0001104659-16-136549.txt : 20160803 0001104659-16-136549.hdr.sgml : 20160803 20160803160653 ACCESSION NUMBER: 0001104659-16-136549 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160803 FILED AS OF DATE: 20160803 DATE AS OF CHANGE: 20160803 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GUARANTY FEDERAL BANCSHARES INC CENTRAL INDEX KEY: 0001046203 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 431792717 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1341 WEST BATTLEFIELD CITY: SPRINGFIELD STATE: MO ZIP: 65807 BUSINESS PHONE: 4175204333 MAIL ADDRESS: STREET 1: 1341 WEST BATTLEFIELD CITY: SPRINGFIELD STATE: MO ZIP: 65807 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pietrzak John CENTRAL INDEX KEY: 0001481798 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23325 FILM NUMBER: 161803850 MAIL ADDRESS: STREET 1: WEST COAST BANCORP STREET 2: 5335 MEADOWS ROAD, SUITE 201 CITY: LAKE OSWEGO STATE: OR ZIP: 97035 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERLO MARK G CENTRAL INDEX KEY: 0001332829 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23325 FILM NUMBER: 161803851 MAIL ADDRESS: STREET 1: 4500 MERCANTILE PLAZA DRIVE, SUITE 300 CITY: FORT WORTH STATE: TX ZIP: 76137 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THOMAS J MIKESELL CENTRAL INDEX KEY: 0001242722 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23325 FILM NUMBER: 161803852 MAIL ADDRESS: STREET 1: 51 WEST 52ND ST 14TH FL CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EGGEMEYER JOHN M III CENTRAL INDEX KEY: 0001197257 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23325 FILM NUMBER: 161803853 MAIL ADDRESS: STREET 1: PO BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Castle Creek Capital V LLC CENTRAL INDEX KEY: 0001589685 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23325 FILM NUMBER: 161803854 BUSINESS ADDRESS: STREET 1: 6051 EL TORDO STREET 2: PO BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: 858-756-8300 MAIL ADDRESS: STREET 1: PO BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Castle Creek Capital Partners V, LP CENTRAL INDEX KEY: 0001580580 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23325 FILM NUMBER: 161803855 BUSINESS ADDRESS: STREET 1: 6051 EL TORDO CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: (858) 756-8300 MAIL ADDRESS: STREET 1: 6051 EL TORDO CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 3 1 a3.xml 3 X0206 3 2016-08-03 0 0001046203 GUARANTY FEDERAL BANCSHARES INC GFED 0001580580 Castle Creek Capital Partners V, LP C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 0001589685 Castle Creek Capital V LLC C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 0001197257 EGGEMEYER JOHN M III C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 0001242722 THOMAS J MIKESELL C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 0001332829 MERLO MARK G C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 0001481798 Pietrzak John C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 Guaranty Federal Bancshares, Inc. Common Stock 719022 D These securities are owned by Castle Creek Capital Partners V, LP ("Fund V"). Each of Castle Creek Capital V LLC, John M. Eggemeyer, J. Mikesell Thomas, Mark G. Merlo, and John T. Pietrzak may also be deemed to be the beneficial owner of the 719,022 shares of Common Stock held directly by 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 in Fund V, 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. CASTLE CREEK CAPITAL PARTNERS V, LP, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President 2016-08-03 CASTLE CREEK CAPITAL V LLC, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President 2016-08-03 JOHN M. EGGEMEYER, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer 2016-08-03 J. MIKESELL THOMAS, By: /s/ J. Mikesell Thomas, Name: J. Mikesell Thomas 2016-08-03 MARK G. MERLO, By: /s/ Mark G. Merlo, Name: Mark G. Merlo 2016-08-03 JOHN T. PIETRZAK, By: /s/ John T. Pietrzak, Name: John T. Pietrzak 2016-08-03