLC for the year ended December 31, 2018, attached hereto as Exhibit 99.2 and incorporated herein by reference.
(b) Pro forma financial information.
Unaudited pro forma financial statements and the accompanying notes for the nine months ended September 30, 2019 and the fiscal year ended December 31, 2018 attached hereto as Exhibit 99.3 and incorporated herein by reference.
(d) Exhibits
99.1 Equity Interests Purchase Agreement, dated as of September 27, 2019, by and among Siebert Financial Corp., Weeden Investors L.P. and Weeden Securities Corporation (incorporated by reference to Exhibit 99.1 to the Current Report on Form 8-K filed by the Company on October 3, 2019).
99.2 Audited financial statements and the accompanying notes of Weeden Prime Services, LLC for the year ended December 31, 2018.
99.3 Unaudited pro forma financial statements and the accompanying notes for the nine months ended September 30, 2019 and the fiscal year ended December 31, 2018.
SIEBERT FINANCIAL CORP Exhibit
EX-99.2 2 a52173804ex99_2.htm EXHIBIT 99.2 Exhibit 99.2 WEEDEN PRIME SERVICES,…
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EX-99.2 2 a52173804ex99_2.htm EXHIBIT 99.2 Exhibit 99.2 WEEDEN PRIME SERVICES,…
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hereAbout SIEBERT FINANCIAL CORP. (NASDAQ:SIEB)
Siebert Financial Corp. is a holding company that conducts retail discount brokerage business through its subsidiary, Muriel Siebert & Co., Inc. (Siebert). The Company’s Siebert’s principal activity is providing online and traditional brokerage and related services to retail investors. It is also an investment advisor through a subsidiary, Siebert Investment Advisors, Inc. (SIA). SIA offers advice to clients regarding asset allocation and the selection of investments. A subsidiary, Siebert’s Women’s Financial Network Inc. (WFN), is engaged in providing products, services and information devoted to women’s financial needs. Siebert develops and maintains its retail customer base through printed advertising in financial publications, Internet advertising and social media. The Retail Division includes discount brokerage and related services, independent retail execution services, retail customer service, retirement accounts, customer financing, and information and communications systems.
