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ArrowMark Financial Corp. — Director's Dealing 2013
Nov 13, 2013
33872_dirs_2013-11-13_0f0f78d1-8d3c-4760-ba9b-852d01acc033.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: StoneCastle Financial Corp. (BANX)
CIK: 0001578987
Period of Report: 2013-11-13
Reporting Person: Siegel Joshua S. (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-13 | Common Stock | P | 41510 | $1037750.00 | Acquired | 45511 | Indirect |
Footnotes
F1: Common Stock was purchased in the transaction by StoneCastle Asset Management LLC, and 45,510 shares of Common Stock are owned by StoneCastle Asset Management LLC. Joshua Siegel is a Managing Partner 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. Mr. Siegel disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.