SB Financial Group, Inc.
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Common Stock, No Par Value
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78408D105
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December 31, 2021
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CUSIP No. 78408D105
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13G
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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EJF Capital LLC
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☐
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(b)☒
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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0
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6
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SHARED VOTING POWER
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413,854
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7
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SOLE DISPOSITIVE POWER
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0
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8
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SHARED DISPOSITIVE POWER
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413,854
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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413,854
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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6.0% (1)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IA
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(1) |
Based on 6,884,000 shares of common stock, no par value (“Common Stock”) outstanding as of December 31, 2021, as reflected in the Form 8-K filed
by the Issuer with the U.S. Securities and Exchange Commission (“SEC”) on January 31, 2022. As of the date of this filing, EJF Capital LLC is the beneficial owner of an aggregate of 139,744 shares of Common Stock, representing 2.0%
of the class based on 6,889,284 shares of Common Stock outstanding as of February 1, 2022, as reflected on the Issuer’s Form 8-K filed with the SEC on February 1, 2022.
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CUSIP No. 78408D105
|
13G
|
1
|
NAMES OF REPORTING PERSONS
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|
|
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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Emanuel J. Friedman
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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||||
(a)☐
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|||||
(b)☒
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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0
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6
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SHARED VOTING POWER
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413,854
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7
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SOLE DISPOSITIVE POWER
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0
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8
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SHARED DISPOSITIVE POWER
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413,854
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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413,854
|
|
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|||
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|
||||
10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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|||
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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6.0% (1)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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(1) |
Based on 6,884,000 shares of Common Stock outstanding as of December 31, 2021, as reflected in the Form 8-K filed by the Issuer with the SEC
on January 31, 2022. As of the date of this filing, Emanuel J. Friedman is the beneficial owner of an aggregate of 139,744 shares of Common Stock, representing 2.0% of the class based on 6,889,284 shares of Common Stock
outstanding as of February 1, 2022, as reflected on the Issuer’s Form 8-K filed with the SEC on February 1, 2022.
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CUSIP No. 78408D105
|
13G
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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EJF Sidecar Fund, Series LLC – Small Financial Equities Series
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☒
|
|
|
|||
3
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SEC USE ONLY
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|||
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||||
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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||
Delaware
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|
|
|||
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|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
|
SOLE VOTING POWER
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0
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|||
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||||
6
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SHARED VOTING POWER
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413,854
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|||
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||||
7
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SOLE DISPOSITIVE POWER
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0
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|||
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||||
8
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SHARED DISPOSITIVE POWER
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|
||
413,854
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|
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|||
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|
||||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
413,854
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
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|||
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|
||||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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6.0% (1)
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||||
12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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OO
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(1) |
Based on 6,884,000 shares of Common Stock outstanding as of December 31, 2021, as reflected in the Form 8-K filed by the Issuer with the SEC on
January 31, 2022. As of the date of this filing, EJF Sidecar Fund, Series LLC – Small Financial Equities Series is the beneficial owner of an aggregate of 139,744 shares of Common Stock, representing 2.0% of the class based on
6,889,284 shares of Common Stock outstanding as of February 1, 2022, as reflected on the Issuer’s Form 8-K filed with the SEC on February 1, 2022.
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(i)
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EJF Capital LLC;
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(ii)
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Emanuel J. Friedman; and
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(iii)
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EJF Sidecar Fund, Series LLC – Small Financial Equities Series.
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(a)
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Amount beneficially owned:
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See Item 9 of the attached cover pages.
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(b)
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Percent of class:
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See Item 11 of the attached cover pages.
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(c)
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Number of shares as to which such person has:
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(i)
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Sole power to vote or to direct the vote:
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See Item 5 of the attached cover pages.
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(ii)
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Shared power to vote or to direct the vote:
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See Item 6 of the attached cover pages.
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(iii)
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Sole power to dispose or to direct the disposition:
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See Item 7 of the attached cover pages.
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||
(iv)
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Shared power to dispose or to direct the disposition:
|
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See Item 8 of the attached cover pages.
|
EJF CAPITAL LLC | |||
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By:
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/s/ David Bell | |
Name: David Bell | |||
Title: General Counsel |
EMANUEL J. FRIEDMAN | |||
|
By:
|
/s/ Emanuel J. Friedman | |
Name: Emanuel J. Friedman |
EJF SIDECAR FUND, SERIES LLC – SMALL FINANCIAL EQUITIES SERIES
|
|||
By: | EJF CAPITAL LLC | ||
Its: | Managing Member | ||
|
By:
|
/s/ David Bell | |
Name: David Bell | |||
Title: General Counsel |
EJF CAPITAL LLC | |||
|
By:
|
/s/ David Bell | |
Name: David Bell | |||
Title: General Counsel |
EMANUEL J. FRIEDMAN | |||
|
By:
|
/s/ Emanuel J. Friedman | |
Name: Emanuel J. Friedman |
EJF SIDECAR FUND, SERIES LLC – SMALL FINANCIAL EQUITIES SERIES
|
|||
By: | EJF CAPITAL LLC | ||
Its: | Managing Member | ||
|
By:
|
/s/ David Bell | |
Name: David Bell | |||
Title: General Counsel |