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