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Regional Management Corp. — Director's Dealing 2013
Dec 13, 2013
33053_dirs_2013-12-12_c723baa0-9fcd-4471-901a-8225f6c05a64.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: Perez David (Director)
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 | 2000 | $15.00 | Acquired | 0 | Direct |
| 2013-12-10 | Common Stock, par value $0.10 per share | S | 4691 | $29.605 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-10 | Stock Option (right to buy) | $15.00 | M | 2000 | Disposed | 2022-03-27 | Common Stock (2000) | Direct |
Footnotes
F1: Pursuant to the arrangements between the Reporting Person and Palladium Equity Partners III, L.P. (the "Fund"), the Reporting Person is not permitted to retain the equity awards granted by Regional Management Corp. (the "Issuer"), and the Reporting Person is required to hold such securities for the benefit of the Fund. The Reporting Person disclaims any pecuniary interest in the securities reported herein.
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: The option vests in five equal annual installments beginning on March 27, 2012.