Filing Details
- Accession Number:
- 0001104659-17-042108
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-28 16:04:37
- Reporting Period:
- 2017-06-26
- Filing Date:
- 2017-06-28
- Accepted Time:
- 2017-06-28 16:04:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1046203 | Guaranty Federal Bancshares Inc | GFED | State Commercial Banks (6022) | 431792717 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1197257 | Iii M John Eggemeyer | C/O Castle Creek Capital Llc 6051 El Tordo, Po Box 1329 Rancho Santa Fe CA 92067 | No | No | Yes | No | |
| 1242722 | Mikesell J Thomas | C/O Castle Creek Capital Llc 6051 El Tordo, Po Box 1329 Rancho Santa Fe CA 92067 | No | No | Yes | No | |
| 1332829 | G Mark Merlo | C/O Castle Creek Capital Llc 6051 El Tordo, Po Box 1329 Rancho Santa Fe CA 92067 | No | No | Yes | No | |
| 1481798 | John Pietrzak | C/O Castle Creek Capital Llc 6051 El Tordo, Po Box 1329 Rancho Santa Fe CA 92067 | No | No | Yes | No | |
| 1580580 | Castle Creek Capital Partners V, Lp | C/O Castle Creek Capital Llc 6051 El Tordo, Po Box 1329 Rancho Santa Fe CA 92067 | No | No | Yes | No | |
| 1589685 | Castle Creek Capital V Llc | C/O Castle Creek Capital Llc 6051 El Tordo, Po Box 1329 Rancho Santa Fe CA 92067 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Guaranty Federal Bancshares, Inc. Common Stock | Acquisiton | 2017-06-26 | 100,000 | $20.75 | 894,022 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Footnotes
- These securities are held directly by Castle Creek Capital Partners V, LP ("Fund V"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital V LLC, the sole general partner of Fund V. Castle Creek Capital V LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of such shares of Common Stock, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that Castle Creek Capital V LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
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