Filing Details

Accession Number:
0001192482-15-000158
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-05-06 13:47:07
Reporting Period:
2015-05-04
Filing Date:
2015-05-06
Accepted Time:
2015-05-06 13:47:07
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 2015-05-04 100 $17.15 1,607 No 4 P Direct
Common Stock Acquisiton 2015-05-04 900 $17.28 2,507 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 45,510 Indirect By StoneCastle Asset Management LLC
Footnotes
  1. Common Stock was purchased in the transactions by Joshua Siegel. Following the transactions, 2,507 shares of Common Stock are owned directly by Joshua Siegel and 45,510 shares of Common Stock are owned by StoneCastle Asset Management LLC. Joshua Siegel is an Officer 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. Joshua Siegel disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.