SEC Form 4 · accession 0000919574-15-000523
Regional Management Corp. · RM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jan 15, 2015
Accepted (ET)
Jan 20, 2015 · 12:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001519401
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.10 Par ValueF2 | Jan 15, 2015 | P | 40,334 | $15.1932 | A | 1,336,854 | I | By advisory clients of Second Curve Capital, LLC |
| Common Stock, $0.10 Par ValueF2 | Jan 15, 2015 | S | 42,000 | $15.1947 | D | 1,294,854 | I | By advisory clients of Second Curve Capital, LLC |
| Common Stock, $0.10 Par ValueF2 | Jan 16, 2015 | P | 10,000 | $15.79 | D | 1,304,854 | I | By advisory clients of Second Curve Capital, LLC |
| Common Stock, $0.10 Par ValueF2 | Jan 16, 2015 | S | 10,000 | $15.79 | D | 1,294,854 | I | By advisory clients of Second Curve Capital, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These transactions constitute transactions among related entities over which the Reporting Persons may be deemed to have beneficial ownership.
- F2These securities may be deemed to be beneficially owned by Second Curve Capital, LLC and Thomas K. Brown. Second Curve Capital, LLC is the investment manager of Second Curve Partners, L.P., Second Curve Partners II, LP, Second Curve Partners International, Ltd., Second Curve Opportunity Fund, LP, Second Curve Opportunity Fund II, LP, Second Curve Opportunity Fund International, Ltd., Second Curve Vision Fund, LP, Second Curve Vision Fund International, Ltd. Thomas K. Brown is the managing member of Second Curve Capital, LLC. Each such Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.