0001192482-17-000257.txt : 20170925
0001192482-17-000257.hdr.sgml : 20170925
20170925155627
ACCESSION NUMBER: 0001192482-17-000257
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170922
FILED AS OF DATE: 20170925
DATE AS OF CHANGE: 20170925
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: 171099820
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
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
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-09-22
0001578987
StoneCastle Financial Corp.
BANX
0001586681
Siegel Joshua S.
C/O STONECASTLE FINANCIAL CORP.
152 WEST 57TH STREET
NEW YORK
NY
10019
1
1
0
0
CEO
Common Stock
2017-09-22
4
P
0
200
20.3346
A
6507
D
Common Stock
46833
I
By StoneCastle Asset Management LLC
Common Stock was purchased in the transaction by Joshua Siegel. Following the transaction, 6,507 shares of Common Stock are owned directly by Joshua Siegel and 46,833 shares of Common Stock are owned by StoneCastle Asset Management LLC (5,323 shares of Common Stock) and its parent StoneCastle Partners (41,510 shares of Common Stock). 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
2017-09-25