Form Type: 4

SEC EDGAR Link
Acccession Number:0001766526-19-000021
Date:2019-05-13
Issuer: TECTONIC FINANCIAL, INC. (TECTP)
Original Submission Date:

Reporting Person:

WICKER DANIEL C
C/O TECTONIC FINANCIAL, INC.
16200 DALLAS PARKWAY, SUITE 190 DALLAS, TX 75248

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-05-13 A 107,550 a $0.00 215,100 direct
SERIES B PREFERRED STOCK 2019-05-14 P 5,000 a $10.00 5,000 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 received in exchange for 215,100 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.
f2 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.
f3 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.

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