SEC Form 3/A · accession 0001046203-18-000010
GUARANTY FEDERAL BANCSHARES INC · GFED
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owner
Tony Scavuzzo
Director · 10% Owner
Period of report
Mar 1, 2018
Accepted (ET)
Mar 2, 2018 · 4:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001046203
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1 | holding | — | — | — | 918,804 | I | By Castle Creek Capital Partners V, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Scavuzzo is a Principal of Castle Creek Capital V LLC, the sole general partner of Castle Creek Capital Partners V, LP ("Fund V"). Fund V and certain of its affiliates have previously filed a separate Form 3 reporting securities of the Issuer that they may be deemed to beneficially own. Mr. Scavuzzo disclaims beneficial ownership of any securities of the Issuer that may be deemed to be beneficially owned by Fund V or its affiliates.
Remarks
This Form 3 amendment is being filed to report that Mr. Scavuzzo disclaims beneficial ownership over the shares held by Castle Creek Capital Partners V, LP (see footnote to Table I). This footnote was inadvertently omitted from the Form 3 filed on March 1, 2018.