0001192482-15-000158.txt : 20150506
0001192482-15-000158.hdr.sgml : 20150506
20150506134707
ACCESSION NUMBER: 0001192482-15-000158
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150504
FILED AS OF DATE: 20150506
DATE AS OF CHANGE: 20150506
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: StoneCastle Financial Corp.
CENTRAL INDEX KEY: 0001578987
IRS NUMBER: 900934878
STATE OF INCORPORATION: DE
BUSINESS ADDRESS:
STREET 1: 152 WEST 57TH STREET 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-354-6500
MAIL ADDRESS:
STREET 1: 152 WEST 57TH STREET 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Siegel Joshua S.
CENTRAL INDEX KEY: 0001586681
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-22853
FILM NUMBER: 15836252
BUSINESS ADDRESS:
BUSINESS PHONE: 212-354-6500
MAIL ADDRESS:
STREET 1: 152 WEST 57TH STREET
STREET 2: 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2015-05-04
0
0001578987
StoneCastle Financial Corp.
banx
0001586681
Siegel Joshua S.
152 WEST 57TH STREET
35TH FLOOR
NEW YORK
NY
10019
1
1
0
0
Chief Executive Officer
Common Stock
2015-05-04
4
P
0
100
17.15
A
1607
D
Common Stock
2015-05-04
4
P
0
900
17.2799
A
2507
D
Common Stock
45510
I
By StoneCastle Asset Management LLC
Common Stock was purchased in the transactions by Joshua Siegel. Following the transactions, 2,507 shares of Common Stock are owned directly by Joshua Siegel and 45,510 shares of Common Stock are owned by StoneCastle Asset Management LLC. 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.
/s/ Joshua S. Siegel
2015-05-06