0001192482-21-000216.txt : 20210305 0001192482-21-000216.hdr.sgml : 20210305 20210305162044 ACCESSION NUMBER: 0001192482-21-000216 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210303 FILED AS OF DATE: 20210305 DATE AS OF CHANGE: 20210305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Emrich John Scott CENTRAL INDEX KEY: 0001777979 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22853 FILM NUMBER: 21718725 MAIL ADDRESS: STREET 1: C/O DESTRA CAPITAL ADVISORS LLC STREET 2: 444 WEST LAKE STREET, SUITE 1700 CITY: CHICAGO STATE: IL ZIP: 60606-0070 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: StoneCastle Financial Corp. CENTRAL INDEX KEY: 0001578987 IRS NUMBER: 900934878 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 100 FILLMORE STREET, SUITE 325 CITY: DENVER STATE: CO ZIP: 80206 BUSINESS PHONE: (303) 398-2929 MAIL ADDRESS: STREET 1: 100 FILLMORE STREET, SUITE 325 CITY: DENVER STATE: CO ZIP: 80206 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2021-03-03 0001578987 StoneCastle Financial Corp. BANX 0001777979 Emrich John Scott C/O STONECASTLE FINANCIAL CORP. 100 FILLMORE STREET, SUITE 325 DENVER CO 80206 1 0 0 0 Common Stock 2021-03-03 4 S 0 1100 20.96 D 1700 D The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $20.67 to $21.15, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. /s/ John Scott Emrich 2021-03-05