0001104659-17-042108.txt : 20170628
0001104659-17-042108.hdr.sgml : 20170628
20170628160437
ACCESSION NUMBER: 0001104659-17-042108
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170626
FILED AS OF DATE: 20170628
DATE AS OF CHANGE: 20170628
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23325
FILM NUMBER: 17935243
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23325
FILM NUMBER: 17935244
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23325
FILM NUMBER: 17935245
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23325
FILM NUMBER: 17935246
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23325
FILM NUMBER: 17935247
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23325
FILM NUMBER: 17935248
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
4
1
a4.xml
4
X0306
4
2017-06-26
0
0001046203
GUARANTY FEDERAL BANCSHARES INC
GFED
0001580580
Castle Creek Capital Partners V, LP
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
0
0
1
0
0001589685
Castle Creek Capital V LLC
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
0
0
1
0
0001197257
EGGEMEYER JOHN M III
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
0
0
1
0
0001242722
THOMAS J MIKESELL
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
0
0
1
0
0001332829
MERLO MARK G
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
0
0
1
0
0001481798
Pietrzak John
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
0
0
1
0
Guaranty Federal Bancshares, Inc. Common Stock
2017-06-26
4
P
0
100000
20.75
A
894022
D
These 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.
CASTLE CREEK CAPITAL PARTNERS V, LP, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President
2017-06-28
CASTLE CREEK CAPITAL V LLC, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President
2017-06-28
JOHN M. EGGEMEYER, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer
2017-06-28
J. MIKESELL THOMAS, By: /s/ J. Mikesell Thomas, Name: J. Mikesell Thomas
2017-06-28
MARK G. MERLO, By: /s/ Mark G. Merlo, Name: Mark G. Merlo
2017-06-28
JOHN T. PIETRZAK, By: /s/ John T. Pietrzak, Name: John T. Pietrzak
2017-06-28