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BANX StoneCastle Financial

Filed: 5 Aug 21, 4:22pm

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)

 

Delaware333-18930790-0934878
(State or other jurisdiction(Commission(IRS Employer
of incorporation)File Number)Identification No.)

 

100 Fillmore Street, Suite 325, Denver, Colorado80206
(Address of principal executive offices)(Zip Code)

 

Registrant’s telephone number, including area code (303) 398-2929

 

(Former name or former address, if changed since last report.)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each classTrading Symbol(s)Name of each exchange on which registered
CommonBANXNASDAQ

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). Emerging growth company

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o

 

 
 

Item 2.02                     Results of Operations and Financial Condition.

 

On August 5, 2021, the registrant issued a press release announcing its financial results for the second quarter ended June 30, 2021. The text of the press release is included as Exhibit 99.1 to this Form 8-K.

 

The information disclosed under this item 2.02 is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 and shall not be deemed incorporated by reference into any filing made under the Securities Act of 1933, except as expressly set forth by specific reference in such filing.

 

Item 9.01                  Financial Statements and Exhibits.

 

(d) Exhibits:

 

Exhibit Number Description 
    
99.1 Press Release, dated August 5, 2021 
 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 STONECASTLE FINANCIAL CORP.
  
Date: August 5, 2021 
  
 By: /s/ Patrick J. Farrell
 Name: Patrick J. Farrell
 Title: Chief Financial Officer
 

Exhibit Index

 

Exhibit Number Description 
    
99.1 Press Release, Dated August 5, 2021