0001192482-16-000760.txt : 20161201
0001192482-16-000760.hdr.sgml : 20161201
20161201161505
ACCESSION NUMBER: 0001192482-16-000760
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161201
FILED AS OF DATE: 20161201
DATE AS OF CHANGE: 20161201
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: 162028493
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
2016-12-01
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
2016-12-01
4
P
0
300
18.675
A
13050
D
Common Stock
2016-12-01
4
P
0
250
18.6
A
13300
D
Common Stock
2016-12-01
4
P
0
250
18.7499
A
13550
D
Common Stock
46321
I
Refer to footnote
(1) Common Stock was purchased in the transactions by George Shilowitz. Following the transactions, 13,550 shares of Common Stock are owned directly by George Shilowitz and 46,321 share of Common Stock are owned by StoneCastle Asset Management LLC (4,811 shares of Common Stock) and its parent StoneCastle Partners, LLC (41,510 shares of Common Stock). 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 shares held indirectly except to the extent of his pecuniary interest therein.
/s/ George Shilowitz
2016-12-01