0001567619-19-000428.txt : 20190103 0001567619-19-000428.hdr.sgml : 20190103 20190103215608 ACCESSION NUMBER: 0001567619-19-000428 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190103 DATE AS OF CHANGE: 20190103 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 19508337 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: LINDENBAUM MATTHEW A CENTRAL INDEX KEY: 0000927943 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 19508338 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 BENNETT D CENTRAL INDEX KEY: 0000927942 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 19508339 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 FUND, INC. CENTRAL INDEX KEY: 0001576092 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 19508340 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: BASSWOOD FINANCIAL LONG ONLY FUND, L.P. CENTRAL INDEX KEY: 0001538637 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 19508341 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 OPPORTUNITY FUND INC CENTRAL INDEX KEY: 0001269757 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 19508342 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 19508343 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 FINANCIAL FUND, L.P. CENTRAL INDEX KEY: 0001519641 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 19508344 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 19508345 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 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 4 1 doc1.xml FORM 4 X0306 4 2018-12-31 0 0001519401 Regional Management Corp. RM 0001085393 BASSWOOD CAPITAL MANAGEMENT, L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 1 0 1 1 Director-by-Deputization 0000927943 LINDENBAUM MATTHEW A BASSWOOD CAPITAL MANAGEMENT L.L.C. 645 MADISON AVENUE 10TH FLOOR NEW YORK NY 10022 1 0 1 0 0000927942 LINDENBAUM BENNETT D BASSWOOD CAPITAL MANAGEMENT, L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 1 0 1 1 Director-by-Deputization 0001576092 BASSWOOD FINANCIAL FUND, INC. BASSWOOD CAPITAL MANAGEMENT L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 1 0 1 1 Director-by-Deputization 0001538637 BASSWOOD FINANCIAL LONG ONLY FUND, L.P. BASSWOOD CAPITAL MANAGEMENT L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 1 0 1 1 Director-by-Deputization 0001269757 BASSWOOD OPPORTUNITY FUND INC BASSWOOD CAPITAL MANAGEMENT L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 1 0 1 1 Director-by-Deputization 0001085394 BASSWOOD OPPORTUNITY PARTNERS, L.P. BASSWOOD CAPITAL MANAGEMENT, L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 1 0 1 1 Director-by-Deputization 0001519641 BASSWOOD FINANCIAL FUND, L.P. BASSWOOD CAPITAL MANAGEMENT L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 1 0 1 1 Director-by-Deputization 0001525955 BASSWOOD ENHANCED LONG SHORT FUND LP BASSWOOD CAPITAL MANAGEMENT, L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10022 1 0 1 1 Director-by-Deputization Common Stock, par value $0.01 per share ("Common Stock") 2018-12-31 4 J 0 19736 24.05 D 236899 I See footnotes Common Stock 2018-12-31 4 J 0 2200 24.05 A 30123 I See footnotes Common Stock 2018-12-31 4 J 0 33854 24.05 D 91076 I See footnotes Common Stock 2018-12-31 4 J 0 2999 24.05 D 79465 I See footnotes Common Stock 2018-12-31 4 J 0 7934 24.05 A 87399 I See footnotes Common Stock 2018-12-31 4 J 0 3436 24.05 D 24548 I See footnotes Common Stock 2018-12-31 4 J 0 122500 24.05 D 567680 I See footnotes Common Stock 2018-12-31 4 J 0 40171 24.05 D 276019 I See footnotes Common Stock 2018-12-31 4 J 0 212562 24.05 A 488581 I See footnotes Common Stock 3407 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 See Exhibit 99.1 See Exhibit 99.1 Explanation of Responses: Notes are included on Exhibit 99.1 hereto. 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.; /s/ Matthew Lindenbaum 2019-01-03 EX-99.1 2 b27334723a.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 31, 2018

Explanation of Responses:

1.
This Form 4 is filed on behalf of Matthew Lindenbaum, Bennett Lindenbaum, Basswood Opportunity Fund, Inc. (“BOF”), Basswood Opportunity Partners, LP (“BOP”), Basswood Financial Fund, LP (“BFF”), Basswood Financial Fund, Inc. (“BFF, Inc.”), Basswood Financial Long Only Fund, LP (“BLOF”), Basswood Enhanced Long Short Fund, L.P. (“BELS”) and Basswood Capital Management, L.L.C. (collectively, the “Reporting Persons”).  Basswood Capital Management, L.L.C. is the investment manager or adviser to BFF, BOF, BLOF, BFF, Inc., BELS and BOP (collectively and, together with BFF, BOF, BLOF, BFF, Inc. and BELS, the “Funds”) and certain separate managed accounts (the “Managed Accounts”), and may be deemed to have a pecuniary interest in the Common Stock directly held by the Funds and held in the Managed Accounts. 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 held in the Managed Accounts.  In accordance with Instruction 4(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.
Jonathan D. Brown, a senior analyst at Basswood Capital Management, L.L.C., serves on the board of directors of the Issuer as a representative of the Reporting Persons.  As a result, each of the Reporting Persons is a “director-by-deputization” solely for purposes of Section 16 of the Exchange Act.  By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), each of the Reporting Persons may be deemed to be a beneficial owner of the shares of Common Stock issued to Jonathan D. Brown. Each Reporting Person disclaims beneficial ownership of all shares of Common Stock that are beneficially owned by Jonathan D. Brown.
2.
Represents a cross-trade of Common Stock among certain of the Funds or Managed Accounts.
3.
Common Stock held directly by BOP.
4.
Common Stock held directly by BOF.
5.
Common Stock held directly by BFF.
6.
Common Stock held directly by BFF, Inc.
7.
Common Stock held directly by BLOF.
8.
Common Stock held directly by BELS.
9.
Common Stock held directly by Managed Accounts.
10.
Common Stock held directly by Jonathan D. Brown.
Remarks:






 EX-99.2 3 b27334723b.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 31, 2018

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 Opportunity Partners, LP
  
 
Address: c/o Basswood Capital Management, LLC
  
 
645 Madison Avenue, 10th Floor
  
 
New York, NY 10022
  
     
5. Name:
Basswood Opportunity Fund, Inc.
  
 
Address: c/o Basswood Capital Management, LLC
  
 
645 Madison Avenue, 10th Floor
  
 
New York, NY 10022
  
     
     
6. Name:
Basswood Financial Fund, LP
  
 
Address: c/o Basswood Capital Management, LLC
  
 
645 Madison Avenue, 10th Floor
  
 
New York, NY 10022
  
     
7. Name:
Basswood Financial Fund, Inc.
  
 
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 31, 2018




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


 
 
 
 
 
 
 
     


EX-99.3 4 b27334723c.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 31, 2018

Joint Filers’ Signatures
   
   
 
/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 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 31, 2018

 



 
Basswood Opportunity Fund, Inc.
  By: Basswood Capital Management, L.L.C. 
   
   
 
By:
/s/ Matthew Lindenbaum                              
   
Name: Matthew Lindenbaum
Title: Managing Member




 
Basswood Financial Fund, LP
  By: Basswood Capital Management, L.L.C. 
   
   
 
By:
/s/ Matthew Lindenbaum                              
   
Name: Matthew Lindenbaum
Title: Managing Member




 
Basswood Financial Fund, Inc.
  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 31, 2018

 

 
Basswood Financial Long Only Fund, LP
  By: 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