SEC Form 4 · accession 0001192482-16-000597
StoneCastle Financial Corp. · BANX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Shilowitz
Officer — President · Director
Period of report
May 26, 2016
Accepted (ET)
May 31, 2016 · 2:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001578987
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 26, 2016 | P | 750 | $16.93 | A | 12,500 | D | |
| Common Stock | May 26, 2016 | P | 250 | $16.90 | A | 12,750 | D | |
| Common StockF1 | holding | — | — | — | 46,321 | I | Refer to footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Common Stock was purchased in the transactions by George Shilowitz. Following the transactions, 12,500 shares of Common Stock are owned directly by George Shilowitz and 46,321 share of Common Stock are owned by StoneCastle Asset Management LLC (4,811 shares of Common Stock) and its parent StoneCastle Partners, LLC (41,510 shares of Common Stock). George Shilowitz is a Managing Partner of Stone Castle Partners, LLC which is the 100% owner of StoneCastle Asset Management LLC, and is a Manger of StoneCastle Asset Management LLC, and has the power to direct voting and investment in the shares owned by StoneCastle Asset Management LLC. Mr. Shilowitz disclaims beneficial ownership of shares held indirectly except to the extent of his pecuniary interest therein.