0001104659-17-052098.txt : 20170815 0001104659-17-052098.hdr.sgml : 20170815 20170815191021 ACCESSION NUMBER: 0001104659-17-052098 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170814 FILED AS OF DATE: 20170815 DATE AS OF CHANGE: 20170815 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: 171034994 MAIL ADDRESS: STREET 1: 51 WEST 52ND ST 14TH FL CITY: NEW YORK STATE: NY ZIP: 10019 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: 171034992 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: 171034993 MAIL ADDRESS: STREET 1: 4500 MERCANTILE PLAZA DRIVE, SUITE 300 CITY: FORT WORTH STATE: TX ZIP: 76137 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: 171034995 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: 171034997 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 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: 171034996 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 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 4 1 a4.xml 4 X0306 4 2017-08-14 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 2017-08-14 4 P 0 24782 20.88 A 918804 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 2017-08-15 CASTLE CREEK CAPITAL V LLC, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President 2017-08-15 JOHN M. EGGEMEYER, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer 2017-08-15 J. MIKESELL THOMAS, By: /s/ J. Mikesell Thomas, Name: J. Mikesell Thomas 2017-08-15 MARK G. MERLO, By: /s/ Mark G. Merlo, Name: Mark G. Merlo 2017-08-15 JOHN T. PIETRZAK, By: /s/ John T. Pietrzak, Name: John T. Pietrzak 2017-08-15