UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
EJF Capital LLC 2107 WILSON BOULEVARD SUITE 410 ARLINGTON, VA 22201 |
 |  X |  |  |
/s/ Emanuel J. Friedman, Authorized Signatory | 03/18/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | EJF Capital LLC serves as the investment manager or the sole member of the investment manager of each of EJF Debt Opportunities Master Fund, L.P., EJF Debt Opportunities Master Fund II, LP, Beltway Strategic Opportunities Fund L.P. and EJF Financial Services Fund, LP as well as of a managed account (the "Record Owners"), each of which individually owns less than 5% of the shares of common stock of Regional Management Corp. (the "Common Stock"). Emanuel J. Friedman is the controlling member of EJF Capital LLC. As a result, each of Emanuel J. Friedman and EJF Capital LLC may be deemed to share beneficial ownership with each such Record Owner over the Common Stock held by such Record Owner. (continued in Footnote 2) |
(2) | Each of EJF Capital LLC and Emanuel J. Friedman 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 EJF Capital LLC or Emanuel J. Friedman is the beneficial owner of the securities for purposes of Section 16, or for any other purpose. |