Our primary objective is to provide our investors with current income and capital appreciation primarily through investment in U.S. community banks 


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Investor FAQs

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Where is StoneCastle Financial Corp.'s corporate headquarters?
100 Fillmore St. Ste. 325
Denver, CO 80206
Who are the members of StoneCastle Financial Corp.'s Board of Directors?

You can view our Board of Directors by visiting the “About Us Leadership - Board” section of our website.  

Who are the members of StoneCastle Financial Corp.'s management team?

You can view our management team by visiting the “About Us Leadership - Management” section of our website. 

Who are the corporation's independent registered public accountants?
Tait, Weller & Baker LLP
1818 Market Street, Suite 2400
New York, NY 10019
Who is the transfer agent, dividend paying agent and registrar for StoneCastle Financial Corp.'s common stock?
Computershare Trust Company N.A.
250 Royall Street
Canton, MA 02021
Toll Free Number: (855) 330-6339
Main Phone Number: (201) 680-2236
How do I contact Investor Relations with a question or request?

StoneCastle Financial Corp Investor Relations can be accessed by calling 212-468-5441; or email or mail to the StoneCastle Financial Corp. corporate headquarter’s address at StoneCastle Financial Corp. 100 Fillmore St. Ste. 325, Denver, CO 80206

Where can I find all of StoneCastle Financial Corp.'s SEC filings? Can I download and view quarterly and annual reports?

The corporation’s quarterly and annual reports, as well as all SEC filings can be accessed on the Financial Information portion of our Investor Relations website or directly from the SEC at  

What research analysts cover StoneCastle Financial Corp?

StoneCastle Financial Corp. is currently covered by senior research analysts from KBW and JMP Securities. The analyst names and contact information can be found under the Stock Information/Analyst Coverage portion of the Investor Relations website.

How can I find out when the Company will be reporting financial results or declaring distributions?

An investor can sign up for email alerts that provide a real-time update of the corporation’s SEC filings, earnings results, dividend distributions and press releases. The sign-up for an alert is under the Shareholder Tools/Email Alert portion of the Investor Relations website.

Does StoneCastle Financial Corp. pay dividends?

StoneCastle Financial Corp.intends to pay quarterly dividends to our common stockholders, in accordance with the RIC rules. The dividend distributions are declared by the Board of Directors. StoneCastle Financial Corp. dividend history and announcements of dividend declarations can be found under the Stock Information Dividends and Tax Information portion of the Investor Relations website.

Does StoneCastle Financial Corp. have a dividend reinvestment plan?

StoneCastle Financial Corp. has an “Opt-Out” dividend reinvestment plan.  The share reinvestment is offered at a 3% discount to the corporation’s closing price calculated over a five-day period.  If your shares are registered directly with us or with a brokerage firm that participates in our plan, all distributions are automatically reinvested in our common stock.  An investor would need to specifically request for an “Opt-Out” to receive the distributions.  If your shares are not registered with us, your brokerage firm does not participate in our plan, or you are unsure if you are enrolled, please contact your brokerage firm.   

How does the transfer agent calculate the number of shares in the Reinvestment plan?

The transfer agent calculates the dividend reinvestment amount from the closing stock price over the immediate five-day period prior to record date.  The share equivalent is based on a 3% discount to the average closing price.  Brokers who participate in the plan have the option of taking the equivalent cash or taking equivalent shares.  For brokers taking equivalent cash, the broker-dealer is responsible for the timing of the reinvestment in StoneCastle Financial Corp.   

What is the investment objective of StoneCastle Financial Corp?

The Company’s primary investment objective is to provide stockholders with current income, and to a lesser extent, capital appreciation. 

What differentiates StoneCastle Financial Corp. from peer competitors?

StoneCastle Financial Corp. is a unique investment vehicle.  The Company is a publicly traded closed end investment management company dedicated to investing in banking related assets, including community banks, regulatory capital securities, and companies that provide goods and/or services to the banking industry.  Our advisor originates deals across a spectrum of bank-related securities which allows StoneCastle Financial a distinct advantage of investing through multiple economic climates and market cycles.  Historically, the Company has typically been compared to BDC’s and other income-oriented vehicles, however, we believe the credit profile of the Company and the focus on capital preservation and risk-adjusted returns offers investors differentiating factors from the BDCs and other vehicles mentioned.  StoneCastle Financial provides a greater amount of depth and transparency regarding our portfolio and in our financial reporting.  The Company hosts a quarterly investor conference call to discuss the financial results with our primary research analysts, as well as investors.