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Regional Management Corp. — Director's Dealing 2013
Dec 13, 2013
33053_dirs_2013-12-12_303a04e6-62c5-48d7-aa9d-311cdda25f48.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Regional Management Corp. (RM)
CIK: 0001519401
Period of Report: 2013-12-10
Reporting Person: Parallel 2005 Equity Partners, LLC (Director, 10% Owner)
Reporting Person: Parallel 2005 Equity Fund LP (Director, 10% Owner)
Reporting Person: Parallel 2005 Equity Partners, LP (Director, 10% Owner)
Reporting Person: FLETCHER FRANK BARRON III (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-10 | Common Stock, par value $0.10 per share | M | 4000 | $15.00 | Acquired | 658232 | Indirect |
| 2013-12-10 | Common Stock, par value $0.10 per share | S | 658232 | $29.605 | Disposed | 0 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-10 | Stock Option (right to buy) | $15.00 | M | 4000 | Disposed | 2022-03-27 | Common Stock (4000) | Indirect |
Footnotes
F1: 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.
F2: 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.
F3: These securities are held by Richard T. Dell'Aquila and Jared L. Johnson as nominee holders on behalf of Parallel 2005 Equity Fund, LP.
F4: 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.
F5: The option vests in five equal annual installments beginning on March 27, 2013.