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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN 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. | 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. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lindenbaum Nathan C/O BASSWOOD CAPITAL MANAGEMENT, L.L.C. 645 MADISON AVENUE, 10TH FLOOR NEW YORK, NY 10022 |
 |  X |  |  |
/s/ Nathan Lindenbaum | 11/23/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | This Form 5 is filed on behalf of Nathan Lindenbaum. Mr. Lindenbaum directly holds Common Stock and is trustee of Abigail 2012, Victoria and Ben 2012 and Shari 1994 and is the managing member of MGS and may be deemed to have a pecuniary interest in the Common Stock held directly by such entities. In addition, Mr. Lindenbaum may be deemed to have a pecuniary interest in the Common Stock held directly by Naftali Asher and Nathan 1995. |
(2) | Common Stock held directly by MGS Partners, LLC ("MGS"). |
(3) | Common Stock held directly by Abigail Tambor 2012 Children's Trust ("Abigail 2012"). |
(4) | Common Stock held directly by Victoria and Benjamin Feder 2012 Children's Trust ("Victoria and Ben 2012"). |
(5) | Common Stock held directly by Shari A. Lindenbaum 1994 Children's Trust ("Shari 1994"). |
(6) | Common Stock held directly by Naftali Asher Investments, LLC ("Naftali Asher"). |
(7) | Common Stock held directly by Nathan J Lindenbaum 1995 Children Trust ("Nathan 1995"). |