EX-99.906CERT 3 a17-2623_1ex99d906cert.htm EX-99.906CERT

Exhibit 99.906CERT

Certification Pursuant to Rule 30a-2(b) under the 1940 Act and Section 906 of the Sarbanes-Oxley Act

I, Joshua S. Siegel, Chief Executive Officer & Chairman of the Board of StoneCastle Financial Corp. (the “Registrant”), certify that:

1. The Form N-CSR of the Registrant (the “Report”) fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and

2. The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Registrant.

Date:	2/28/2017		/s/ Joshua S. Siegel
			Joshua S. Siegel, Chief Executive Officer
			& Chairman of the Board
			(principal executive officer)

I, Patrick J. Farrell, Chief Financial Officer of StoneCastle Financial Corp. (the “Registrant”), certify that:

1. The Form N-CSR of the Registrant (the “Report”) fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and

2. The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Registrant.

Date:	2/28/2017		/s/ Patrick J. Farrell
			Patrick J. Farrell, Chief Financial Officer
			(principal financial officer)