UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
CU Bancorp
(Name of Issuer)
Common Stock, no par value
(Title of Class of Securities)
126534106
(CUSIP Number)
December 31, 2014
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
x Rule 13d-1(b)
¨ Rule 13d-1(c)
¨ Rule 13d-1(d)
* | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
13G
CUSIP No. 126534106 | Page 2 of 7 Pages |
1 | Name of reporting person I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Basswood Capital Management, L.L.C. | |||||
2 | Check the appropriate box if a member of a group* (a) ¨ (b) x
| |||||
3 | SEC use only
| |||||
4 | Citizenship or place of organization
Delaware | |||||
Number of shares beneficially owned by each reporting person with |
5 | Sole voting power
0 | ||||
6 | Shared voting power
1,124,603 | |||||
7 | Sole dispositive power
0 | |||||
8 | Shared dispositive power
1,124,603 | |||||
9 |
Aggregate amount beneficially owned by each reporting person
1,124,603 | |||||
10 | Check box if the aggregate amount in Row (9) excludes certain shares ¨
| |||||
11 | Percent of class represented by amount in Row (9)
6.74% | |||||
12 | Type of reporting person*
IA |
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13G
CUSIP No. 126534106 | Page 3 of 7 Pages |
1 | Name of reporting person I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Matthew Lindenbaum | |||||
2 | Check the appropriate box if a member of a group* (a) ¨ (b) x
| |||||
3 | SEC use only
| |||||
4 | Citizenship or place of organization
United States | |||||
Number of shares beneficially owned by each reporting person with |
5 | Sole voting power
0 | ||||
6 | Shared voting power
1,124,603 | |||||
7 | Sole dispositive power
0 | |||||
8 | Shared dispositive power
1,124,603 | |||||
9 |
Aggregate amount beneficially owned by each reporting person
1,124,603 | |||||
10 | Check box if the aggregate amount in Row (9) excludes certain shares ¨
| |||||
11 | Percent of class represented by amount in Row (9)
6.74% | |||||
12 | Type of reporting person*
IN/HC |
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13G
CUSIP No. 126534106 | Page 4 of 7 Pages |
1 | Name of reporting person I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Bennett Lindenbaum | |||||
2 | Check the appropriate box if a member of a group* (a) ¨ (b) x
| |||||
3 | SEC use only
| |||||
4 | Citizenship or place of organization
United States | |||||
Number of shares beneficially owned by each reporting person with |
5 | Sole voting power
0 | ||||
6 | Shared voting power
1,124,603 | |||||
7 | Sole dispositive power
0 | |||||
8 | Shared dispositive power
1,124,603 | |||||
9 |
Aggregate amount beneficially owned by each reporting person
1,124,603 | |||||
10 | Check box if the aggregate amount in Row (9) excludes certain shares ¨
| |||||
11 | Percent of class represented by amount in Row (9)
6.74% | |||||
12 | Type of reporting person*
IN/HC |
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Item 1(a) | Name of Issuer: |
CU Bancorp
Item 1(b) | Address of Issuers Principal Executive Offices: |
15821 Ventura Boulevard, Suite 110
Encino, CA 91436
Item 2(a) | Name of Person Filing: |
See Cover Pages, Item 1.
Item 2(b) | Address or Principal Business Office: |
c/o Basswood Capital Management, L.L.C.
645 Madison Avenue, 10th Floor
New York, NY 10022
Item 2(c) | Citizenship: |
See Cover Pages, Item 4.
Item 2(d) | Title of Class of Securities: |
Common Stock, no par value
Item 2(e) | CUSIP Number: |
126534106
Item 3 | Not Applicable |
Item 4 | Ownership: |
The information required by Items 4(a)-(c) is set forth in Rows 5-11 of the cover page hereto for each Reporting Person and is incorporated herein by reference for each such Reporting Person.
Item 5 | Ownership of Five Percent or Less of a Class: |
Not Applicable
Item 6 | Ownership of More than Five Percent on Behalf of Another Person: |
Not Applicable
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Item 7 | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: |
Not Applicable
Item 8 | Identification and Classification of Members of the Group: |
Not Applicable
Item 9 | Notice of Dissolution of Group: |
Not Applicable
Item 10 | Certification: |
By signing below the signatory certifies that, to the best of his knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
[Remainder of page intentionally left blank]
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SIGNATURE
After reasonable inquiry and to the best of the knowledge and belief of the undersigned, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
Dated: February 13, 2015
BASSWOOD CAPITAL MANAGEMENT, L.L.C. | ||||
By: | /s/ Matthew Lindenbaum | |||
Name: | Matthew Lindenbaum | |||
Title: | Managing Member | |||
/s/ Matthew Lindenbaum | ||||
Matthew Lindenbaum, an individual | ||||
/s/ Bennett Lindenbaum | ||||
Bennett Lindenbaum, an individual |
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