SEC Form 4 · accession 0001192482-17-000257
StoneCastle Financial Corp. · BANX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joshua S. Siegel
Officer — CEO · Director
Period of report
Sep 22, 2017
Accepted (ET)
Sep 25, 2017 · 3:56 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 | Sep 22, 2017 | P | 200 | $20.3346 | A | 6,507 | D | |
| Common StockF1 | holding | — | — | — | 46,833 | I | By StoneCastle Asset Management LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Common Stock was purchased in the transaction by Joshua Siegel. Following the transaction, 6,507 shares of Common Stock are owned directly by Joshua Siegel and 46,833 shares of Common Stock are owned by StoneCastle Asset Management LLC (5,323 shares of Common Stock) and its parent StoneCastle Partners (41,510 shares of Common Stock). 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.