SEC Form 4 · accession 0001140361-16-075554
BAY BANCORP, INC. · BYBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
East Rock Capital, LLC
10% Owner
Adam Shapiro
10% Owner
East Rock Capital GP, LLC
10% Owner
D Partners Management, LLC
10% Owner
EREF MP Alpha, LLC
10% Owner
Graham Duncan
10% Owner
Period of report
Aug 8, 2016
Accepted (ET)
Aug 10, 2016 · 9:36 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000859222
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $1.00F1,F2 | Aug 8, 2016 | S | 200,000 | $5.10 | D | 1,418,436 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares reported herein are held for the account of EREF MP Alpha, LLC (the "Fund"). East Rock Capital, LLC (the "Manager") and East Rock Capital GP, LLC (the "General Partner") serve as the investment manager and the general partner, respectively, of East Rock Endowment Fund, L.P., the sole member of the Fund. D Partners Management, LLC ("D Partners") serves as the managing member of the Manager and the General Partner. Mr. Duncan and Mr. Shapiro jointly manage and control the Fund, primarily as managing principals and control persons of the Manager and the General Partner. Mr. Duncan also serves as the managing member of D Partners. The persons and entities whose signatures appear below are collectively referred to herein as the "Reporting Persons."
- F2Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934 or for any other purpose.