0001192482-15-000383.txt : 20150901
0001192482-15-000383.hdr.sgml : 20150901
20150901111407
ACCESSION NUMBER: 0001192482-15-000383
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150814
FILED AS OF DATE: 20150901
DATE AS OF CHANGE: 20150901
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: Shilowitz George
CENTRAL INDEX KEY: 0001586683
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-22853
FILM NUMBER: 151086600
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
2015-08-14
0
0001578987
StoneCastle Financial Corp.
BANX
0001586683
Shilowitz George
152 WEST 57TH STREET
35TH FLOOR
NEW YORK
NY
10019
1
1
0
0
President
Common Stock
2015-08-14
4
P
0
1500
15.84
A
11500
D
Common Stock
45510
I
By StoneCastle Asset Management LLC
Common Stock was purchased in the transaction by George Shilowitz. Following the transaction, 11,500 shares of Common Stock are owned directly by George Shilowitz and 45,510 share of Common Stock are owned by StoneCastle Asset Management LLC. George Shilowitz is a Managing Partner of Stone Castle Partners, LLC which is the 100% owner of StoneCastle Asset Management LLC, and is a Manger of StoneCastle Asset Management LLC, and has the power to direct voting and investment in the shares owned by StoneCastle Asset Management LLC. Mr. Shilowitz disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
/s/ George Shilowitz
2015-09-01