Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Bancorp, Inc.TBBK · Entity 4314 | Director | May 16, 2018 | May 18, 2018 |
| GUARANTY FEDERAL BANCSHARES INCGFED · Entity 128338 | 10% owner | August 14, 2017 | August 15, 2017 |
| Primis Financial Corp.SONA · Entity 1375 | 10% owner | June 23, 2017 | June 26, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Bancorp, Inc.
Report date May 16, 2018 · Filed May 18, 2018
Jointly reported with EGGEMEYER JOHN M III, Castle Creek Capital VI LLC, Castle Creek Capital Partners VI, LP, THOMAS J MIKESELL, Pietrzak John
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 7,500 |
Reported balance
After 2018-05-16 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2018-05-16 · Grant · Acquired 7,500 · Balance 7,500 F1: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 16, 2018 and will become fully vested on May 16, 2019. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,026,598 |
Reported balance
Holding disclosure · report date 2018-05-16 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,026,598 F2: These securities are directly held by Castle Creek Capital Partners VI, LP ("Fund VI"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital VI LLC, the sole general partner of Fund VI. Castle Creek Capital VI LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of these 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 Partners VI 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 15,000 |
Reported balance
Holding disclosure · report date 2018-05-16 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 15,000 F3: These securities, which were previously issued to Advisors IV on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., are held directly by Advisors IV. Each of the reporting persons disclaims beneficial ownership of all of the securities held by Advisors IV, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 16, 2018 and will become fully vested on May 16, 2019.
F2: These securities are directly held by Castle Creek Capital Partners VI, LP ("Fund VI"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital VI LLC, the sole general partner of Fund VI. Castle Creek Capital VI LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of these 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 Partners VI 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.
F3: These securities, which were previously issued to Advisors IV on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., are held directly by Advisors IV. Each of the reporting persons disclaims beneficial ownership of all of the securities held by Advisors IV, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
GUARANTY FEDERAL BANCSHARES INC
Report date August 14, 2017 · Filed August 15, 2017
Jointly reported with Castle Creek Capital Partners V, LP, Castle Creek Capital V LLC, EGGEMEYER JOHN M III, THOMAS J MIKESELL, Pietrzak John
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Guaranty Federal Bancshares, Inc. Common StockSEC Table I · non-derivative | Direct | 918,804 |
Reported balance
After 2017-08-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-08-14 · Purchase · Acquired 24,782 · Balance 918,804 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Primis Financial Corp.
Report date June 23, 2017 · Filed June 26, 2017
Jointly reported with CASTLE CREEK CAPITAL PARTNERS IV, LP, Castle Creek Capital IV LLC, EGGEMEYER JOHN M III, THOMAS J MIKESELL, Pietrzak John
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Southern National Bancorp of Virginia Common StockSEC Table I · non-derivative | Direct | 3,225,876 |
Reported balance
Holding disclosure · report date 2017-06-23 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,225,876 F1: These securities are directly held by Castle Creek Capital Partners IV, LP ("Fund IV"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital IV LLC, the sole general partner of Fund IV. Castle Creek Capital IV 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 IV 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are directly held by Castle Creek Capital Partners IV, LP ("Fund IV"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital IV LLC, the sole general partner of Fund IV. Castle Creek Capital IV 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 IV 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 16, 2018 Filed May 18, 2018 16:17 UTC | Bancorp, Inc. TBBK · Entity 4314 | GrantCommon Stock | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-034485 · a4.xml · nonDerivative · entry 1 EGGEMEYER JOHN M III · CIK 0001197257 · Director Castle Creek Capital VI LLC · CIK 0001671438 · Director Castle Creek Capital Partners VI, LP · CIK 0001666749 · Director THOMAS J MIKESELL · CIK 0001242722 · Director MERLO MARK G · CIK 0001332829 · Director Pietrzak John · CIK 0001481798 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,500 F1 · price: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 16, 2018 and will become fully vested on May 16, 2019. F1 · ownership.nature: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 16, 2018 and will become fully vested on May 16, 2019. Read SEC document |
| August 17, 2017 Filed Aug 18, 2017 16:05 UTC | Bancorp, Inc. TBBK · Entity 4314 | PurchaseCommon Stock | 93,700 | $7.50 | $702,646.93 |
DisclosureSEC source: 0001104659-17-052648 · a4.xml · nonDerivative · entry 1 Castle Creek Capital Partners VI, LP · CIK 0001666749 · Director Castle Creek Capital VI LLC · CIK 0001671438 · Director EGGEMEYER JOHN M III · CIK 0001197257 · Director THOMAS J MIKESELL · CIK 0001242722 · Director MERLO MARK G · CIK 0001332829 · Director Pietrzak John · CIK 0001481798 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,026,598 F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $7.4700 to $7.5000, inclusive. The reporting persons undertake to provide to The Bancorp, Inc., any security holder of The Bancorp, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the range set forth in footnote (1) to this Form 4. F2 · ownership.nature: These securities are directly held by Castle Creek Capital Partners VI, LP ("Fund VI"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital VI LLC, the sole general partner of Fund VI. Castle Creek Capital VI LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of these 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 Partners VI 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. Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 16:06 UTC | Bancorp, Inc. TBBK · Entity 4314 | PurchaseCommon Stock | 225,000 | $7.41 | $1,666,305.00 |
DisclosureSEC source: 0001104659-17-052456 · a4.xml · nonDerivative · entry 1 Castle Creek Capital Partners VI, LP · CIK 0001666749 · Director Castle Creek Capital VI LLC · CIK 0001671438 · Director EGGEMEYER JOHN M III · CIK 0001197257 · Director THOMAS J MIKESELL · CIK 0001242722 · Director MERLO MARK G · CIK 0001332829 · Director Pietrzak John · CIK 0001481798 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,932,898 F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $7.4000 to $7.4800, inclusive. The reporting persons undertake to provide to The Bancorp, Inc., any security holder of The Bancorp, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the range set forth in footnote (1) to this Form 4. F2 · ownership.nature: These securities are directly held by Castle Creek Capital Partners VI, LP ("Fund VI"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital VI LLC, the sole general partner of Fund VI. Castle Creek Capital VI LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of these 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 Partners VI 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. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 19:10 UTC | GUARANTY FEDERAL BANCSHARES INC GFED · Entity 128338 | PurchaseGuaranty Federal Bancshares, Inc. Common Stock | 24,782 | $20.88 | $517,448.16 |
DisclosureSEC source: 0001104659-17-052098 · a4.xml · nonDerivative · entry 1 Castle Creek Capital Partners V, LP · CIK 0001580580 · 10% owner Castle Creek Capital V LLC · CIK 0001589685 · 10% owner EGGEMEYER JOHN M III · CIK 0001197257 · 10% owner THOMAS J MIKESELL · CIK 0001242722 · 10% owner MERLO MARK G · CIK 0001332829 · 10% owner Pietrzak John · CIK 0001481798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 918,804 F1 · ownership.direct: 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. Read SEC document |
| June 26, 2017 Filed Jun 28, 2017 16:04 UTC | GUARANTY FEDERAL BANCSHARES INC GFED · Entity 128338 | PurchaseGuaranty Federal Bancshares, Inc. Common Stock | 100,000 | $20.75 | $2,075,000.00 |
DisclosureSEC source: 0001104659-17-042108 · a4.xml · nonDerivative · entry 1 Castle Creek Capital Partners V, LP · CIK 0001580580 · 10% owner Castle Creek Capital V LLC · CIK 0001589685 · 10% owner EGGEMEYER JOHN M III · CIK 0001197257 · 10% owner THOMAS J MIKESELL · CIK 0001242722 · 10% owner MERLO MARK G · CIK 0001332829 · 10% owner Pietrzak John · CIK 0001481798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 894,022 F1 · ownership.direct: 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. Read SEC document |
| February 03, 2017 Filed Feb 7, 2017 16:19 UTC | Bancorp, Inc. TBBK · Entity 4314 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-006988 · a4.xml · nonDerivative · entry 1 EGGEMEYER JOHN M III · CIK 0001197257 · Director · See Remarks Castle Creek Capital Partners VI, LP · CIK 0001666749 · Director · See Remarks Castle Creek Capital VI LLC · CIK 0001671438 · Director · See Remarks THOMAS J MIKESELL · CIK 0001242722 · Director · See Remarks MERLO MARK G · CIK 0001332829 · Director · See Remarks Pietrzak John · CIK 0001481798 · Director · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,000 F1 · ownership.nature: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC, on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., and vest in three equal annual installments beginning on February 3, 2018. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.