Filing Details
- Accession Number:
- 0001181431-13-058725
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-13 16:16:01
- Reporting Period:
- 2013-11-13
- Filing Date:
- 2013-11-13
- Accepted Time:
- 2013-11-13 16:16:01
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1578987 | Stonecastle Financial Corp. | BANX | () | 900934878 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1586681 | S. Joshua Siegel | 152 West 57Th Street, 35Th Floor New York NY 10019 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-11-13 | 41,510 | $1,037,750.00 | 45,511 | No | 4 | P | Indirect | By StoneCastle Asset Management LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By StoneCastle Asset Management LLC |
Footnotes
- Common Stock was purchased in the transaction by StoneCastle Asset Management LLC, and 45,510 shares of Common Stock are owned by StoneCastle Asset Management LLC. Joshua Siegel is a Managing Partner of Stone Castle Partners, LLC which is the 100% owner of StoneCastle Asset Management LLC, and is a Manager of StoneCastle Asset Management LLC, and has the power to direct voting and investment in the shares owned by StoneCastle Asset Management LLC. Mr. Siegel disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
Billionaire Hedge Funds
