0001140361-22-013169.txt : 20220405 0001140361-22-013169.hdr.sgml : 20220405 20220405162457 ACCESSION NUMBER: 0001140361-22-013169 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220401 FILED AS OF DATE: 20220405 DATE AS OF CHANGE: 20220405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Castle Creek Capital Partners V, LP CENTRAL INDEX KEY: 0001580580 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23325 FILM NUMBER: 22807235 BUSINESS ADDRESS: STREET 1: 6051 EL TORDO CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: (858) 756-8300 MAIL ADDRESS: STREET 1: 6051 EL TORDO CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Castle Creek Capital V LLC CENTRAL INDEX KEY: 0001589685 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23325 FILM NUMBER: 22807234 BUSINESS ADDRESS: STREET 1: 11682 EL CAMINO REAL, SUITE 320 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: 858-756-8300 MAIL ADDRESS: STREET 1: 11682 EL CAMINO REAL, SUITE 320 CITY: SAN DIEGO STATE: CA ZIP: 92130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GUARANTY FEDERAL BANCSHARES INC CENTRAL INDEX KEY: 0001046203 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 431792717 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1341 WEST BATTLEFIELD CITY: SPRINGFIELD STATE: MO ZIP: 65807 BUSINESS PHONE: 4175204333 MAIL ADDRESS: STREET 1: 1341 WEST BATTLEFIELD CITY: SPRINGFIELD STATE: MO ZIP: 65807 4 1 form4.xml FORM 4 X0306 4 2022-04-01 true 0001046203 GUARANTY FEDERAL BANCSHARES INC GFED 0001580580 Castle Creek Capital Partners V, LP C/O CASTLE CREEK CAPITAL LLC 11682 EL CAMINO REAL, SUITE 320 SAN DIEGO CA 92130 true 0001589685 Castle Creek Capital V LLC C/O CASTLE CREEK CAPITAL LLC 11682 EL CAMINO REAL, SUITE 320 SAN DIEGO CA 92130 true Common Stock 2022-04-01 4 D 0 918804 D 0 D These securities are held directly by Castle Creek Capital Partners V, LP ("Fund V"). Castle Creek Capital V LLC is the sole general partner of Fund V. Castle Creek Capital V LLC each disclaims beneficial ownership of such shares of Common Stock, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that Castle Creek Capital V LLC 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. Pursuant to the Agreement and Plan of Merger, dated November 9, 2021 (the "Merger Agreement") between the Issuer and QCR Holdings, Inc., a Delaware corporation whose shares of common stock ("Acquiror Common Stock") trade on the Nasdaq Global Market ("Acquiror"), effective April 1, 2022 (the "Effective Time"), the Issuer merged with and into Acquiror (the "Merger"), with Acquiror as the surviving entity in the Merger. At the Effective Time, each share of the Issuer's common stock outstanding immediately prior to Effective Time (other than shares owned by Guaranty or QCR and any dissenting shares) was converted into the right to receive: (i) $30.50 in cash, (ii) 0.58775 shares of Acquiror Common Stock, or (iii) mixed consideration of $6.10 in cash and 0.4702 shares of Acquiror Common Stock, subject to possible adjustment pursuant to (cont. in footnote 3) (cont. from footnote 2) the terms and conditions set forth in the Merger Agreement and with cash paid in lieu of fractional shares. At the Effective Time, the price per share of Acquiror Common Stock at market close was $56.26. CASTLE CREEK CAPITAL PARTNERS V, LP, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President 2022-04-05 CASTLE CREEK CAPITAL V LLC, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President 2022-04-05