Filing Details
- Accession Number:
- 0001209191-13-056719
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-12 19:14:44
- Reporting Period:
- 2013-12-10
- Filing Date:
- 2013-12-12
- Accepted Time:
- 2013-12-12 19:14:44
- 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 |
|---|---|---|---|---|---|---|---|
| 1024684 | Iii Barron Frank Fletcher | 2100 Mckinney Avenue Suite 1200 Dallas TX 75201 | Yes | No | Yes | No | |
| 1350566 | Parallel 2005 Equity Fund Lp | 2100 Mckinney Avenue Suite 1200 Dallas TX 75201 | Yes | No | Yes | No | |
| 1525811 | Parallel 2005 Equity Partners, Lp | 2100 Mckinney Avenue Suite 1200 Dallas TX 75201 | Yes | No | Yes | No | |
| 1525812 | Parallel 2005 Equity Partners, Llc | 2100 Mckinney Avenue, Suite 1200 Dallas TX 75201 | 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 | 658,232 | No | 4 | M | Indirect | See footnotes |
| Common Stock, Par Value $0.10 Per Share | Disposition | 2013-12-10 | 658,232 | $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 648,850 shares of common stock of Regional Management Corp. (the "Issuer") held directly by Parallel 2005 Equity Fund, LP and 4,691 shares of common stock held by each of Richard T. Dell'Aquila and Jared L. Johnson as nominee holders on behalf of Parallel 2005 Equity Fund, LP.
- 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 Richard T. Dell'Aquila and Jared L. Johnson as nominee holders on behalf of Parallel 2005 Equity Fund, LP.
- The general partner of Parallel 2005 Equity Fund, LP is Parallel 2005 Equity Partners, LP. The general partner of Parallel 2005 Equity Partners, LP is Parallel 2005 Equity Partners, LLC. F. Barron Fletcher, III is the managing member of Parallel 2005 Equity Partners, LLC. Mr. Johnson is a Managing Director of Parallel Investment Partners, LLC, which is an affiliate of Parallel 2005 Equity Partners, LLC. Mr. Dell'Aquila is a Managing Director of Parallel Investment Partners, LLC, which is an affiliate of Parallel 2005 Equity Partners, LLC.
- The option vests in five equal annual installments beginning on March 27, 2013.
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