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BANX StoneCastle Financial

Filed: 1 Mar 21, 4:35pm

 

 

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 incorporation)

 

File Number)

 

Identification No.)

 

100 Fillmore Street, Suite 325, Denver, Colorado

 

80206

(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 class

 

Trading Symbol(s)

 

Name of each exchange on which registered

Common

 

BANX

 

NASDAQ

 

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 o

 

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 March 1, 2021 the registrant issued a press release announcing its financial results for the fourth quarter ended December 31, 2020. 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 March 1, 2021

 

2


 

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:

March 1, 2021

 

 

 

 

 

 

 

By:

/s/ Patrick J. Farrell

 

 

Name:

Patrick J. Farrell

 

 

Title:

Chief Financial Officer

 

3


 

Exhibit Index

 

Exhibit Number

 

Description

 

 

 

99.1

 

Press Release, Dated March 1, 2021

 

4