Form Type: 4

SEC EDGAR Link
Acccession Number:0001766526-19-000018
Date:2019-05-14
Issuer: TECTONIC FINANCIAL, INC. (TECTP)
Original Submission Date:

Reporting Person:

MCDOUGAL THOMAS
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
SERIES B PREFERRED STOCK 2019-05-14 P 15,000 a $10.00 15,000 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 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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