Podstawowe statystyki
| LEI | 549300IG3L8MH4JMIN52 |
| CIK | 1578987 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to ArrowMark Financial Corp.
SEC Filings (Chronological Order)
Na tej stronie znajduje się pełna, chronologiczna lista zgłoszeń SEC, z wyłączeniem zgłoszeń własności, które udostępniamy gdzie indziej.
| May 6, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) ☒ Definitive Proxy Statement ☐ De |
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| January 28, 2026 |
ArrowMark Financial Corp. 8-K Exhibit 10.2 January 22, 2026 ArrowMark Financial Corp. 100 Fillmore Street, Suite 325 Denver CO 80206 Attn: Patrick Farrell RE: ArrowMark Financial Corp. (BANX) – Rights Offer Dear Mr. Farrell: This will serve as the Agreement between EQ Fund Solutions, LLC (“EQ Fund Solutions”) and ArrowMark Financial Corp. (the “Client”), pursuant to which EQ Fund Solutions will se |
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| January 28, 2026 |
ArrowMark Financial Corp. 8-K Exhibit 1.1 ARROWMARK FINANCIAL CORP. 2,604,156 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares DEALER MANAGER AGREEMENT New York, New York January 22, 2026 UBS Securities LLC 11 Madison Avenue New York, NY 10010 Ladies and Gentlemen: Each of ArrowMark Financial Corp., a Delaware corporation (the “Fund”), and ArrowMark |
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| January 28, 2026 |
ArrowMark Financial Corp. 8-K Exhibit 99.2 |
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| January 28, 2026 |
ArrowMark Financial Corp. 8-K Exhibit 99.1 NOTICE OF GUARANTEED DELIVERY For Common Shares of ArrowMark Financial Corp. Subscribed for under the Primary Subscription and Pursuant to the Over-Subscription Privilege As set forth in the Prospectus Supplement, dated January 22, 2026, and the accompanying Prospectus, dated February 18, 2025 (collectively, the “Prospectus”), this form or one substantial |
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| January 28, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 28, 2026 (January 22, 2026) ArrowMark Financial Corp. (Exact name of registrant as specified in its charter) Delaware 811-22853 90-0934878 (State or other jurisdiction of incor |
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| January 28, 2026 |
ArrowMark Financial Corp. 8-K Exhibit 10.1 SUBSCRIPTION AGENT AGREEMENT This SUBSCRIPTION AGENT AGREEMENT (this “Agreement”) is entered into as of January 22, 2026 (the “Effective Date”) by and between EQUINITI TRUST COMPANY, LLC, a New York limited liability trust company (the “Subscription Agent”), and ArrowMark Financial Corp. (the “Company”). WHEREAS, the Company is offering (the “Rights Offer |
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| January 22, 2026 |
PROSPECTUS SUPPLEMENT (to Prospectus dated February 18, 2025) 2,604,156 Shares of Common Stock ArrowMark Financial Corp. |
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| December 22, 2025 |
ArrowMark Financial Corp. Common Stock Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-281004 PROSPECTUS SUPPLEMENT (to Base Prospectus effective February 18, 2025) ArrowMark Financial Corp. $14,999,987.72 Common Stock ArrowMark Financial Corp. (the “Company”) is offering 673,249 shares of our common stock, par value $0.001 per share, directly to institutional investors, including clients of ArrowMark Colorado Holdings, |
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| December 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 18, 2025 ArrowMark Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 811-22853 90-0934878 (State or other jurisdiction of incorporation) (Commission |
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| December 19, 2025 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of December 18, 2025, by and among ArrowMark Financial Corp., a Delaware corporation with headquarters located at 100 Fillmore Street, Suite 325, Denver, Colorado 80206 (the “Company”), and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, t |
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| December 19, 2025 |
ArrowMark Financial Corp. Announces $14.9 Million Registered Direct Offering Exhibit 99.1 ArrowMark Financial Corp. Announces $14.9 Million Registered Direct Offering ArrowMark Financial Corp. (Nasdaq: BANX) (“ArrowMark” or the “Fund”) today announced that it has entered into a securities purchase agreement with investors to purchase 673,249 of its shares of common stock, in a registered direct offering. The purchase price for one share of common stock was $22.28. The Net |
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| December 16, 2025 |
DISTRIBUTION AGREEMENT This DISTRIBUTION AGREEMENT (this “Agreement”) is made as of December 15, 2025 by and between ArrowMark Financial Corp. |
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| December 16, 2025 |
SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc. 1290 Broadway, Suite 1000 Denver, CO 80203 SUB-PLACEMENT AGENT AGREEMENT ALPS Distributors, Inc. 1290 Broadway, Suite 1000 Denver, CO 80203 December 15, 2025 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by ArrowMark Financial Corp. Ladies and Gentlemen: From time to time ALPS Distributors, Inc. (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings |
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| December 16, 2025 |
ArrowMark Financial Corp. Announces At-the-Market Offering Exhibit 99.1 ArrowMark Financial Corp. Announces At-the-Market Offering ArrowMark Financial Corp. (Nasdaq: BANX) (“ArrowMark” or the “Company”) today announced that it has filed a prospectus supplement with the U.S. Securities and Exchange Commission (“SEC”), under which it may offer and sell up to $25,000,000 of its common stock (the “Common Stock”) from time to time through an “at-the-market” eq |
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| December 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 15, 2025 ArrowMark Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 811-22853 90-0934878 (State or other jurisdiction of incorporation) (Commission |
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| December 15, 2025 |
Up to $25,000,000 ArrowMark Financial Corp. Common Stock Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-281004 PROSPECTUS SUPPLEMENT (to Base Prospectus effective February 18, 2025) Up to $25,000,000 ArrowMark Financial Corp. Common Stock ArrowMark Financial Corp. (the “Company”) has entered into distribution agreement, dated December 15, 2025 (the “Distribution Agreement”), with ALPS Distributors, Inc. (the “Distributor”), relating to |
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| May 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) ☒ Definitive Proxy Statement ☐ De |
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| March 28, 2025 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 25, 2025 ArrowMark Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 811-22853 90-0934878 (State or other jurisdiction of incorporation) (Commission Fil |
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| February 13, 2025 |
Troutman Pepper Locke LLP 305 Church at N. Hills Street, Suite 1200 Raleigh, NC 27609 troutman.com James L. Severs [email protected] February 13, 2025 Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Karen Rossotto, Senior Counsel Re: ArrowMark Financial Corp. (the “Company”) Registration Statement on Form N-2 |
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| February 7, 2025 |
Troutman Pepper Locke LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| November 14, 2024 |
BANX / ArrowMark Financial Corp. / ArrowMark Colorado Holdings LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) ☒ Definitive Proxy Statement ☐ |
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| April 2, 2024 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| February 14, 2024 |
BANX / ArrowMark Financial Corp. / ArrowMark Colorado Holdings LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) ☒ Definitive Proxy Statement ☐ |
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| February 14, 2023 |
BANX / StoneCastle Financial Corp / ArrowMark Colorado Holdings LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| November 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 c1048188k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 9, 2022 ArrowMark Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorpo |
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| November 9, 2022 |
ArrowMark Financial Corp. Reports Third Quarter 2022 Results Exhibit 99.1 ArrowMark Financial Corp. Reports Third Quarter 2022 Results DENVER, November 9, 2022? ArrowMark Financial Corp. (Nasdaq: BANX) (?ArrowMark Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the third fiscal quarter ended September 30, 2022. Third Quarter 2022 Investment Highlights: ? Invested |
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| August 4, 2022 |
ArrowMark Financial Corp. Reports Second Quarter 2022 Results Exhibit 99.1 ArrowMark Financial Corp. Reports Second Quarter 2022 Results DENVER, August 4, 2022? ArrowMark Financial Corp. (Nasdaq: BANX) (?ArrowMark Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the second fiscal quarter ended June 30, 2022. Second Quarter 2022 Investment Highlights: ? Invested app |
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| August 4, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 4, 2022 ArrowMark Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of inc |
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| June 16, 2022 |
Exhibit 99.1 ArrowMark Financial Corp. Announces Estimated May 2022 Net Asset Value and Announces the Appointment of ArrowMark Financial Corp. President, Dana Staggs June 14, 2022 DENVER, June 14, 2022 (GLOBE NEWSWIRE) - ArrowMark Financial Corp., (NASDAQ: BANX) (?ArrowMark Financial? or the ?Company?), today announced that the Company?s May 31, 2022, estimated and unaudited Net Asset Value (?NAV? |
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| June 16, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 14, 2022 ArrowMark Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorporation) (Commission Fil |
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| June 3, 2022 |
8-K 1 tm2217616d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 27, 2022 ArrowMark Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction o |
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| May 12, 2022 |
ArrowMark Financial Corp. Reports First Quarter 2022 Results Exhibit 99.1 ArrowMark Financial Corp. Reports First Quarter 2022 Results DENVER, May 12, 2022? ArrowMark Financial Corp. (Nasdaq: BANX) (?ArrowMark Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the first fiscal quarter ended March 31, 2022. First Quarter 2022 Investment Highlights: ? Invested approxi |
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| May 12, 2022 |
ArrowMark Financial Corp. (formerly StoneCastle Financial Corp.) Consolidated Schedule of Investments (unaudited) As of March 31, 2022 Company(1) Investment # of Shares/Par Amount(2) Fair Value(3) Term Loans – 12.0% Banking – 12.0% American Capital Bancorp Subordinated Term Loan, 9.00%, 4/01/2028 $7,000,000 $ 6,999,125 Equity Bancshares Inc. Subordinated Term Loan, 7.00%, 6/30/2030 $5,000,000 |
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| May 12, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 c1036748k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 12, 2022 ArrowMark Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorporati |
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| May 6, 2022 |
DEF 14A 1 arrowmark-def14a061722.htm DEFINITIVE PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential for Use of the Commission Only as p |
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| May 6, 2022 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| April 8, 2022 |
PRE 14A 1 arrow-pre14a061722.htm PRELIMINARY PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by Party other than the Registrant Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential for Use of the Commission Only as perm |
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| March 25, 2022 |
424B3 1 tm2210256d1424b3.htm 424B3 Filed Pursuant to Rule 424(b)(3) 1933 Act File No. 333-251349 PROSPECTUS SUPPLEMENT (To Base Prospectus dated May 26, 2021 and Prospectus Supplement dated October 21, 2021) ArrowMark Financial Corp. Effective February 24, 2022, StoneCastle Financial Corp. changed its name to ArrowMark Financial Corp. Also effective on February 24, 2022, StoneCastle-ArrowMark Asse |
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| February 28, 2022 |
ArrowMark Financial Corp. Reports Fourth Quarter 2021 Results Exhibit 99.1 ArrowMark Financial Corp. Reports Fourth Quarter 2021 Results DENVER, February 28, 2022? ArrowMark Financial Corp. (Nasdaq: BANX) (?ArrowMark Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the fourth fiscal quarter ended December 31, 2021. Fourth Quarter 2021 Investment Highlights: ? Inves |
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| February 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 28, 2022 ArrowMark Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of |
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| February 14, 2022 |
BANX / StoneCastle Financial Corp / ArrowMark Colorado Holdings LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 3)* StoneCastle Financial Corp (Name of Issuer) Common (Title of Class of Securities) 861780104 (CUSIP Number) December 31, 2021 (Date of Event Which Require |
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| November 10, 2021 |
StoneCastle Financial Corp. Reports Third Quarter 2021 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Third Quarter 2021 Results DENVER, November 10, 2021? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the third fiscal quarter ended September 30, 2021. Third Quarter 2021 Investment Highlights: ? I |
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| November 10, 2021 |
StoneCastle Financial Corp. Consolidated Schedule of Investments (unaudited) As of September 30, 2021 Company(1) Investment # of Shares/Par Amount(2) Fair Value(3) Term Loans – 12.0% Banking – 12.0% American Capital Bancorp Subordinated Term Loan, 9.00%, 4/1/2028 $7,000,000 $ 6,998,250 Equity Bancshares Inc. Subordinated Term Loan, 7.00%, 6/30/2030 $5,000,000 5,312,500 F.N.B.C. of La Grange, I |
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| November 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 c1025318k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 10, 2021 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commis |
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| October 21, 2021 |
Exhibit 10.1 STONECASTLE FINANCIAL CORP. Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement October 20, 2021 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: StoneCastle Financial Corp, a Delaware corporation (the ?Company?), confirms its agreement (this ?Agreement?) with B. Riley Securities, Inc. (the ?Agent?) as follows: 1. |
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| October 21, 2021 |
Entry into a Material Definitive Agreement, Other Events, Financial Statements and Exhibits 8-K 1 a21-3073418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 21, 2021 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction o |
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| October 21, 2021 |
StoneCastle Financial Corp. Announces At-the-Market Offering Exhibit 99.1 StoneCastle Financial Corp. Announces At-the-Market Offering DENVER, October 21, 2021 ? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle? or the ?Company?) today announced that it has filed a prospectus supplement with the U.S. Securities and Exchange Commission (?SEC?), under which it may offer and sell up to $30,000,000 of its common stock (the ?Common Stock?) from time to t |
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| October 21, 2021 |
StoneCastle Financial Corp. Common Stock Filed Pursuant to Rule 424(b)(2) 1933 Act File No. 333-251349 PROSPECTUS SUPPLEMENT (To Base Prospectus dated May 26, 2021) StoneCastle Financial Corp. $30,000,000 Common Stock StoneCastle Financial Corp. (the “Company,” “we,” “us,” or “our”) is a non-diversified, closed-end management investment company registered as an investment company under the Investment Company Act of 1940, as amended, or t |
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| August 5, 2021 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 5, 2021 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of i |
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| August 5, 2021 |
StoneCastle Financial Corp. Reports Second Quarter 2021 Results Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports Second Quarter 2021 Results DENVER, August 5, 2021? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the second fiscal quarter ended June 30, 2021. Second Quarter 2021 In |
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| July 14, 2021 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this ?Agreement?), dated as of July 9, 2021, by and among StoneCastle Financial Corp., a Delaware corporation with headquarters located at 100 Fillmore Street, Suite 325, Denver, Colorado 80206 (the ?Company?), and each investor identified on the signature pages hereto (individually, an ?Investor? and collectively, the |
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| July 14, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 14, 2021 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorporation) (Commission F |
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| July 14, 2021 |
StoneCastle Financial Corp. Announces $10.8 Million Registered Direct Offering Exhibit 99.1 StoneCastle Financial Corp. Announces $10.8 Million Registered Direct Offering July 12, 2021 DENVER, July 12, 2021 (GLOBE NEWSWIRE) - StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle? or the ?Company?) today announced that it has entered into a securities purchase agreement with investors to purchase 492,234 of its shares of common stock, in a registered direct offering. The p |
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| July 13, 2021 |
StoneCastle Financial Corp. Common Stock Filed Pursuant to Rule 424(b)(2) 1933 Act File No. 333-251349 PROSPECTUS SUPPLEMENT (To Base Prospectus dated May 26, 2021) StoneCastle Financial Corp. $10,775,000 Common Stock StoneCastle Financial Corp. (the ?Company,? ?we,? or ?our?) is a non-diversified, closed-end management investment company, which commenced operations on November 13, 2013. Our primary investment objective is to provide sto |
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| May 27, 2021 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| May 26, 2021 |
StoneCastle Financial Corp. 100 Fillmore Street, Suite 325 Denver, Colorado 80206 May 26, 2021 StoneCastle Financial Corp. 100 Fillmore Street, Suite 325 Denver, Colorado 80206 May 26, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: Karen Rossotto, Senior Counsel Re: StoneCastle Financial Corp. Registration Statement on Form N-2 File No.811-22853 and 1933 Act File No. 333-251349 Ladies and Gentlemen: Pu |
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| May 13, 2021 |
StoneCastle Financial Corp. Consolidated Schedule of Investments (unaudited) As of March 31, 2021 # of Shares/Par Company(1) Investment Amount(2) Fair Value(3) Term Loans – 12.9% Banking – 12.9% American Capital Bancorp Subordinated Term Loan, 9.00%, 4/01/2028 $ 7,000,000 $ 6,982,500 Equity Bancshares Inc. Subordinated Term Loan, 7.00%, 6/30/2030 $ 5,000,000 5,209,375 F.N.B.C. of La Grange, Inc. S |
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| May 13, 2021 |
StoneCastle Financial Corp. Reports First Quarter 2021 Results Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports First Quarter 2021 Results DENVER, May 13, 2021? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the first fiscal quarter ended March 31, 2021. First Quarter 2021 Invest |
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| May 13, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 13, 2021 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of inc |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ? Filed by Party other than the Registrant Check the appropriate box: ? Preliminary Proxy Statement ? Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) ? Definitive Proxy Statement ? Defi |
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| April 30, 2021 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| April 30, 2021 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| April 9, 2021 |
Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square, Eighteenth and Arch Streets Philadelphia, PA 19103-2799 troutman. |
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| April 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ? Filed by Party other than the Registrant Check the appropriate box: ? Preliminary Proxy Statement ? Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) ? Definitive Proxy Statement ? Defi |
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| March 1, 2021 |
StoneCastle Financial Corp. Reports Fourth Quarter 2020 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Fourth Quarter 2020 Results DENVER, March 1, 2021— StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the fourth fiscal quarter ended December 31, 2020. Fourth Quarter 2020 Investment Highlights: · Inv |
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| March 1, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 1, 2021 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of in |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 2)* StoneCastle Financial Corp (Name of Issuer) Common (Title of Class of Securities) 861780104 (CUSIP Number) December 31, 2020 (Date of Event Which Require |
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| November 12, 2020 |
StoneCastle Financial Corp. Reports Third Quarter 2020 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Third Quarter 2020 Results DENVER, November 12, 2020 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the third fiscal quarter ended September 30, 2020. Third Quarter 2020 Investment Highlights: · |
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| November 12, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 12, 2020 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorporation) (Commissi |
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| November 12, 2020 |
StoneCastle Financial Corp. Consolidated Schedule of Investments (unaudited) As of September 30, 2020 # of Shares/Par Company(1) Investment Amount(2) Fair Value(3) Term Loans – 16.2% Banking – 16.2% American Capital Bancorp Subordinated Term Loan, 9.00%, 4/1/2028 $ 7,000,000 $ 6,965,000 Equity Bancshares Inc. Subordinated Term Loan, 7.00%, 6/30/2030 $ 5,000,000 5,075,000 F.N.B.C. of La Grange, Inc |
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| August 6, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 c1002608k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 6, 2020 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorpo |
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| August 6, 2020 |
StoneCastle Financial Corp. Reports Second Quarter 2020 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Second Quarter 2020 Results DENVER, August 6, 2020 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the second fiscal quarter ended June 30, 2020. Second Quarter 2020 Investment Highlights: · Inves |
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| June 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a6(e)(2)) o Definitive Proxy Statement x Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| May 27, 2020 |
StoneCastle Financial Corp. Schedule of Investments (unaudited) As of March 31, 2020 # of Shares/Par Company(1) Investment Amount ($)(2) Fair Value(3) Term Loans — 16.1% Banking - 16.1% American Capital Bancorp Subordinated Term Loan, 9.00%, 4/1/2028 $ 7,000,000 $ 6,816,250 Big Poppy Holdings, Inc. Subordinated Term Loan, 6.50%, 7/1/2027 $ 3,500,000 3,395,000 F.N.B.C. of La Grange, Inc. Subordinat |
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| May 19, 2020 |
CORRESP 1 filename1.htm 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215.981.4000 Fax 215.981.4750 Christopher M. Trueax direct dial: 215.981.4723 direct fax: 215.689.4668 [email protected] May 19, 2020 Via EDGAR Ms. Alison White U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: StoneCastle Financial Corp. 1940 Act File No. 811-2 |
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| May 19, 2020 |
Our definitive proxy statement on Schedule 14A, filed with the SEC on May 19, 2020. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) ☒ Definitive Proxy Statement ☐ Defi |
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| May 7, 2020 |
StoneCastle Financial Corp. Reports First Quarter 2020 Results Exhibit 99.1 StoneCastle Financial Corp. Reports First Quarter 2020 Results DENVER, May 7, 2020 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the first fiscal quarter ended March 31, 2020. First Quarter 2020 Investment Highlights: · Realized f |
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| May 7, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 7, 2020 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of inco |
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| April 9, 2020 |
BANX / StoneCastle Financial Corporation PRE 14A - - PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by Party other than the Registrant Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) ☐ Definitive Proxy Statement ☐ Defi |
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| April 9, 2020 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| February 27, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 27, 2020 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer o |
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| February 27, 2020 |
StoneCastle Financial Corp. Reports Fourth Quarter 2019 Results Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports Fourth Quarter 2019 Results DENVER, February 27, 2020 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the fourth fiscal quarter ended December 31, 2019. Fourth Quarter |
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| February 14, 2020 |
8-K 1 c952708k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 13, 2020 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incor |
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| February 14, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 4)* StoneCastle Financial Corp (Name of Issuer) Common (Title of Class of Securities) 861780104 (CUSIP Number) December 31, 2019 (Date of Event Which Require |
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| February 13, 2020 |
Financial Statements and Exhibits, Other Events 8-K 1 c952478k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 12, 2020 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incor |
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| February 13, 2020 |
Exhibit 99.1 STONECASTLE FINANCIAL CORP. ANNOUNCES ARROWMARK PARTNERS’ ACQUISITION OF STONECASTLE ASSET MANAGEMENT’S BANK INVESTMENT PLATFORM, STOCKHOLDER APPROVAL OF NEW MANAGEMENT AGREEMENT AND ELECTION OF DIRECTORS New York, NY February 12, 2020 /GLOBE NEWSWIRE/ - StoneCastle Financial Corp. (NASDAQ: BANX) ("StoneCastle Financial" or the “Company”) today announced that ArrowMark Partners (“Arro |
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| February 5, 2020 |
BANX / StoneCastle Financial Corporation DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a6(e)(2)) o Definitive Proxy Statement x Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| January 31, 2020 |
BANX / StoneCastle Financial Corporation DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a6(e)(2)) o Definitive Proxy Statement x Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| January 30, 2020 |
BANX / StoneCastle Financial Corporation DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a6(e)(2)) o Definitive Proxy Statement x Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| January 23, 2020 |
BANX / StoneCastle Financial Corporation DEFA14A - - 3B2 EDGAR HTML - c94762preflight.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| January 15, 2020 |
BANX / StoneCastle Financial Corporation DEFA14A - - 3B2 EDGAR HTML - c94762preflight.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| January 3, 2020 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| January 3, 2020 |
BANX / StoneCastle Financial Corporation DEF 14A - - 3B2 EDGAR HTML - c94762preflight.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| December 17, 2019 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| December 17, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| December 11, 2019 |
BANX / StoneCastle Financial Corporation DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement ý Definitive Additional Materials ý Soliciting Material Under Rule 14a-12 StoneCastle Financial Corp. |
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| December 9, 2019 |
DECEMBER 2019 ARROWMARK ACQUIRING STONECASTLE’S BANK ASSET MANAGEMENT PLATFORM TO CREATE LEADING BANK/CREDIT INVESTMENT COMPANY Overview Presentation Disclaimers Forward - Looking Statements This presentation, and all oral statements made regarding the subject matter of this communication, contain forward - looking stat ements, including statements regarding the transaction described in this presentation. |
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| December 9, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 5, 2019 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorporation) (Commissio |
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| December 9, 2019 |
Press Release, dated December 9, 2019 STONECASTLE FINANCIAL CORP. ANNOUNCES ARROWMARK PARTNERS’ AGREEMENT TO ACQUIRE STONECASTLE ASSET MANAGEMENT’S BANK INVESTMENT PLATFORM New York, NY, December 9, 2019/GLOBE NEWSWIRE/ - StoneCastle Financial Corp. (NASDAQ: BANX) (“StoneCastle Financial” or the “Company”) today announced that ArrowMark Partners (“ArrowMark”) has entered into a definitive agreement to acquire the platform and assets o |
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| December 9, 2019 |
EX-99.1 2 c94713ex99-1.htm STONECASTLE FINANCIAL CORP. ANNOUNCES ARROWMARK PARTNERS’ AGREEMENT TO ACQUIRE STONECASTLE ASSET MANAGEMENT’S BANK INVESTMENT PLATFORM New York, NY, December 9, 2019/GLOBE NEWSWIRE/ - StoneCastle Financial Corp. (NASDAQ: BANX) (“StoneCastle Financial” or the “Company”) today announced that ArrowMark Partners (“ArrowMark”) has entered into a definitive agreement to acquir |
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| December 9, 2019 |
BANX / StoneCastle Financial Corporation DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 5, 2019 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorporation) (Commissio |
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| December 9, 2019 |
Investor Presentation, dated December 9, 2019 DECEMBER 2019 ARROWMARK ACQUIRING STONECASTLE’S BANK ASSET MANAGEMENT PLATFORM TO CREATE LEADING BANK/CREDIT INVESTMENT COMPANY Overview Presentation Disclaimers Forward - Looking Statements This presentation, and all oral statements made regarding the subject matter of this communication, contain forward - looking stat ements, including statements regarding the transaction described in this presentation. |
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| October 30, 2019 |
StoneCastle Financial Corp. Reports Third Quarter 2019 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Third Quarter 2019 Results NEW YORK, October 30, 2019 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the third fiscal quarter ended September 30, 2019. Third Quarter 2019 Investment Highlights: · |
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| October 30, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 c944868k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 30, 2019 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorp |
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| October 30, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 c94457ex99cert.htm EXHIBIT 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. Siegel, certify that: 1. I have reviewed this report on Form N-Q of StoneCastle Financial Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to |
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| October 30, 2019 |
BANX / StoneCastle Financial Corporation N-Q - Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) Joshua |
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| August 8, 2019 |
StoneCastle Financial Corp. Reports Second Quarter 2019 Results EX-99.1 2 c94072ex99-1.htm Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports Second Quarter 2019 Results NEW YORK, August 8, 2019 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the second fiscal quarter ended June 30 |
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| August 8, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 8, 2019 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of i |
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| May 2, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 2, 2019 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of inco |
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| May 2, 2019 |
StoneCastle Financial Corp. Reports First Quarter 2019 Results EX-99.1 2 c93502ex99-1.htm Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports First Quarter 2019 Results NEW YORK, May 2, 2019 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the first fiscal quarter ended March 31, 20 |
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| May 2, 2019 |
BANX / StoneCastle Financial Corporation N-Q Quarterly Schedule of Portfolio Holdings UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) Joshua |
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| May 2, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.cert Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. Siegel, certify that: 1. I have reviewed this report on Form N-Q of StoneCastle Financial Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in lig |
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| April 30, 2019 |
BANX / StoneCastle Financial Corporation POS 8C POS 8C As filed with the Securities and Exchange Commission on April 30, 2019 Securities Act File No. |
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| April 30, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.n.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-2/A of StoneCastle Financial Corp. and to the use of our report dated February 27, 2019 on the financial statements and financial highlights of StoneCastle Financial Corp. Such financial statements and financial highlights appear in the 2018 Annua |
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| April 23, 2019 |
BANX / StoneCastle Financial Corporation DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to §240. |
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| April 23, 2019 |
BANX / StoneCastle Financial Corporation CORRESP - - CORRESP 1 filename1.htm 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215.981.4000 Fax 215.981.4750 John P. Falco direct dial: 215.981.4659 direct fax: 866.422.2114 [email protected] April 23, 2019 Via EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, D.C. 20549 Attn: Alison T. White, Senior Counsel Re: St |
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| April 23, 2019 |
BANX / StoneCastle Financial Corporation CORRESP - - 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| March 25, 2019 |
BANX / StoneCastle Financial Corporation PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to §240. |
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| March 25, 2019 |
BANX / StoneCastle Financial Corporation CORRESP - - 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| February 28, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 28, 2019 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer o |
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| February 28, 2019 |
StoneCastle Financial Corp. Reports Fourth Quarter 2018 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Fourth Quarter 2018 Results NEW YORK, February 28, 2019 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the fourth fiscal quarter ended December 31, 2018. Fourth Quarter 2018 Investment Highlights |
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| February 14, 2019 |
SC 13G/A 1 fp0039688sc13ga.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 3)* StoneCastle Financial Corp (Name of Issuer) Common (Title of Class of Securities) 861780104 (CUSIP Number) December 31, 20 |
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| November 1, 2018 |
BANX / StoneCastle Financial Corporation N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) Joshua |
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| November 1, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 c92231ex99cert.htm Exhibit 99.cert Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. Siegel, certify that: 1. I have reviewed this report on Form N-Q of StoneCastle Financial Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to |
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| November 1, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 1, 2018 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware (State or other jurisdiction of incorporation) 333-189307 (Commission File Numb |
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| November 1, 2018 |
StoneCastle Financial Corp. Reports Third Quarter 2018 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Third Quarter 2018 Results NEW YORK, November 1, 2018 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the third fiscal quarter ended September 30, 2018. Third Quarter 2018 Investment Highlights: · |
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| August 23, 2018 |
BANX / StoneCastle Financial Corporation CORRESP 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| August 13, 2018 |
AGREEMENT STONECASTLE ASSET MANAGEMENT, LLC (“Advisor”) STONECASTLE FINANCIAL CORP. (“Company”) Exhibit 99.(k)(7) AGREEMENT BETWEEN STONECASTLE ASSET MANAGEMENT, LLC (“Advisor”) AND STONECASTLE FINANCIAL CORP. (“Company”) This agreement dated January 12, 2017 is between the Advisor and the Company whereby the Advisor agrees to waive a fee equal to $115,000 (the “Management Fee”) representing a portion of the management fee that would otherwise be payable to the Advisor for the quarter ended |
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| August 13, 2018 |
BANX / StoneCastle Financial Corporation CORRESP 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| August 13, 2018 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.(n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-2/A of StoneCastle Financial Corp. and to the use of our report dated February 26, 2018 on the financial statements and financial highlights of StoneCastle Financial Corp. Such financial statements and financial highlights appear in the 2017 An |
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| August 13, 2018 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| August 13, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 As filed with the Securities and Exchange Commission on August 13, 2018 Securities Act File No. |
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| August 9, 2018 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 9, 2018 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of i |
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| August 9, 2018 |
StoneCastle Financial Corp. Reports Second Quarter 2018 Results Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports Second Quarter 2018 Results NEW YORK, August 9, 2018 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the second fiscal quarter ended June 30, 2018. Second Quarter 2018 |
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| June 28, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 As filed with the Securities and Exchange Commission on June 28, 2018 Securities Act File No. |
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| June 28, 2018 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.(n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-2/A of StoneCastle Financial Corp. and to the use of our report dated February 26, 2018 on the financial statements and financial highlights of StoneCastle Financial Corp. Such financial statements and financial highlights appear in the 2017 An |
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| June 28, 2018 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| May 3, 2018 |
BANX / StoneCastle Financial Corporation N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) Joshua |
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| May 3, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. |
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| May 3, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 3, 2018 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of inco |
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| May 3, 2018 |
StoneCastle Financial Corp. Reports First Quarter 2018 Results Exhibit 99.1 Section 2: EX-99.1 (EX-99.1) StoneCastle Financial Corp. Reports First Quarter 2018 Results NEW YORK, May 3, 2018 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the first fiscal quarter ended March 31, 2018. First Quarter 2018 Inve |
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| April 30, 2018 |
BANX / StoneCastle Financial Corporation DEF 14A DEF 14A 1 c491731def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant x Filed by Party other than the Registrant Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) |
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| April 30, 2018 |
BANX / StoneCastle Financial Corporation CORRESP 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| April 3, 2018 |
BANX / StoneCastle Financial Corporation PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant x Filed by Party other than the Registrant Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) ¨ Definitive Proxy Statement ¨ Defi |
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| April 3, 2018 |
BANX / StoneCastle Financial Corporation CORRESP 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| March 1, 2018 |
StoneCastle Financial Corp. Reports Fourth Quarter 2017 Results Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports Fourth Quarter 2017 Results NEW YORK, March 1, 2018 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the fourth fiscal quarter ended December 31, 2017. Fourth Quarter 2 |
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| March 1, 2018 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 1, 2018 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of in |
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| February 14, 2018 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 2)* StoneCastle Financial Corp (Name of Issuer) Common (Title of Class of Securities) 861780104 (CUSIP Number) December 31, 2017 (Date of Event Which Require |
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| November 9, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 9, 2017 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of |
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| November 9, 2017 |
StoneCastle Financial Corp. Reports Third Quarter 2017 Results Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports Third Quarter 2017 Results NEW YORK, November 9, 2017 ? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the third fiscal quarter ended September 30, 2017. Third Quarter |
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| November 9, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. Siegel, certify that: 1. I have reviewed this report on Form N-Q of StoneCastle Financial Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in lig |
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| November 9, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) Joshua |
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| October 26, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 As filed with the Securities and Exchange Commission on October 26, 2017 Securities Act File No. |
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| October 26, 2017 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.(n.1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N-2 of StoneCastle Financial Corp., and to the use of our report dated February 28, 2017 on the financial statements and financial highlights of StoneCastle Financial Corp. Such financial statements and financial hi |
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| October 26, 2017 |
BANX / StoneCastle Financial Corporation CORRESP CORRESP 1 filename1.htm 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215.981.4000 Fax 215.981.4750 John P. Falco direct dial: 215.981.4659 direct fax: 866.422.2114 [email protected] October 26, 2017 Via EDGAR U.S. Securities and Exchange Commission Division of Investment Management Disclosure Review and Accounting Office 100 F Street NE Washington, D.C. 20549 At |
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| August 9, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 9, 2017 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of i |
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| August 9, 2017 |
StoneCastle Financial Corp. Reports Second Quarter 2017 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Second Quarter 2017 Results NEW YORK, August 9, 2017 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the second fiscal quarter ended June 30, 2017. Second Quarter 2017 Investment Highlights: · Inv |
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| June 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 As filed with the Securities and Exchange Commission on June 30, 2017 Securities Act File No. |
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| June 30, 2017 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| June 30, 2017 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit (n.1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N-2 of StoneCastle Financial Corp. and to the use of our report dated February 28, 2017 on the financial statements and financial highlights of StoneCastle Financial Corp. Such financial statements and financial highli |
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| May 24, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant x Filed by Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) x Definitive Proxy Statement o De |
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| May 24, 2017 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| May 4, 2017 |
StoneCastle Financial Corp. Reports First Quarter 2017 Results Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports First Quarter 2017 Results NEW YORK, May 4, 2017 ? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the first fiscal quarter ended March 31, 2017. First Quarter 2017 Inve |
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| May 4, 2017 |
StoneCastle Financial (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 4, 2017 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of inco |
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| May 4, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) Joshua |
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| May 4, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99 Cert Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. |
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| May 1, 2017 |
StoneCastle Financial PRELIMINARY PROXY STATEMENT t1701322pre14a - none - 3.2173217s ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ? Filed by Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential for Use of the Commission Only as permitted by Rule 14a-6( |
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| May 1, 2017 |
CORRESP 1 filename1.htm 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215.981.4000 Fax 215.981.4750 John P. Falco direct dial: 215.981.4659 direct fax: 215.981.4750 [email protected] May 1, 2017 Via EDGAR Filing Desk U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: StoneCastle Financial Corp. File No. 811-22853 Preliminary Proxy |
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| February 28, 2017 |
StoneCastle Financial (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 28, 2017 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer o |
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| February 28, 2017 |
StoneCastle Financial Corp. Reports Fourth Quarter 2016 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Fourth Quarter 2016 Results NEW YORK, February 28, 2017 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the fourth fiscal quarter ended December 31, 2016. Fourth Quarter 2016 Investment Highlights |
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| February 3, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* StoneCastle Financial Corp (Name of Issuer) Common (Title of Class of Securities) 861780104 (CUSIP Number) December 31, 2016 (Date of Event Which Require |
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| November 10, 2016 |
StoneCastle Financial (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) Joshua |
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| November 10, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. Siegel, certify that: 1. I have reviewed this report on Form N-Q of StoneCastle Financial Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of |
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| November 10, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 10, 2016 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer o |
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| November 10, 2016 |
StoneCastle Financial Corp. Reports Third Quarter 2016 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Third Quarter 2016 Results NEW YORK, November 10, 2016 ? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the third fiscal quarter ended September 30, 2016. Third Quarter 2016 Investment Highlights: |
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| August 23, 2016 |
StoneCastle Financial Corp. EXHIBIT TO ITEM 77C Submission of Matters to a Vote of Security Holders Annual Meeting of Stockholders The Annual Meeting of Stockholders of StoneCastle Financial Corp. ("the Company") was held on June 9, 2016 for the purpose of electing Directors of the Company ("Proposal 1"). Proposal 1 was approved by the Company's Stockholders and the results of the voting are as fo |
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| August 11, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 11, 2016 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of |
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| August 11, 2016 |
StoneCastle Financial Corp. Reports Second Quarter 2016 Results Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports Second Quarter 2016 Results NEW YORK, August 11, 2016 ? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the second fiscal quarter ended June 30, 2016. Second Quarter 201 |
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| August 9, 2016 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| August 9, 2016 |
StoneCastle Financial Corp. 152 West 57th Street, 35th Floor New York, New York 10019 August 9, 2016 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: James E. O?Connor, Senior Counsel Re: StoneCastle Financial Corp. Registration Statement on Form N-2 (File Nos.811-22853 and 333-204417) Ladies and Gentlemen: Pursuant |
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| July 26, 2016 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| May 5, 2016 |
StoneCastle Financial (Quarterly Schedule of Portfolio Holdings) N-Q 1 c84927nq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices |
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| May 5, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. Siegel, certify that: 1. I have reviewed this report on Form N-Q of StoneCastle Financial Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of |
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| May 5, 2016 |
StoneCastle Financial (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 5, 2016 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 5, 2016 |
StoneCastle Financial Corp. Reports First Quarter 2016 Results Exhibit 99.1 StoneCastle Financial Corp. Reports First Quarter 2016 Results NEW YORK, May 5, 2016 ? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the first fiscal quarter ended March 31, 2016. First Quarter 2016 Investment Highlights: ? Invested |
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| April 27, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant [X] Filed by Party other than the Registrant Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) [X] Definitive Proxy Statemen |
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| March 29, 2016 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| February 25, 2016 |
StoneCastle Financial (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 25, 2016 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer o |
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| February 25, 2016 |
StoneCastle Financial Corp. Reports Fourth Quarter 2015 Results Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports Fourth Quarter 2015 Results NEW YORK, February 25, 2016 ? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the fourth fiscal quarter ended December 31, 2015. Fourth Quart |
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| February 16, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 9, 2016 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. )* StoneCastle Financial Corp (Name of Issuer) Common (Title of Class of Securities) 861780104 (CUSIP Number) December 31, 2015 (Date of Event Which Requires |
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| November 12, 2015 |
StoneCastle Financial (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) Joshua |
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| November 12, 2015 |
StoneCastle Financial Corp. Reports Third Quarter 2015 Results Exhibit 99.1 StoneCastle Financial Corp. Reports Third Quarter 2015 Results NEW YORK, November 12, 2015 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the third fiscal quarter ended September 30, 2015. Third Quarter 2015 Investment Highlights: |
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| November 12, 2015 |
StoneCastle Financial (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 12, 2015 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer o |
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| November 12, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 c82985ex99-cert.htm Exhibit 99.Cert Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. Siegel, certify that: 1. I have reviewed this report on Form N-Q of StoneCastle Financial Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to |
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| August 25, 2015 |
StoneCastle Financial Corp. EXHIBIT TO ITEM 77C Submission of Matters to a Vote of Security Holders Annual Meeting of Stockholders The Annual Meeting of Stockholders of StoneCastle Financial Corp. ("the Company") was held on May 19, 2015 and later reconvened on June 8, 2015 for the purpose of electing Directors of the Company ("Proposal 1") and to approve an Agreement and Plan of Reorganization (" |
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| August 13, 2015 |
StoneCastle Financial Corp. Reports Second Quarter 2015 Results Section 2: EX-99.1 (EX-99.1) Exhibit 99.1 StoneCastle Financial Corp. Reports Second Quarter 2015 Results NEW YORK, August 13, 2015 ? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the second fiscal quarter ended June 30, 2015. Second Quarter 201 |
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| August 13, 2015 |
StoneCastle Financial (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 13, 2015 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of |
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| May 20, 2015 |
STONECASTLE FINANCIAL CORP. ANNOUNCES DISTRIBUTION OF $0.33 PER SHARE FOR SECOND QUARTER 2015 Exhibit 99.1 Section 2: EX-99.1 (EX-99.1) STONECASTLE FINANCIAL CORP. ANNOUNCES DISTRIBUTION OF $0.33 PER SHARE FOR SECOND QUARTER 2015 NEW YORK, New York ? May 20, 2015 ? (GLOBE NEWSWIRE) - StoneCastle Financial Corp. (Nasdaq:BANX) (?StoneCastle Financial? or the ?Company?), an SEC registered closed-end management investment company, today announced that its Board of Directors has declared a cash |
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| May 20, 2015 |
StoneCastle Financial (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 20, 2015 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of inc |
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| April 30, 2015 |
StoneCastle Financial Corp. Reports First Quarter 2015 Results EX-99.1 2 c81220ex99-1.htm Exhibit 99.1 StoneCastle Financial Corp. Reports First Quarter 2015 Results NEW YORK, April 30, 2015 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the first fiscal quarter ended March 31, 2015. First Quarter 2015 Inv |
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| April 30, 2015 |
StoneCastle Financial (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) Joshua |
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| April 30, 2015 |
StoneCastle Financial (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 30, 2015 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorporation) (Commission |
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| April 30, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.Cert Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. Siegel, certify that: 1. I have reviewed this report on Form N-Q of StoneCastle Financial Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in lig |
|
| April 6, 2015 |
3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| April 6, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant x Filed by Party other than the Registrant Check the appropriate box: ? Preliminary Proxy Statement ? Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) x Definitive Proxy Statement ? Defi |
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| March 20, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant x Filed by Party other than the Registrant Check the appropriate box: x Preliminary Proxy Statement ? Confidential for Use of the Commission Only as permitted by Rule 14a-6(e)(2) ? Definitive Proxy Statement ? Defi |
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| March 5, 2015 |
StoneCastle Financial Corp. Reports Fourth Quarter 2014 Results And Declares Distribution Exhibit 99.1 StoneCastle Financial Corp. Reports Fourth Quarter 2014 Results And Declares Distribution NEW YORK, March 5, 2015 ? StoneCastle Financial Corp. (Nasdaq: BANX) (?StoneCastle Financial? or the ?Company?), an investment company registered with the Securities and Exchange Commission (?SEC?), today announced results for the fourth fiscal quarter ended December 31, 2014. Fourth Quarter 2014 |
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| March 5, 2015 |
StoneCastle Financial 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 5, 2015 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of in |
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| February 6, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 StoneCastle Financial Corp. |
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| November 13, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 13, 2014 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer o |
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| November 13, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. |
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| November 13, 2014 |
StoneCastle Financial Corp. Reports Third Quarter 2014 Results Exhibit 99.1 Section 2: EX-99.1 (EX-99.1) StoneCastle Financial Corp. Reports Third Quarter 2014 Results NEW YORK, November 13, 2014 – StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the third fiscal quarter ended September 30, 2014. Third Quarter |
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| November 13, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executive offices) (Zip code) Joshua |
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| October 1, 2014 |
BANX / StoneCastle Financial Corporation CORRESP - - StoneCastle Financial Corp. 152 West 57th Street, 35th Floor New York, New York 10019 October 1, 2014 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attn: James E. O’Connor, Senior Counsel Re: StoneCastle Financial Corp. Registration Statement on Form N-2 (File Nos.811-22853 and 333-197689) Ladies and Gentlemen: Pursuan |
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| October 1, 2014 |
BANX / StoneCastle Financial Corporation CORRESP - - October 1, 2014 Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| September 18, 2014 |
BANX / StoneCastle Financial Corporation CORRESP - - 3000 Two Logan Square Eighteenth and Arch Streets Philadelphia, PA 19103-2799 215. |
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| August 27, 2014 |
EX-99.77K CHNG ACCNT 4 stonecastle77k.txt StoneCastle Financial Corp. Exhibit to Item 77K Changes in Accountants The Registrant, by action of its Board of Trustees taken on July 21, 2014 for the StoneCastle Financial Corp. (the "Company"), engaged KPMG, LLP ("KPMG") as its independent registered public accounting firm to audit the Funds' financial statements for the fiscal year ended December 31, |
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| August 27, 2014 |
EX-99.77Q1 OTHR EXHB 5 stonecastle77q1.txt August 26, 2014 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Ladies and Gentlemen: We have read StoneCastle Financial Corp.'s statements included in Item 77K of Form N-SAR and are in agreement with the statements contained therein concerning our Firm in response to Item 304(a) of Regulation S-K. Very truly yours, /s/ R |
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| August 27, 2014 |
EX-99.77D POLICIES 3 stonecastle77d.txt StoneCastle Financial Corp. EXHIBIT TO ITEM 77D POLICIES WITH RESPECT TO SECURITY INVESTMENTS Effective May 12, 2014, the Investment Objectives, Strategies and Policies of StoneCastle Financial Corp. were amended and are stated as follows: Investment Objectives. Our primary investment objective is to provide stockholders with current income, and to a lesser |
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| August 27, 2014 |
EX-99.77C VOTES 2 stonecastle77c.txt StoneCastle Financial Corp. EXHIBIT TO ITEM 77C Submission of Matters to a Vote of Security Holders Annual Meeting of Stockholders The Annual Meeting of Stockholders of StoneCastle Financial Corp. ("the Company") was held on May 20, 2014 for the purpose of electing Directors of the Company ("Proposal 1"). The proposal was approved by the Company's Stockholders |
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| August 14, 2014 |
Exhibit 99.1 StoneCastle Financial Corp. Reports Second Quarter 2014 Results $55.5 Million Invested in Second Quarter 2014 and $121.5 Million Since IPO NEW YORK, August 14, 2014 — StoneCastle Financial Corp. (Nasdaq: BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the second fiscal q |
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| August 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 14, 2014 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction (Commission (IRS Employer of |
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| May 13, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 12, 2014 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Charter) Delaware 333-189307 90-0934878 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 13, 2014 |
Quarterly Schedule of Portfolio Holdings - STONECASTLE FINANCIAL CORP. StoneCastle Financial Corp. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22853 StoneCastle Financial Corp. (Exact name of registrant as specified in charter) 152 West 57th Street, 35th Floor New York, NY 10019 (Address of principal executiv |
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| May 13, 2014 |
Exhibit 99.1 StoneCastle Financial Corp. Reports First Quarter 2014 Results $56.3 Million Invested in First Quarter 2014 New York, NY – May 13, 2014 – StoneCastle Financial Corp. (NASDAQ:BANX) (“StoneCastle Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”) announced today it reported the following results for the first fiscal quarter |
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| May 13, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d722624dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Joshua S. Siegel, certify that: 1. I have reviewed this report on Form N-Q of StoneCastle Financial Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessar |
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| April 29, 2014 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Pursuant to Section 240. |
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| November 6, 2013 |
July 12, 2013 Kari K. Harris, Esq. Nixon Peabody LLP 100 Summer Street Boston, MA 02110-2131 Re: StoneCastle Financial Corp. (File Nos. 333-186414 and 811-22798) Dear Ms. Harris: We have reviewed the registration statements, which were filed on Form N-2, on June 14, 2013, for the StoneCastle Financial Corp. (“Fund”). The registration was filed to register common stock pursuant to Rule 415 under th |
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| November 6, 2013 |
8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 StoneCastle Financial Corp. (Exact Name of Registrant as Specified in Its Charter) Delaware 90-0934878 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 152 Wes |
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| November 5, 2013 |
CORRESP November 5, 2013 Via EDGAR James O’Connor, Esq. Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: StoneCastle Financial Corp. Registration Statement on Form N-2 File Nos. 333-189307 and 811-22853 Dear Mr. O’Connor: StoneCastle Financial Corp. (the “Company”), pursuant to Rule 461 under the Securities Act of 193 |
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| September 13, 2013 |
Correspondence Walter Van Dorn Partner [email protected] D +1 212 768 6985 Dentons US LLP 1221 Avenue of the Americas New York, NY 10020-1089 USA T +1 212 768 6700 F +1 212 768 6800 Salans FMC SNR Denton dentons.com September 16, 2013 James O’Connor, Esq. Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: StoneCastle Financial |
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| July 23, 2013 |
Correspondence 437 Madison Avenue New York, New York 10022-7039 (212) 940-3000 Fax: (212) 940-3111 Direct Dial: (212) 940-3112 E-Mail: dmcavoy@nixonpeabody. |
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| July 11, 2013 |
Correspondence Walter Van Dorn Partner [email protected] D +1 212 768 6985 Dentons US LLP 1221 Avenue of the Americas New York, NY 10020-1089 USA T +1 212 768 6700 F +1 212 768 6800 Salans FMC SNR Denton dentons.com July 11, 2013 James O’Connor, Esq. Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: StoneCastle Financial Corp. |
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| June 14, 2013 |
Form N-8A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940, and in con |
