0001140361-17-046405.txt : 20171215 0001140361-17-046405.hdr.sgml : 20171215 20171215164716 ACCESSION NUMBER: 0001140361-17-046405 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20171207 FILED AS OF DATE: 20171215 DATE AS OF CHANGE: 20171215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BASSWOOD OPPORTUNITY FUND INC CENTRAL INDEX KEY: 0001269757 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 171259547 MAIL ADDRESS: STREET 1: 645 MADISON AVE STREET 2: 10TH FL CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BASSWOOD OPPORTUNITY PARTNERS, L.P. CENTRAL INDEX KEY: 0001085394 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 171259548 BUSINESS ADDRESS: STREET 1: 645 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125219500 MAIL ADDRESS: STREET 1: BASSWOOD CAPITAL MANAGEMENT LLC STREET 2: 645 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: BASSWOOD FINANCIAL PARTNERS LP DATE OF NAME CHANGE: 19990428 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BASSWOOD CAPITAL MANAGEMENT, L.L.C. CENTRAL INDEX KEY: 0001085393 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 171259554 BUSINESS ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-521-9500 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: Basswood Capital Management LLC DATE OF NAME CHANGE: 20130814 FORMER NAME: FORMER CONFORMED NAME: BASSWOOD CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 19990428 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BASSWOOD FINANCIAL FUND, L.P. CENTRAL INDEX KEY: 0001519641 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 171259551 BUSINESS ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-521-9500 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BASSWOOD ENHANCED LONG SHORT FUND LP CENTRAL INDEX KEY: 0001525955 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 171259549 BUSINESS ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-521-9500 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BASSWOOD FINANCIAL LONG ONLY FUND, L.P. CENTRAL INDEX KEY: 0001538637 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 171259550 BUSINESS ADDRESS: STREET 1: 645 MADISON AVENUE, 10TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-521-9500 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE, 10TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: BASSWOOD FINANCIAL ENHANCED FUND, L.P. DATE OF NAME CHANGE: 20120104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BASSWOOD FINANCIAL FUND, INC. CENTRAL INDEX KEY: 0001576092 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 171259546 BUSINESS ADDRESS: STREET 1: 3RD FL., HARBOUR CENTRE, P.O. BOX 61 CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1102 BUSINESS PHONE: 345-949-4244 MAIL ADDRESS: STREET 1: 3RD FL., HARBOUR CENTRE, P.O. BOX 61 CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LINDENBAUM BENNETT D CENTRAL INDEX KEY: 0000927942 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 171259552 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LINDENBAUM MATTHEW A CENTRAL INDEX KEY: 0000927943 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 171259553 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Regional Management Corp. CENTRAL INDEX KEY: 0001519401 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] IRS NUMBER: 570847115 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 979 BATESVILLE ROAD STREET 2: SUITE B CITY: GREER STATE: SC ZIP: 29651 BUSINESS PHONE: 864-448-7000 MAIL ADDRESS: STREET 1: 979 BATESVILLE ROAD STREET 2: SUITE B CITY: GREER STATE: SC ZIP: 29651 3 1 doc1.xml FORM 3 X0206 3 2017-12-07 0 0001519401 Regional Management Corp. RM 0001085393 BASSWOOD CAPITAL MANAGEMENT, L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 0 0 1 0 0000927943 LINDENBAUM MATTHEW A C/O BASSWOOD CAPITAL MANAGEMENT, LLC 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 0 0 1 0 0000927942 LINDENBAUM BENNETT D C/O BASSWOOD CAPITAL MANAGEMENT, LLC 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 0 0 1 0 0001519641 BASSWOOD FINANCIAL FUND, L.P. C/O BASSWOOD CAPITAL MANAGEMENT, LLC 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 0 0 1 0 0001538637 BASSWOOD FINANCIAL LONG ONLY FUND, L.P. C/O BASSWOOD CAPITAL MANAGEMENT, LLC 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 0 0 1 0 0001525955 BASSWOOD ENHANCED LONG SHORT FUND LP C/O BASSWOOD CAPITAL MANAGEMENT, LLC 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 0 0 1 0 0001085394 BASSWOOD OPPORTUNITY PARTNERS, L.P. C/O BASSWOOD CAPITAL MANAGEMENT, LLC 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 0 0 1 0 0001269757 BASSWOOD OPPORTUNITY FUND INC C/O BASSWOOD CAPITAL MANAGEMENT, LLC 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 0 0 1 0 0001576092 BASSWOOD FINANCIAL FUND, INC. C/O BASSWOOD CAPITAL MANAGEMENT, LLC 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock, par value $0.10 per share ("Common Stock") 256635 I See footnotes Common Stock 23975 I See footnotes Common Stock 690180 I See footnotes Common Stock 129152 I See footnotes Common Stock 76193 I See footnotes Common Stock 27470 I See footnotes Common Stock 326274 I See footnotes See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 Exhibit List: Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information Exhibit 99.3 - Joint Filers' Signatures BASSWOOD CAPITAL MANAGEMENT, L.L.C., By: /s/ Matthew Lindenbaum 2017-12-15 EX-99.1 2 b23150247a.htm EXPLANATION OF RESPONSES

Designated Filer:	Basswood Capital Management, L.L.C.
Issuer & Ticker Symbol:	Regional Management Corp. [RM]
Date of Event Requiring Statement:	December 7, 2017

Explanation of Responses:

This Form 3 is filed on behalf of Matthew Lindenbaum, Bennett Lindenbaum, Basswood Capital Management, L.L.C., and the Funds (as defined below)(collectively, the “Reporting Persons”). Basswood Capital Management, L.L.C. is the investment manager or adviser to the Funds (as defined below) and Managed Accounts (as defined below) and may be deemed to have a pecuniary interest in the Common Stock directly held by them. Matthew Lindenbaum and Bennett Lindenbaum are the managing members of Basswood Capital Management, L.L.C. and may be deemed to have a pecuniary interest in the Common Stock directly held by the Funds and in the Managed Accounts. In accordance with Instruction 5(b)(iv), the entire amount of Common Stock held by the Funds and Managed Accounts are reported herein. Each Reporting Person disclaims beneficial ownership of all shares of Common Stock that are beneficially owned by the Funds or Managed Accounts, except to the extent of any direct or indirect pecuniary interest therein.

2.	Common Stock held directly by Basswood Opportunity Partners, LP (“BOP”).

3.	Common Stock held directly by Basswood Opportunity Fund, Inc. (“BOF”).

4.	Common Stock held directly by Basswood Enhanced Long Short Fund, LP (“BELS”).

5.	Common Stock held directly by Basswood Financial Fund, LP (“BFF”).

6.	Common Stock held directly by Basswood Financial Fund, Inc. (“BFF, Inc.”).

7.	Common Stock held directly by Basswood Financial Long Only Fund, LP (“BLOF”, and together with BOP, BOF, BELS, BFF and BFF, Inc., the “Funds”).

8.	Common Stock held directly by certain separate accounts managed by Basswood Capital Management, L.L.C.

EX-99.2 3 b23150247b.htm JOINT FILER INFORMATION

Designated Filer:	Basswood Capital Management, L.L.C.
Issuer & Ticker Symbol:	Regional Management Corp. [RM]
Date of Event Requiring Statement:	December 7, 2017

Exhibit 99.2 - Joint Filer Information

Joint Filers:

1. Name:	Matthew Lindenbaum
	Address: c/o Basswood Capital Management, LLC
	645 Madison Avenue, 10th Floor
	New York, NY 10022

2. Name:	Bennett Lindenbaum
	Address: c/o Basswood Capital Management, LLC
	645 Madison Avenue, 10th Floor
	New York, NY 10022

3. Name:	Basswood Capital Management, L.L.C.
	Address: c/o Basswood Capital Management, LLC
	645 Madison Avenue, 10th Floor
	New York, NY 10022

4. Name:	Basswood Financial Fund, LP
	Address: c/o Basswood Capital Management, LLC
	645 Madison Avenue, 10th Floor
	New York, NY 10022


5. Name:	Basswood Financial Long Only Fund, LP
	Address: c/o Basswood Capital Management, LLC
	645 Madison Avenue, 10th Floor
	New York, NY 10022


6. Name:	Basswood Enhanced Long Short Fund, LP
	Address: c/o Basswood Capital Management, LLC
	645 Madison Avenue, 10th Floor
	New York, NY 10022

Designated Filer:	Basswood Capital Management, L.L.C.
Issuer & Ticker Symbol:	Regional Management Corp. [RM]
Date of Event Requiring Statement:	December 7, 2017

7. Name:	Basswood Opportunity Partners, LP
	Address: c/o Basswood Capital Management, LLC
	645 Madison Avenue, 10th Floor
	New York, NY 10022

8. Name:	Basswood Opportunity Fund, Inc.
	Address: c/o Basswood Capital Management, LLC
	645 Madison Avenue, 10th Floor
	New York, NY 10022

9. Name:	Basswood Financial Fund, Inc.
	Address: c/o Basswood Capital Management, LLC
	645 Madison Avenue, 10th Floor
	New York, NY 10022

EX-99.3 4 b23150247c.htm JOINT FILERS' SIGNATURES

Designated Filer:	Basswood Capital Management, L.L.C.
Issuer & Ticker Symbol:	Regional Management Corp. [RM]
Date of Event Requiring Statement:	December 7, 2017

	/s/ Matthew Lindenbaum
	Matthew Lindenbaum


	/s/ Bennett Lindenbaum
	Bennett Lindenbaum


	Basswood Capital Management, L.L.C.


	By:	/s/ Matthew Lindenbaum
		Name: Matthew Lindenbaum Title: Managing Member

	Basswood Enhanced Long Short Fund, LP By: Basswood Capital Management, L.L.C.


	By:	/s/ Matthew Lindenbaum
		Name: Matthew Lindenbaum Title: Managing Member

Designated Filer:	Basswood Capital Management, L.L.C.
Issuer & Ticker Symbol:	Regional Management Corp. [RM]
Date of Event Requiring Statement:	December 7, 2017

	Basswood Financial Fund, LP By: Basswood Capital Management, L.L.C.


	By:	/s/ Matthew Lindenbaum
		Name: Matthew Lindenbaum Title: Managing Member



	Basswood Financial Long Only Fund, LP By: Basswood Capital Management, L.L.C.


	By:	/s/ Matthew Lindenbaum
		Name: Matthew Lindenbaum Title: Managing Member

	Basswood Opportunity Partners, LP By: Basswood Capital Management, L.L.C.


	By:	/s/ Matthew Lindenbaum
		Name: Matthew Lindenbaum Title: Managing Member

Designated Filer:	Basswood Capital Management, L.L.C.
Issuer & Ticker Symbol:	Regional Management Corp. [RM]
Date of Event Requiring Statement:	December 7, 2017

	Basswood Financial Fund, Inc. By: Basswood Capital Management, L.L.C.


	By:	/s/ Matthew Lindenbaum
		Name: Matthew Lindenbaum Title: Managing Member



	Basswood Opportunity Fund, Inc. By: Basswood Capital Management, L.L.C.


	By:	/s/ Matthew Lindenbaum
		Name: Matthew Lindenbaum Title: Managing Member