John Pietrzak Form 3 GUARANTY FEDERAL BANCSHARES / John Pietrzak ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Castle Creek Capital Partners V, LP

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/03/2016

3. Issuer Name and Ticker or Trading Symbol
GUARANTY FEDERAL BANCSHARES INC [ GFED ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Guaranty Federal Bancshares, Inc. Common Stock	719,022	D(1)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

1. Name and Address of Reporting Person^*

Castle Creek Capital Partners V, LP

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Castle Creek Capital V LLC

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

EGGEMEYER JOHN M III

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

THOMAS J MIKESELL

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

MERLO MARK G

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Pietrzak John

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

Explanation of Responses:

1. These securities are owned by Castle Creek Capital Partners V, LP ("Fund V"). Each of Castle Creek Capital V LLC, John M. Eggemeyer, J. Mikesell Thomas, Mark G. Merlo, and John T. Pietrzak may also be deemed to be the beneficial owner of the 719,022 shares of Common Stock held directly by Fund V. Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital V LLC, the sole general partner of Fund V. Castle Creek Capital V LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of such shares of Common Stock, except to the extent of their respective pecuniary interest in Fund V, and this report shall not be deemed an admission that Castle Creek Capital V LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak 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.

	CASTLE CREEK CAPITAL PARTNERS V, LP, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President	08/03/2016
	CASTLE CREEK CAPITAL V LLC, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President	08/03/2016
	JOHN M. EGGEMEYER, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer	08/03/2016
	J. MIKESELL THOMAS, By: /s/ J. Mikesell Thomas, Name: J. Mikesell Thomas	08/03/2016
	MARK G. MERLO, By: /s/ Mark G. Merlo, Name: Mark G. Merlo	08/03/2016
	JOHN T. PIETRZAK, By: /s/ John T. Pietrzak, Name: John T. Pietrzak	08/03/2016
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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