Statement of Changes in Beneficial Ownership (4)
September 02 2020 - 5:40PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
BASSWOOD CAPITAL MANAGEMENT, L.L.C. |
2. Issuer Name and Ticker or Trading Symbol
Regional Management Corp.
[
RM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Director-by-Deputization |
(Last)
(First)
(Middle)
645 MADISON AVENUE, 10TH FLOOR, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/31/2020 |
(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.10 per share ("Common Stock") | 8/31/2020 | | J(2) | | 17575 | A | $18.29 | 842450 | I | See footnotes (1)(3) |
Common Stock | 8/31/2020 | | J(2) | | 17575 | D | $18.29 | 0 | I | See footnotes (1)(4) |
Common Stock | | | | | | | | 343500 | I | See footnotes (1)(5) |
Common Stock | | | | | | | | 39013 | I | See footnotes (1)(6) |
Common Stock | | | | | | | | 134705 | I | See footnotes (1)(7) |
Common Stock | | | | | | | | 49857 | I | See footnotes (1)(8) |
Common Stock | | | | | | | | 13149 | I | See footnotes (1)(9) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | See Footnote 99.1 |
(2) | See Footnote 99.1 |
(3) | See Footnote 99.1 |
(4) | See Footnote 99.1 |
(5) | See Footnote 99.1 |
(6) | See Footnote 99.1 |
(7) | See Footnote 99.1 |
(8) | See Footnote 99.1 |
(9) | See Footnote 99.1 |
Remarks: Exhibit List: ------------ Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information Exhibit 99.3 - Joint Filers' Signatures |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BASSWOOD CAPITAL MANAGEMENT, L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK, NY 10022 | X | X |
| Director-by-Deputization |
LINDENBAUM MATTHEW A BASSWOOD CAPITAL MANAGEMENT L.L.C. 645 MADISON AVENUE 10TH FLOOR NEW YORK, NY 10022 | X | X |
| Director-by-Deputization |
LINDENBAUM BENNETT D BASSWOOD CAPITAL MANAGEMENT, L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK, NY 10022 | X | X |
| Director-by-Deputization |
BASSWOOD FINANCIAL FUND, INC. BASSWOOD CAPITAL MANAGEMENT L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK, NY 10022 | X | X |
| Director-by-Deputization |
Signatures
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BASSWOOD CAPITAL MANAGEMENT, L.L.C., /s/ Matthew Lindenbaum | | 9/2/2020 |
**Signature of Reporting Person | Date |
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