SIEB

SEC source: 0001019056-18-000715 · cuttita_4.xml · nonDerivative · entry 2

Cuttita Francis V · CIK 0001692748 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,489

SEC source: 0001019056-18-000715 · cuttita_4.xml · nonDerivative · entry 1

Cuttita Francis V · CIK 0001692748 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,589

SEC source: 0001019056-18-000389 · cuttita_4.xml · nonDerivative · entry 1

Cuttita Francis V · CIK 0001692748 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

F1 · kind: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock. Of such shares, 90,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · price: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock. Of such shares, 90,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

SEC source: 0001019056-18-000397 · reich_4.xml · nonDerivative · entry 1

Reich Andrew H · CIK 0001692715 · Director · EVP, COO, CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 589,232

F1 · kind: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock. Of such shares, 270,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · price: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock. Of such shares, 270,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · ownership.direct: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock. Of such shares, 270,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

SEC source: 0001019056-18-000393 · kennedy_4.xml · nonDerivative · entry 1

Kennedy Cabot Acquisition, LLC · CIK 0001683285 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,827,283

F1 · kind: Effective February 14, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock.

F1 · shares: Effective February 14, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock.

F1 · price: Effective February 14, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock.

F1 · acquired: Effective February 14, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock.

SEC source: 0001019056-18-000395 · zabatta_4.xml · nonDerivative · entry 1

ZABATTA CHARLES · CIK 0001157617 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,449

F1 · kind: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock. Of such shares, 90,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · price: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock. Of such shares, 90,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

SEC source: 0001019056-18-000391 · gebbia_4.xml · nonDerivative · entry 3

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By KCA

Disclosed balance after: 3,827,283

F1 · kind: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock (the "Distribution"). The Reporting Person received 4,410,000 shares based upon her ownership of KCA class A member interests.

F3 · kind: The Reporting Person is the Managing Member of KCA and may be deemed to be the indirect beneficial owner of 3,827,283 shares of Issuer common stock directly owned by KCA. The Reporting Person disclaims beneficial ownership of the shares of Issuer common stock owned by KCA, except to the extent of the Reporting Person's pecuniary interest therein.

F1 · price: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock (the "Distribution"). The Reporting Person received 4,410,000 shares based upon her ownership of KCA class A member interests.

F3 · ownership.direct: The Reporting Person is the Managing Member of KCA and may be deemed to be the indirect beneficial owner of 3,827,283 shares of Issuer common stock directly owned by KCA. The Reporting Person disclaims beneficial ownership of the shares of Issuer common stock owned by KCA, except to the extent of the Reporting Person's pecuniary interest therein.

F3 · ownership.nature: The Reporting Person is the Managing Member of KCA and may be deemed to be the indirect beneficial owner of 3,827,283 shares of Issuer common stock directly owned by KCA. The Reporting Person disclaims beneficial ownership of the shares of Issuer common stock owned by KCA, except to the extent of the Reporting Person's pecuniary interest therein.

SEC source: 0001019056-18-000391 · gebbia_4.xml · nonDerivative · entry 2

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By family

Disclosed balance after: 5,879,494

F1 · kind: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock (the "Distribution"). The Reporting Person received 4,410,000 shares based upon her ownership of KCA class A member interests.

F2 · kind: Certain members of the Reporting Person's family received a total of 1,530,000 shares of Issuer common stock in the Distribution. The Reporting Person may be deemed to be the indirect beneficial owner of a total of 5,879,494 shares of Issuer common stock owned by a family trust and certain family members. The Reporting Person disclaims beneficial ownership of such shares of Issuer common stock, except to the extent of the Reporting Person's pecuniary interest therein.

F1 · price: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock (the "Distribution"). The Reporting Person received 4,410,000 shares based upon her ownership of KCA class A member interests.

F2 · ownership.direct: Certain members of the Reporting Person's family received a total of 1,530,000 shares of Issuer common stock in the Distribution. The Reporting Person may be deemed to be the indirect beneficial owner of a total of 5,879,494 shares of Issuer common stock owned by a family trust and certain family members. The Reporting Person disclaims beneficial ownership of such shares of Issuer common stock, except to the extent of the Reporting Person's pecuniary interest therein.

F2 · ownership.nature: Certain members of the Reporting Person's family received a total of 1,530,000 shares of Issuer common stock in the Distribution. The Reporting Person may be deemed to be the indirect beneficial owner of a total of 5,879,494 shares of Issuer common stock owned by a family trust and certain family members. The Reporting Person disclaims beneficial ownership of such shares of Issuer common stock, except to the extent of the Reporting Person's pecuniary interest therein.

SEC source: 0001019056-18-000391 · gebbia_4.xml · nonDerivative · entry 1

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,707,800

F1 · kind: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock (the "Distribution"). The Reporting Person received 4,410,000 shares based upon her ownership of KCA class A member interests.

F1 · price: Effective February 14, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 9,090,000 shares of Issuer common stock (the "Distribution"). The Reporting Person received 4,410,000 shares based upon her ownership of KCA class A member interests.

SEC source: 0001019056-18-000281 · zabatta_4.xml · nonDerivative · entry 1

ZABATTA CHARLES · CIK 0001157617 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,449

F1 · kind: This transaction involved a gift of Issuer common stock to the Reporting Person's grandchildren.

SEC source: 0001019056-18-000285 · kennedy_4.xml · nonDerivative · entry 1

Kennedy Cabot Acquisition, LLC · CIK 0001683285 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,917,283

F1 · kind: Pursuant to a Securities Purchase Agreement dated January 31, 2018, on February 2, 2018, the Reporting Person sold 70,000 shares of Issuer common stock in a private transaction.

SEC source: 0001019056-18-000283 · gebbia_4.xml · nonDerivative · entry 3

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By KCA

Disclosed balance after: 12,917,283

F2 · ownership.direct: Pursuant to a Securities Purchase Agreement dated January 31, 2018, on February 2, 2018, Kennedy Cabot Acquisition, LLC ("KCA") sold 70,000 shares of Issuer common stock in a private transaction. The Reporting Person is the Managing Member of KCA and may be deemed to be the indirect beneficial owner of 12,917,283 shares of Issuer common stock directly owned by KCA. The Reporting Person disclaims beneficial ownership of the shares of Issuer common stock owned by KCA, except to the extent of the Reporting Person's pecuniary interest therein.

F2 · ownership.nature: Pursuant to a Securities Purchase Agreement dated January 31, 2018, on February 2, 2018, Kennedy Cabot Acquisition, LLC ("KCA") sold 70,000 shares of Issuer common stock in a private transaction. The Reporting Person is the Managing Member of KCA and may be deemed to be the indirect beneficial owner of 12,917,283 shares of Issuer common stock directly owned by KCA. The Reporting Person disclaims beneficial ownership of the shares of Issuer common stock owned by KCA, except to the extent of the Reporting Person's pecuniary interest therein.

SEC source: 0001019056-18-000283 · gebbia_4.xml · nonDerivative · entry 2

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By family

Disclosed balance after: 4,349,494

F1 · ownership.direct: Pursuant to a Common Stock Purchase Agreement dated January 31, 2018, on February 2, 2018, the Reporting Person and certain members of the Reporting Person's family sold Issuer common stock in a private transaction. The Reporting Person may be deemed to be the indirect beneficial owner of a total of 4,349,494 shares of Issuer common stock owned by a family trust and certain family members. The Reporting Person disclaims beneficial ownership of such shares of Issuer common stock, except to the extent of the Reporting Person's pecuniary interest therein.

F1 · ownership.nature: Pursuant to a Common Stock Purchase Agreement dated January 31, 2018, on February 2, 2018, the Reporting Person and certain members of the Reporting Person's family sold Issuer common stock in a private transaction. The Reporting Person may be deemed to be the indirect beneficial owner of a total of 4,349,494 shares of Issuer common stock owned by a family trust and certain family members. The Reporting Person disclaims beneficial ownership of such shares of Issuer common stock, except to the extent of the Reporting Person's pecuniary interest therein.

SEC source: 0001019056-18-000283 · gebbia_4.xml · nonDerivative · entry 1

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,297,800

SEC source: 0001019056-18-000171 · zabatta_4.xml · nonDerivative · entry 1

ZABATTA CHARLES · CIK 0001157617 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,249

F1 · kind: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. Of such shares, 20,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · price: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. Of such shares, 20,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

SEC source: 0001019056-18-000169 · reich_4.xml · nonDerivative · entry 1

Reich Andrew H · CIK 0001692715 · Director · EVP, COO, CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,232

F1 · kind: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. Of such shares, 60,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · price: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. Of such shares, 60,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · ownership.direct: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. Of such shares, 60,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

SEC source: 0001019056-18-000167 · cuttita_4.xml · nonDerivative · entry 1

Cuttita Francis V · CIK 0001692748 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

F1 · kind: On January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") distributed to its members, pro-rata without consideration, 2,000,000 shares of Issuer common stock. Of such shares, 20,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · price: On January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") distributed to its members, pro-rata without consideration, 2,000,000 shares of Issuer common stock. Of such shares, 20,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

SEC source: 0001019056-18-000165 · kennedy_4.xml · nonDerivative · entry 1

Kennedy Cabot Acquisition, LLC · CIK 0001683285 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,987,283

F1 · kind: Effective January 18, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock.

F1 · shares: Effective January 18, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock.

F1 · price: Effective January 18, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock.

F1 · acquired: Effective January 18, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock.

SEC source: 0001019056-18-000163 · gebbia_4.xml · nonDerivative · entry 2

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 18,190,795

F1 · kind: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

F1 · shares: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

F1 · price: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

F1 · acquired: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

F1 · ownership.direct: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

F1 · ownership.nature: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

SEC source: 0001019056-18-000163 · gebbia_4.xml · nonDerivative · entry 1

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,586,337

F1 · kind: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

F1 · shares: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

F1 · price: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

F1 · acquired: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

F1 · ownership.direct: Effective January 18, 2018, Kennedy Cabot Acquisition, LLC ("KCA") completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock. The Reporting Person received 980,000 shares based upon her ownership of KCA class A member interests. The Reporting Person is the managing member of KCA and may be deemed to be the indirect beneficial owner of 12,987,283 shares of Issuer common stock directly owned by KCA. The Reporting Person may also be deemed to be the indirect beneficial owner of a total of 5,203,512 shares of Issuer common stock owned by a family trust and certain family members.

SEC source: 0001019056-18-000250 · kennedy_4a.xml · nonDerivative · entry 1

Kennedy Cabot Acquisition, LLC · CIK 0001683285 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,987,283

F1 · kind: Effective January 18, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock.

F1 · shares: Effective January 18, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock.

F2 · shares: The Form 4 previously filed on January 22, 2018 reporting this transaction included an incorrect number of shares in Column 4 of Table I. This amendment reports the correct number of shares.

F1 · price: Effective January 18, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock.

F1 · acquired: Effective January 18, 2018, the Reporting Person completed a distribution to its members, pro-rata without consideration, of 2,000,000 shares of Issuer common stock.

SEC source: 0001019056-18-000011 · zabatta_4.xml · nonDerivative · entry 1

ZABATTA CHARLES · CIK 0001157617 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,249

F1 · kind: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 103,049 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

F1 · price: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 103,049 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

SEC source: 0001019056-18-000009 · reich_4.xml · nonDerivative · entry 1

Reich Andrew H · CIK 0001692715 · Director · EVP, COO, CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,232

F1 · kind: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 109,232 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

F1 · price: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 109,232 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

F1 · ownership.direct: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 109,232 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

SEC source: 0001019056-18-000007 · gebbia_4.xml · nonDerivative · entry 2

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner · 10% Owner(1)

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 20,074,295

F1 · kind: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 288,537 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

F3 · kind: Represents shares of Issuer Common Stock issued to members of the Gebbia family in the Transfer. No consideration was paid for such shares.

F3 · shares: Represents shares of Issuer Common Stock issued to members of the Gebbia family in the Transfer. No consideration was paid for such shares.

F3 · price: Represents shares of Issuer Common Stock issued to members of the Gebbia family in the Transfer. No consideration was paid for such shares.

F2 · acquired: Such aggregate 20,074,294 shares of Issuer Common Stock may be deemed to be beneficially owned by the Reporting Person and represents (a) 14,987,283 shares of Issuer Common Stock directly owned by Kennedy Cabot Acquisition, LLC ("KCA"), which the Reporting Person is the managing member, (b) 136,537 shares of Issuer Common Stock owned by StockCross, an entity which the Reporting Person is a director of and has an ownership interest in and (c) 4,932,075 shares of Issuer Common Stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

F3 · acquired: Represents shares of Issuer Common Stock issued to members of the Gebbia family in the Transfer. No consideration was paid for such shares.

F2 · balance_after: Such aggregate 20,074,294 shares of Issuer Common Stock may be deemed to be beneficially owned by the Reporting Person and represents (a) 14,987,283 shares of Issuer Common Stock directly owned by Kennedy Cabot Acquisition, LLC ("KCA"), which the Reporting Person is the managing member, (b) 136,537 shares of Issuer Common Stock owned by StockCross, an entity which the Reporting Person is a director of and has an ownership interest in and (c) 4,932,075 shares of Issuer Common Stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

F2 · ownership.direct: Such aggregate 20,074,294 shares of Issuer Common Stock may be deemed to be beneficially owned by the Reporting Person and represents (a) 14,987,283 shares of Issuer Common Stock directly owned by Kennedy Cabot Acquisition, LLC ("KCA"), which the Reporting Person is the managing member, (b) 136,537 shares of Issuer Common Stock owned by StockCross, an entity which the Reporting Person is a director of and has an ownership interest in and (c) 4,932,075 shares of Issuer Common Stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

F3 · ownership.direct: Represents shares of Issuer Common Stock issued to members of the Gebbia family in the Transfer. No consideration was paid for such shares.

F2 · ownership.nature: Such aggregate 20,074,294 shares of Issuer Common Stock may be deemed to be beneficially owned by the Reporting Person and represents (a) 14,987,283 shares of Issuer Common Stock directly owned by Kennedy Cabot Acquisition, LLC ("KCA"), which the Reporting Person is the managing member, (b) 136,537 shares of Issuer Common Stock owned by StockCross, an entity which the Reporting Person is a director of and has an ownership interest in and (c) 4,932,075 shares of Issuer Common Stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

F3 · ownership.nature: Represents shares of Issuer Common Stock issued to members of the Gebbia family in the Transfer. No consideration was paid for such shares.

SEC source: 0001019056-18-000007 · gebbia_4.xml · nonDerivative · entry 1

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner · 10% Owner(1)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,581,337

F1 · kind: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 288,537 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

F1 · shares: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 288,537 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

F1 · price: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 288,537 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

F1 · acquired: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 288,537 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

F1 · ownership.direct: On December 29, 2017, StockCross Financial Services, Inc., a Massachusetts corporation ("StockCross") transferred to its shareholders, in accordance with Mass. Gen. Laws Ann. ch. 156D, ? 6.40 (Distributions to shareholders) (the "Transfer"), an aggregate of 5,072,062 shares of common stock ("Common Stock") of Siebert Financial Corp. ("Issuer"), which shares were received by StockCross on December 29, 2017 pursuant to an Asset Purchase Agreement. In accordance with the Transfer, the Reporting Person received 288,537 shares of Common Stock of the Issuer from StockCross. No consideration was paid for such shares received in the Transfer.

SEC source: 0001019056-17-000821 · schneider_4.xml · nonDerivative · entry 1

Schneider Jerry M · CIK 0001694063 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

SEC source: 0001019056-17-000819 · zabatta_4.xml · nonDerivative · entry 2

ZABATTA CHARLES · CIK 0001157617 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,200

SEC source: 0001019056-17-000819 · zabatta_4.xml · nonDerivative · entry 1

ZABATTA CHARLES · CIK 0001157617 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · kind: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. Of such shares, 50,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · price: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. Of such shares, 50,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

SEC source: 0001019056-17-000815 · reich_4.xml · nonDerivative · entry 1

Reich Andrew H · CIK 0001692715 · Director · EVP, COO, CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

F1 · kind: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. Of such shares, 150,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · price: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. Of such shares, 150,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

SEC source: 0001019056-17-000817 · cuttita_4.xml · nonDerivative · entry 1

Cuttita Francis V · CIK 0001692748 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · kind: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. Of such shares, 50,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

F1 · price: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. Of such shares, 50,000 shares were distributed to the Reporting Person based upon his ownership of class A member interests of KCA.

SEC source: 0001019056-17-000813 · gebbia_4.xml · nonDerivative · entry 2

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner · 10% Owner(1)(2)

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 16,117,220

F1 · kind: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. In addition, the reporting person gifted 157,000 of the shares received from KCA. Following the distribution and gifts, the reporting person had direct ownership of 2,292,800 shares of Issuer common stock. Gloria E. Gebbia is the managing member of Kennedy Cabot Acquisition, LLC ("KCA") and therefore may be deemed to be the indirect beneficial owner of 16,142,220 shares of Issuer common stock directly owned by KCA. Cont'd in Footnote 2.

F2 · kind: Footnote 1 cont'd - The Reporting Person is a director of and has an ownership interest in StockCross Financial Services, Inc. ("StockCross") and may be deemed to share indirect beneficial ownership of 136,537 shares of Issuer common stock owned by StockCross. In addition, the Reporting Person may be deemed to share indirect beneficial ownership of 1,018,400 shares of Issuer common stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

F1 · shares: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. In addition, the reporting person gifted 157,000 of the shares received from KCA. Following the distribution and gifts, the reporting person had direct ownership of 2,292,800 shares of Issuer common stock. Gloria E. Gebbia is the managing member of Kennedy Cabot Acquisition, LLC ("KCA") and therefore may be deemed to be the indirect beneficial owner of 16,142,220 shares of Issuer common stock directly owned by KCA. Cont'd in Footnote 2.

F1 · price: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. In addition, the reporting person gifted 157,000 of the shares received from KCA. Following the distribution and gifts, the reporting person had direct ownership of 2,292,800 shares of Issuer common stock. Gloria E. Gebbia is the managing member of Kennedy Cabot Acquisition, LLC ("KCA") and therefore may be deemed to be the indirect beneficial owner of 16,142,220 shares of Issuer common stock directly owned by KCA. Cont'd in Footnote 2.

F2 · price: Footnote 1 cont'd - The Reporting Person is a director of and has an ownership interest in StockCross Financial Services, Inc. ("StockCross") and may be deemed to share indirect beneficial ownership of 136,537 shares of Issuer common stock owned by StockCross. In addition, the Reporting Person may be deemed to share indirect beneficial ownership of 1,018,400 shares of Issuer common stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

F1 · acquired: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. In addition, the reporting person gifted 157,000 of the shares received from KCA. Following the distribution and gifts, the reporting person had direct ownership of 2,292,800 shares of Issuer common stock. Gloria E. Gebbia is the managing member of Kennedy Cabot Acquisition, LLC ("KCA") and therefore may be deemed to be the indirect beneficial owner of 16,142,220 shares of Issuer common stock directly owned by KCA. Cont'd in Footnote 2.

F2 · acquired: Footnote 1 cont'd - The Reporting Person is a director of and has an ownership interest in StockCross Financial Services, Inc. ("StockCross") and may be deemed to share indirect beneficial ownership of 136,537 shares of Issuer common stock owned by StockCross. In addition, the Reporting Person may be deemed to share indirect beneficial ownership of 1,018,400 shares of Issuer common stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

F1 · ownership.nature: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. In addition, the reporting person gifted 157,000 of the shares received from KCA. Following the distribution and gifts, the reporting person had direct ownership of 2,292,800 shares of Issuer common stock. Gloria E. Gebbia is the managing member of Kennedy Cabot Acquisition, LLC ("KCA") and therefore may be deemed to be the indirect beneficial owner of 16,142,220 shares of Issuer common stock directly owned by KCA. Cont'd in Footnote 2.

F2 · ownership.nature: Footnote 1 cont'd - The Reporting Person is a director of and has an ownership interest in StockCross Financial Services, Inc. ("StockCross") and may be deemed to share indirect beneficial ownership of 136,537 shares of Issuer common stock owned by StockCross. In addition, the Reporting Person may be deemed to share indirect beneficial ownership of 1,018,400 shares of Issuer common stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

SEC source: 0001019056-17-000813 · gebbia_4.xml · nonDerivative · entry 1

Gebbia Gloria E · CIK 0001692471 · Director · 10% owner · 10% Owner(1)(2)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,292,800

F1 · kind: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. In addition, the reporting person gifted 157,000 of the shares received from KCA. Following the distribution and gifts, the reporting person had direct ownership of 2,292,800 shares of Issuer common stock. Gloria E. Gebbia is the managing member of Kennedy Cabot Acquisition, LLC ("KCA") and therefore may be deemed to be the indirect beneficial owner of 16,142,220 shares of Issuer common stock directly owned by KCA. Cont'd in Footnote 2.

F2 · kind: Footnote 1 cont'd - The Reporting Person is a director of and has an ownership interest in StockCross Financial Services, Inc. ("StockCross") and may be deemed to share indirect beneficial ownership of 136,537 shares of Issuer common stock owned by StockCross. In addition, the Reporting Person may be deemed to share indirect beneficial ownership of 1,018,400 shares of Issuer common stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

F1 · price: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. In addition, the reporting person gifted 157,000 of the shares received from KCA. Following the distribution and gifts, the reporting person had direct ownership of 2,292,800 shares of Issuer common stock. Gloria E. Gebbia is the managing member of Kennedy Cabot Acquisition, LLC ("KCA") and therefore may be deemed to be the indirect beneficial owner of 16,142,220 shares of Issuer common stock directly owned by KCA. Cont'd in Footnote 2.

F2 · price: Footnote 1 cont'd - The Reporting Person is a director of and has an ownership interest in StockCross Financial Services, Inc. ("StockCross") and may be deemed to share indirect beneficial ownership of 136,537 shares of Issuer common stock owned by StockCross. In addition, the Reporting Person may be deemed to share indirect beneficial ownership of 1,018,400 shares of Issuer common stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

F1 · acquired: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock. In addition, the reporting person gifted 157,000 of the shares received from KCA. Following the distribution and gifts, the reporting person had direct ownership of 2,292,800 shares of Issuer common stock. Gloria E. Gebbia is the managing member of Kennedy Cabot Acquisition, LLC ("KCA") and therefore may be deemed to be the indirect beneficial owner of 16,142,220 shares of Issuer common stock directly owned by KCA. Cont'd in Footnote 2.

F2 · acquired: Footnote 1 cont'd - The Reporting Person is a director of and has an ownership interest in StockCross Financial Services, Inc. ("StockCross") and may be deemed to share indirect beneficial ownership of 136,537 shares of Issuer common stock owned by StockCross. In addition, the Reporting Person may be deemed to share indirect beneficial ownership of 1,018,400 shares of Issuer common stock held by various members of the Gebbia family. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein.

SEC source: 0001019056-17-000811 · kennedy_4.xml · nonDerivative · entry 1

Kennedy Cabot Acquisition, LLC · CIK 0001683285 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,987,283

F1 · kind: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock.

F1 · shares: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock.

F1 · price: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock.

F1 · acquired: Effective December 22, 2017, KCA completed a distribution to its members, pro-rata without consideration, of 5,000,000 shares of Issuer common stock.