UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
ATTENTION: Transmit for filing 3 copies of this form concurrently with either
placing an order with a broker to execute sale or executing a sale
directly with a market maker.
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1(a) NAME OF ISSUER (b) IRS IDENT. NO. (c) S.E.C. FILE NO.
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Siebert Financial Corporation 11-1796714 000-5703
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1(d) ADDRESS OF ISSUER (e) TELEPHONE NO.
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STREET CITY STATE ZIP CODE AREA CODE AND NUMBER
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120 Wall Street New York NY 10005 800 872-0444
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2(a) NAME OF PERSON
FOR WHOSE ACCOUNT THE (b) IRS (c) RELATIONSHIP
SECURITIES ARE TO BE SOLD IDENT. NO. TO ISSUER (d) ADDRESS (Street) CITY STATE ZIP CODE
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Francis V. Cuttita 00-0000000 Director 310 Fairmount Ave Chatham NJ 07928
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INSTRUCTION: The person filing this notice should contact the issuer to
obtain the I.R.S. Identification Number and the S.E.C. File Number.
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SEC USE
3(a) (b) ONLY (c) (d) (e) (f) (g)
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Name and Address
of Each Broker
Through Whom the
Securities are Number of Number of Approximate
Title of the to be Offered or Shares or Other Aggregate Shares or Other Date of Sale Name of Each
Class of Each Market Maker Units To Be Market Value Units To Be (See Securities
Securities who is Acquiring Broker-Dealer Sold (See (See Sold (See instr. 3(f)) Exchange (See
To Be Sold the Securities File Number instr. 3(c)) instr. 3(d)) instr. 3(e)) (MO. DAY YR.) instr. 3(g))
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Common Stock Muriel Siebert & Co. Approx. 8,000 $84,000 27,157,188 05/14/2018 NASDAQ
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INSTRUCTIONS:
1. (a) Name of issuer
(b) Issuer's I.R.S. Identification Number
(c) Issuer's S.E.C. file number, if any
(d) Issuer's address, including zip code
(e) Issuer's telephone number, including area code
2. (a) Name of person for whose account the securities are to be sold
(b) Such person's I.R.S. identification number, if such a person is an
entity
(c) Such person's relationship to the issuer (e.g., officer, director, 10
percent stockholder, or member of immediate family of any of the
foregoing)
(d) Such person's address, including zip code
3. (a) Title of the class of securities to be sold
(b) Name and address of each broker through whom the securities are
intended to be sold
(c) Number of shares or other units to be sold (if debt securities, give
the aggregate face amount)
(d) Aggregate market value of the securities to be sold as of a specified
date within 10 days prior to the filing of this notice
(e) Number of shares or other units of the class outstanding, or if debt
securities the face amount thereof outstanding, as shown by the most
recent report or statement published by the issuer
(f) Approximate date on which the securities are to be sold
(g) Name of each securities exchange, if any, on which the securities are
intended to be sold
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a
currently valid OMB control number.
TABLE I -- SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the
securities to be sold and with respect to the payment of all or any part
of the purchase price or other consideration therefor:
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Name of Person From
Whom Acquired Amount of
Title of Date you Name of Acquisition (If gift, also give Securities Date of Nature of
the Class Acquired Transaction date donor acquired) Acquired Payment Payment
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Class A Class A Member Unit Cash Capital
Member Interests 12/30/16 Purchase Agreement Kennedy Cabot Acquistion LLC 160,000 03/21/2017 Contribution
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INSTRUCTIONS: 1. If the securities were purchased and full payment therefor
was not made in cash at the time of purchase, explain in the
table or in a note thereto the nature of the consideration
given. If the consideration consisted of any note or other
obligation, or if payment was made in installments describe
the arrangement and state when the note or other obligation
was discharged in full or the last installment paid.
2. If within two years after the acquisition of the securities
the person for whose account they are to be sold had any
short positions, put or other option to dispose of
securities referred to in paragraph (d)(3) of Rule 144,
furnish full information with respect thereto.
TABLE II -- SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold
during the past 3 months by the person for whose account the
securities are to be sold.
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Date of Amount of
Name and Address of the Seller Title of Securities Sold Sale Securities Sold Gross Proceeds
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N/A N/A
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Remarks:
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INSTRUCTIONS:
See the definition of "person" in paragraph (a) of Rule 144. Information is to
be given not only as to the person for whose account the securities are to be
sold but also as to all other persons included in that definition. In addition,
information shall be given as to sales by all persons whose sales are required
by paragraph (e) of Rule 144 to be aggregated with sales for the account of the
person filing this notice.
ATTENTION:
The person for whose account the securities to which this notice relates are to
be sold hereby represents by signing this notice that he does not know any
material adverse information in regard to the current and prospective operations
of the Issuer of the securities to be sold which has not been publicly
disclosed.
05/17/2018
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Date of Notice
/s/ Francis V. Cuttita
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(Signature)
The notice shall be signed by the person for whose account the securities are
to be sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.
ATTENTION: Intentional misstatements or omission of facts constitute Federal
Criminal Violations (See 18 U.S.C. 1001)