Recent 8-K filings for BANX

• June 30, 2026, 5:18 PM ET leadership materiality 0.55 neutral item 5.02item 9.01

  ArrowMark Financial appoints Katie Jones as CFO; President Dana Staggs to depart Aug 2, 2026

  Patrick Farrell retired as CFO; replaced by Katherine (Katie) Jones, effective June 30, 2026.

• January 28, 2026, 6:59 PM ET other material materiality 0.50 neutral item 1.01item 8.01item 9.01 ◈ Material Agreements

  ArrowMark Financial Corp. launches 1-for-3 rights offering for up to 2.6M new shares

  Record date shareholders get one right per share; 3 rights buy one new common share.

• December 19, 2025, 6:59 PM ET other material materiality 0.55 positive item 1.01item 8.01item 9.01 ◈ Material Agreements

  ArrowMark Financial raises $15M in registered direct offering of 673,249 shares at $22.28

  Offering of 673,249 common shares at $22.28 each, raising ~$15 million (excl. expenses).

• December 16, 2025, 6:59 PM ET other material materiality 0.60 neutral item 1.01item 8.01item 9.01 ◈ Material Agreements ×2

  ArrowMark Financial announces up to $25M ATM common stock offering

  ATM offering of up to $25M of common stock (BANX) filed with SEC on Dec 15, 2025.

• March 28, 2025, 7:59 PM ET regulatory materiality 0.35 negative item 3.01 ◈ Listing & Compliance Notices

  ArrowMark Financial receives Nasdaq non-compliance notice due to Audit Committee composition after director death

  Michael Stolper, independent director and Audit Committee member, died March 21, 2025.

• November 9, 2022, 6:59 PM ET earnings materiality 0.60 neutral item 2.02item 9.01 ◈ Earnings Releases

  ArrowMark Financial Q3 2022 NII $0.46/share; NAV down to $20.74; portfolio yield 11.85%

  Net investment income $3.3M ($0.46/share); $5.3M gross income vs $2.0M expenses.

• August 4, 2022, 7:59 PM ET earnings materiality 0.60 neutral item 2.02item 9.01

  ArrowMark Financial Q2 NII $0.43/share; NAV $20.94, down $0.50 from prior quarter

  Net investment income $3.0M ($0.43/share); net realized/unrealized loss ($0.54)/share.

• June 16, 2022, 7:59 PM ET other material materiality 0.50 neutral item 8.01item 9.01

  ArrowMark Financial estimates May NAV at $21.34, appoints Dana Staggs President

  May 31, 2022 estimated NAV per share $21.34, down $0.02 from prior month.

• June 3, 2022, 7:59 PM ET debt materiality 0.50 neutral item 8.01

  ArrowMark Financial amends credit facility, ups revolver to $70M and extends to 2025

  Maximum revolving credit increased to $70M from $62M under amended credit agreement.

• May 12, 2022, 7:59 PM ET earnings materiality 0.55 neutral item 2.02item 9.01

  ArrowMark Financial reports Q1 NII $0.42/share, NAV $21.44, distribution raised $0.01 to $0.39

  Net investment income $3.0M ($0.42/share); net realized & unrealized loss ($0.29)/share.

• February 28, 2022, 6:59 PM ET earnings materiality 0.50 neutral item 2.02item 9.01

  ArrowMark Financial Q4 NII $0.41/sh, NAV $21.70, dividend $0.48

  Net investment income of $2.87M ($0.41/sh) on $4.55M gross income and $1.68M expenses.

• November 10, 2021, 6:59 PM ET earnings materiality 0.50 neutral item 2.02item 9.01

  StoneCastle Financial Q3 2021 NII $0.40/share; NAV $21.86 up $0.06 QoQ

  Net investment income $2.8M ($0.40/share) on gross income $4.4M and expenses $1.6M.

• October 21, 2021, 7:59 PM ET other material materiality 0.60 neutral item 1.01item 8.01item 9.01

  StoneCastle Financial announces at-the-market equity offering of up to $30M

  Up to $30 million of common stock may be sold from time to time under ATM program with B. Riley Securities.

• August 5, 2021, 7:59 PM ET earnings materiality 0.50 positive item 2.02item 9.01

  StoneCastle Financial Q2 2021 NII $0.40/share, NAV $21.80, distribution $0.38

  Net investment income of $2.6M ($0.40 per share) on gross income of $4.3M.

• July 14, 2021, 7:59 PM ET other material materiality 0.55 positive item 1.01item 8.01item 9.01

  StoneCastle Financial raises $10.8M via registered direct offering of 492,234 shares at $21.89

  Offered 492,234 shares of common stock at $21.89 per share, raising ~$10.8M before expenses.

Materiality & sentiment trend

Max materiality 0.60 · Median 0.55 · Most common event other_material

3 positive 1 negative 11 neutral

source · BANX on sec.gov