Filing Details

Accession Number:
0001104659-17-042108
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-06-28 16:04:37
Reporting Period:
2017-06-26
Filing Date:
2017-06-28
Accepted Time:
2017-06-28 16:04:37
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1046203 Guaranty Federal Bancshares Inc GFED State Commercial Banks (6022) 431792717
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1197257 Iii M John Eggemeyer C/O Castle Creek Capital Llc
6051 El Tordo, Po Box 1329
Rancho Santa Fe CA 92067
No No Yes No
1242722 Mikesell J Thomas C/O Castle Creek Capital Llc
6051 El Tordo, Po Box 1329
Rancho Santa Fe CA 92067
No No Yes No
1332829 G Mark Merlo C/O Castle Creek Capital Llc
6051 El Tordo, Po Box 1329
Rancho Santa Fe CA 92067
No No Yes No
1481798 John Pietrzak C/O Castle Creek Capital Llc
6051 El Tordo, Po Box 1329
Rancho Santa Fe CA 92067
No No Yes No
1580580 Castle Creek Capital Partners V, Lp C/O Castle Creek Capital Llc
6051 El Tordo, Po Box 1329
Rancho Santa Fe CA 92067
No No Yes No
1589685 Castle Creek Capital V Llc C/O Castle Creek Capital Llc
6051 El Tordo, Po Box 1329
Rancho Santa Fe CA 92067
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Guaranty Federal Bancshares, Inc. Common Stock Acquisiton 2017-06-26 100,000 $20.75 894,022 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Footnotes
  1. These securities are held directly by Castle Creek Capital Partners V, LP ("Fund V"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital V LLC, the sole general partner of Fund V. Castle Creek Capital V LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of such shares of Common Stock, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that Castle Creek Capital V LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.