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