Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BLUE RIDGE BANKSHARES, INC.BRBS · Entity 5786 | Director | June 26, 2024 | July 03, 2024 |
| ENTERPRISE FINANCIAL SERVICES CORPEFSC · Entity 4422 | Director | March 08, 2019 | November 04, 2022 |
| GUARANTY FEDERAL BANCSHARES INCGFED · Entity 128338 | Director · 10% owner | March 01, 2018 | March 02, 2018 |
| Pathfinder Bancorp, Inc.PBHC · Entity 6777 | Director | June 30, 2023 | February 16, 2024 |
| TRINITY CAPITAL CORPTRIN · Entity 159365 | Director | March 07, 2019 | March 07, 2019 |
| Third Coast Bancshares, Inc.TCBX · Entity 5191 | Director | October 20, 2022 | November 01, 2022 |
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.
BLUE RIDGE BANKSHARES, INC.
Report date June 26, 2024 · Filed July 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2024-06-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: The reporting person is a managing principal of Castle Creek Capital VIII LLC, the general partner of Castle Creek Capital Partners VIII, LP ("Fund VIII"). The reporting person disclaims beneficial ownership of (i) 593,078 shares of the issuer's common stock owned by Fund VIII, (ii) 2,732 shares of the issuer's Series C convertible perpetual preferred stock ("Series C Preferred Stock") owned by Fund VIII, and (iii) a warrant to purchase 1,441 shares of the issuer's Series C Preferred Stock owned by Fund VIII, in each case except to the extent of his pecuniary interest in Fund VIII, and this report shall not be deemed an admission that the 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: The reporting person is a managing principal of Castle Creek Capital VIII LLC, the general partner of Castle Creek Capital Partners VIII, LP ("Fund VIII"). The reporting person disclaims beneficial ownership of (i) 593,078 shares of the issuer's common stock owned by Fund VIII, (ii) 2,732 shares of the issuer's Series C convertible perpetual preferred stock ("Series C Preferred Stock") owned by Fund VIII, and (iii) a warrant to purchase 1,441 shares of the issuer's Series C Preferred Stock owned by Fund VIII, in each case except to the extent of his pecuniary interest in Fund VIII, and this report shall not be deemed an admission that the 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.
ENTERPRISE FINANCIAL SERVICES CORP
Report date March 08, 2019 · Filed November 04, 2022 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 41 |
Reported balance
Holding disclosure · report date 2019-03-08 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 41 |
GUARANTY FEDERAL BANCSHARES INC
Report date March 01, 2018 · Filed March 02, 2018 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | IndirectBy Castle Creek Capital Partners V, LP | 918,804 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 918,804 F1: Mr. Scavuzzo is a Principal of Castle Creek Capital V LLC, the sole general partner of Castle Creek Capital Partners V, LP ("Fund V"). Fund V and certain of its affiliates have previously filed a separate Form 3 reporting securities of the Issuer that they may be deemed to beneficially own. Mr. Scavuzzo disclaims beneficial ownership of any securities of the Issuer that may be deemed to be beneficially owned by Fund V or its affiliates. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Scavuzzo is a Principal of Castle Creek Capital V LLC, the sole general partner of Castle Creek Capital Partners V, LP ("Fund V"). Fund V and certain of its affiliates have previously filed a separate Form 3 reporting securities of the Issuer that they may be deemed to beneficially own. Mr. Scavuzzo disclaims beneficial ownership of any securities of the Issuer that may be deemed to be beneficially owned by Fund V or its affiliates.
Pathfinder Bancorp, Inc.
Report date June 30, 2023 · Filed February 16, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2023-06-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: The reporting person is a managing principal of Castle Creek Capital Partners Fund VII, LP ("Fund VII"). The reporting person disclaims any beneficial ownership of the (i) 409,908 shares of the issuer's Common Stock, (ii) 1,380,283 shares of the issuer's Non-Voting Common Stock and (iii) warrants to purchase 125,000 shares of the issuer's Common Stock held by Fund VII, in each case, except to the extent of the reporting person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person is a managing principal of Castle Creek Capital Partners Fund VII, LP ("Fund VII"). The reporting person disclaims any beneficial ownership of the (i) 409,908 shares of the issuer's Common Stock, (ii) 1,380,283 shares of the issuer's Non-Voting Common Stock and (iii) warrants to purchase 125,000 shares of the issuer's Common Stock held by Fund VII, in each case, except to the extent of the reporting person's pecuniary interest therein.
TRINITY CAPITAL CORP
Report date March 07, 2019 · Filed March 07, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting common stockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-03-08 transaction · row 1
1 source rowRow 1 · 2019-03-08 · Disposition to issuer · Disposed 211 · Balance 0 F1: Pursuant to the Merger Agreement, upon closing of the merger, each share of common stock of the Issuer was converted into the right to receive $1.84 in cash and 0.1972 shares of EFSC (as defined below) common stock (together, the "Per Share Amount"), which fractional shares being paid in cash as provided in the Merger Agreement. The market value of the Per Share Amount is $10.33 per share, based on the trading price of EFSC common stock as of the end of trading on March 7, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Merger Agreement, upon closing of the merger, each share of common stock of the Issuer was converted into the right to receive $1.84 in cash and 0.1972 shares of EFSC (as defined below) common stock (together, the "Per Share Amount"), which fractional shares being paid in cash as provided in the Merger Agreement. The market value of the Per Share Amount is $10.33 per share, based on the trading price of EFSC common stock as of the end of trading on March 7, 2019.
Third Coast Bancshares, Inc.
Report date October 20, 2022 · Filed November 01, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2022-10-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: The reporting person is a managing principal of Castle Creek Capital VIII LLC, the general partner of Castle Creek Capital Partners VIII, LP ("Fund VIII") and Castle Creek Capital Partners VIII Co-Investment Fund A, LP ("Fund VIII Co-Invest"). The reporting person disclaims beneficial ownership of (i) 30,000 shares and 5,750 shares of the issuer's Series A convertible perpetual preferred stock owned by Fund VIII and Fund VIII Co-Invest, respectively, and (ii) 119,000 warrants to purchase the issuer's common stock owned by Fund VIII, in each case except to the extent of his pecuniary interest in Fund VIII, and this report shall not be deemed an admission that the 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: The reporting person is a managing principal of Castle Creek Capital VIII LLC, the general partner of Castle Creek Capital Partners VIII, LP ("Fund VIII") and Castle Creek Capital Partners VIII Co-Investment Fund A, LP ("Fund VIII Co-Invest"). The reporting person disclaims beneficial ownership of (i) 30,000 shares and 5,750 shares of the issuer's Series A convertible perpetual preferred stock owned by Fund VIII and Fund VIII Co-Invest, respectively, and (ii) 119,000 warrants to purchase the issuer's common stock owned by Fund VIII, in each case except to the extent of his pecuniary interest in Fund VIII, and this report shall not be deemed an admission that the 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.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
MBT FINANCIAL CORP
Report date September 01, 2019 · Filed September 04, 2019
Section 16 reporting ended · disclosed 2019-09-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirectby Castle Creek Capital Partners | 0 |
Reported balance
After 2019-09-01 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-09-01 · Disposition to issuer · Disposed 1,876,423 · Balance 0 F1: Disposed of pursuant to the merger agreement between the issuer and First Merchants Corporation ("First Merchants"), each share of which was converted into 0.2750 shares of First Merchants common stock having a market value of $35.72 per share on the effective date of the merger. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the merger agreement between the issuer and First Merchants Corporation ("First Merchants"), each share of which was converted into 0.2750 shares of First Merchants common stock having a market value of $35.72 per share on the effective date of the merger.
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 |
|---|---|---|---|---|---|---|
| November 24, 2021 Filed Nov 29, 2021 17:50 UTC | ENTERPRISE FINANCIAL SERVICES CORP EFSC · Entity 4422 | SaleCommon Stock | 140,000 | $48.32 | $6,764,800.00 |
DisclosureSEC source: 0001025835-21-000145 · primary_doc.xml · nonDerivative · entry 1 Scavuzzo Tony · CIK 0001641793 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Castle Creek Partners VI LP Disclosed balance after: 756,385 F1 · ownership.nature: The shares are held by Castle Creek Capital Partners VI LP. The reporting person is a Principal at Castle Creek Capital, LLC and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose. Read SEC document |
| November 23, 2021 Filed Nov 24, 2021 20:39 UTC | ENTERPRISE FINANCIAL SERVICES CORP EFSC · Entity 4422 | SaleCommon Stock | 68,300 | $48.30 | $3,298,890.00 |
DisclosureSEC source: 0001025835-21-000144 · primary_doc.xml · nonDerivative · entry 2 Scavuzzo Tony · CIK 0001641793 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Castle Creek Partners VI LP Disclosed balance after: 896,385 F1 · ownership.nature: The shares are held by Castle Creek Capital Partners VI LP. The reporting person is a Principal at Castle Creek Capital, LLC and expressly disclaims beneficial ownership of these shares, except to the extent of his indirect pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for the purposes of Section 16 or for any other purpose. Read SEC document |
| November 22, 2021 Filed Nov 24, 2021 20:39 UTC | ENTERPRISE FINANCIAL SERVICES CORP EFSC · Entity 4422 | SaleCommon Stock | 31,700 | $48.42 | $1,534,914.00 |
DisclosureSEC source: 0001025835-21-000144 · primary_doc.xml · nonDerivative · entry 1 Scavuzzo Tony · CIK 0001641793 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Castle Creek Partners VI LP Disclosed balance after: 964,685 Read SEC document |
| September 01, 2019 Filed Sep 4, 2019 13:38 UTC | MBT FINANCIAL CORP MBTF · Entity 155164 | Disposition to issuerCommon Stock | 1,876,423 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-017861 · rdgdoc.xml · nonDerivative · entry 1 Scavuzzo Tony · CIK 0001641793 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Castle Creek Capital Partners Disclosed balance after: 0 F1 · price: Disposed of pursuant to the merger agreement between the issuer and First Merchants Corporation ("First Merchants"), each share of which was converted into 0.2750 shares of First Merchants common stock having a market value of $35.72 per share on the effective date of the merger. Read SEC document |
| March 08, 2019 Filed Mar 7, 2019 18:21 UTC | TRINITY CAPITAL CORP TRIN · Entity 159365 | Disposition to issuerVoting common stock | 211 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000099771-19-000032 · form4.xml · nonDerivative · entry 1 Scavuzzo Tony · CIK 0001641793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to the Merger Agreement, upon closing of the merger, each share of common stock of the Issuer was converted into the right to receive $1.84 in cash and 0.1972 shares of EFSC (as defined below) common stock (together, the "Per Share Amount"), which fractional shares being paid in cash as provided in the Merger Agreement. The market value of the Per Share Amount is $10.33 per share, based on the trading price of EFSC common stock as of the end of trading on March 7, 2019. Read SEC document |
| January 30, 2017 Filed Feb 1, 2017 19:07 UTC | TRINITY CAPITAL CORP NONE · Entity 159365 | GrantCommon stock | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0000099771-17-000013 · form4.xml · nonDerivative · entry 1 Scavuzzo Tony · CIK 0001641793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250 F1 · shares: (1) The 250 shares represent a grant awarded on January 30, 2017. Read SEC document |
| January 30, 2017 Filed May 3, 2017 16:18 UTC Amendment | TRINITY CAPITAL CORP NONE · Entity 159365 | GrantCommon stock | 211 | $0.00 | $0.00 |
DisclosureSEC source: 0000099771-17-000068 · form4.xml · nonDerivative · entry 1 Scavuzzo Tony · CIK 0001641793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211 F1 · balance_after: The original Form 4 filed on 2/1/2017 is amended by this Form 4 amendment to correctly reflect the reporting person's grant in common stock. No other changes have been made to the original Form 4. F2 · balance_after: The 211 shares represent a grant awarded on January 30, 2017. 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.