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ArrowMark Financial Corp. — Director's Dealing 2016
May 26, 2016
33872_dirs_2016-05-26_02e767b6-6599-4fe2-bfd6-48c5f497841f.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: 2016-05-24
Reporting Person: Shilowitz George (Director, President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-05-24 | Common Stock | P | 250 | $16.85 | Acquired | 11750 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 46321 | Indirect |
Footnotes
F1: Common Stock was purchased in the transaction by George Shilowitz. Following the transaction, 11,750 shares of Common Stock are owned directly by George Shilowitz and 46,321 share of Common Stock are owned by StoneCastle Asset Management LLC (4,811 shares of Common Stock) and its parent StoneCastle Partners, LLC (41,510 shares of Common Stock). George Shilowitz is a Managing Partner of Stone Castle Partners, LLC which is the 100% owner of StoneCastle Asset Management LLC, and is a Manger 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 shares held indirectly except to the extent of his pecuniary interest therein.