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