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ArrowMark Financial Corp. — Director's Dealing 2015
May 8, 2015
33872_dirs_2015-05-08_3280f7df-4272-4963-af09-d47e4833a7fc.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: 2015-05-05
Reporting Person: Shilowitz George (Director, President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-05-05 | Common Stock | P | 3800 | $17.15 | Acquired | 3800 | Direct |
| 2015-05-05 | Common Stock | P | 3700 | $17.18 | Acquired | 7500 | Direct |
| 2015-05-05 | Common Stock | P | 1100 | $17.1 | Acquired | 8600 | Direct |
| 2015-05-05 | Common Stock | P | 1000 | $16.99 | Acquired | 9600 | Direct |
| 2015-05-05 | Common Stock | P | 200 | $17.01 | Acquired | 9800 | Direct |
| 2015-05-05 | Common Stock | P | 200 | $17.08 | Acquired | 10000 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 45510 | Indirect |
Footnotes
F1: Common Stock was purchased in the transactions by George Shilowitz. Following the transactions, 10,000 shares of Common Stock are owned directly by George Shilowitz and 45,510 shares of Common Stock are owned by StoneCastle Asset Management LLC. George Shilowitz 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. Shilowitz disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.