Filing Details
- Accession Number:
- 0001209191-13-056722
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-12 19:21:37
- Reporting Period:
- 2013-12-10
- Filing Date:
- 2013-12-12
- Accepted Time:
- 2013-12-12 19:21:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1519401 | Regional Management Corp. | RM | Personal Credit Institutions (6141) | 570847115 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1307923 | P L Iii Partners Equity Palladium | Rockefeller Center 1270 Avenue Of The Americas, Suite 2200 New York NY 10020 | No | No | Yes | No | |
| 1525547 | A Marcos Rodriguez | Rockefeller Center 1270 Avenue Of The Americas, Suite 2200 New York NY 10020 | No | No | Yes | No | |
| 1525768 | Palladium Equity Partners Iii, L.l.c. | Rockefeller Center 1270 Avenue Of The Americas, Suite 2200 New York NY 10020 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.10 Per Share | Acquisiton | 2013-12-10 | 4,000 | $15.00 | 1,148,622 | No | 4 | M | Indirect | See footnotes |
| Common Stock, Par Value $0.10 Per Share | Disposition | 2013-12-10 | 1,148,622 | $29.61 | 0 | No | 4 | S | Indirect | See footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | See footnotes |
| No | 4 | S | Indirect | See footnotes |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2013-12-10 | 4,000 | $0.00 | 4,000 | $15.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,000 | 2022-03-27 | No | 4 | M | Indirect |
Footnotes
- Includes 1,139,240 shares of common stock of Regional Management Corp. (the "Issuer") held directly by Palladium Equity Partners III, L.P. and 4,691 shares of common stock held by each of David Perez and Erik A. Scott as nominee holders on behalf of Palladium Equity Partners III, L.P.
- This amount represents the $31.00 public offering price per share of the common stock of the Issuer less the underwriting discount of $1.395 per share.
- These securities are held by David Perez and Erik A. Scott as nominee holders on behalf of Palladium Equity Partners III, L.P.
- The general partner of Palladium Equity Partners III, L.P. is Palladium Equity Partners III, L.L.C. Marcos A. Rodriguez is the managing member of Palladium Equity Partners III, L.L.C. Mr. Perez is a Managing Director of Palladium Equity Partners III, L.P. Mr. Scott is a Managing Director of Palladium Equity Partners III, L.P.
- The option vests in five equal annual installments beginning on March 27, 2013.
Billionaire Hedge Funds
