0001766526-19-000013.txt : 20190515 0001766526-19-000013.hdr.sgml : 20190515 20190515185032 ACCESSION NUMBER: 0001766526-19-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190513 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BALL GEORGE L CENTRAL INDEX KEY: 0001184309 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38910 FILM NUMBER: 19830181 MAIL ADDRESS: STREET 1: C/O SANDERS MORRIS HARRIS INC STREET 2: 600 TRAVIS #3100 CITY: HOUSTON STATE: TX ZIP: 77002 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tectonic Financial, Inc. CENTRAL INDEX KEY: 0001766526 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 820764846 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 16200 DALLAS PARKWAY, SUITE 190 CITY: DALLAS STATE: TX ZIP: 75248 BUSINESS PHONE: 972-720-9000 MAIL ADDRESS: STREET 1: 16200 DALLAS PARKWAY, SUITE 190 CITY: DALLAS STATE: TX ZIP: 75248 FORMER COMPANY: FORMER CONFORMED NAME: T Acquisition, Inc. DATE OF NAME CHANGE: 20190131 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-05-13 0 0001766526 Tectonic Financial, Inc. TECTP 0001184309 BALL GEORGE L C/O TECTONIC FINANCIAL, INC. 16200 DALLAS PARKWAY, SUITE 190 DALLAS TX 75248 1 1 0 0 Executive Co-Chairman Common Stock 2019-05-13 4 A 0 104228.5 A 208457 D Series B Preferred Stock 2019-05-14 4 P 0 2500 10 A 2500 D Received in exchange for 208,457 common units of Tectonic Holdings, LLC ("Tectonic Holdings") in connection with the merger of Tectonic Holdings with and into the Issuer, with the Issuer continuing as the surviving company (the "Merger"). At the effective time of the Merger, each common unit of Tectonic Holdings was converted into the right to receive one share of the Issuer's common stock. Immediately following, and in connection with, the Merger, the Issuer effected a 1-for-2 reverse stock split of the outstanding shares of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. Represents shares purchased through a directed share program in connection with the initial public offering of the Issuer's 9.00% Fixed-to-Floating Rate Series B Non-Cumulative Perpetual Preferred Stock (the "Series B preferred stock"), which closed on May 14, 2019. These shares of Series B preferred stock were purchased at the public offering price of $10.00 per share. By Michelle Baird as Attorney-in-Fact for George L. Ball 2019-05-15