SEC Form 4 · accession 0001104659-17-052098
GUARANTY FEDERAL BANCSHARES INC · GFED
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
John M Eggemeyer III
10% Owner
J Mikesell Thomas
10% Owner
Mark G Merlo
10% Owner
John Pietrzak
10% Owner
Castle Creek Capital Partners V, LP
10% Owner
Castle Creek Capital V LLC
10% Owner
Period of report
Aug 14, 2017
Accepted (ET)
Aug 15, 2017 · 7:10 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Guaranty Federal Bancshares, Inc. Common StockF1 | Aug 14, 2017 | P | 24,782 | $20.88 | A | 918,804 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These 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.