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Regional Management Corp. — Director's Dealing 2013
Aug 16, 2013
33053_dirs_2013-08-16_2b8e71b5-bb91-4e91-8354-b7a923a7b3c4.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: 2013-08-14
Reporting Person: Godley Richard A (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-14 | Common Stock | M | 2000 | $15 | Acquired | 329220 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-08-14 | Stock Option (right to buy) | $15.00 | M | 2000 | Disposed | 2022-03-27 | Common Stock (2000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 180000 | Indirect |
| Common Stock | 60000 | Indirect |
| Common Stock | 61505 | Indirect |
Footnotes
F1: The exercised portion of the option vested on March 27, 2013. The unexercisable portion of the option vests in four equal annual installments beginning on March 27, 2014.
F2: The reporting person holds the exercised stock option in his individual capacity, but upon exercise, the reporting person directed the Issuer to issue the shares in the name of the Richard A. Godley, Sr. Revocable Trust. As a result, these shares of common stock of the Issuer are held by the Richard A. Godley, Sr. Revocable Trust. The reporting person is the sole trustee of the Richard A. Godley, Sr. Revocable Trust.
F3: These shares of common stock of the Issuer are held by the Tyler Godley Children 2012 Irrevocable Trust, dated December 17, 2012. The reporting person's wife, Pamela Denise Godley, is the trustee of the Tyler Godley Children 2012 Irrevocable Trust, dated December 17, 2012.
F4: These shares of common stock of the Issuer are held by the Haylei D. Tucker Family 2012 Irrevocable Trust, dated December 17, 2012. The reporting person's wife, Pamela Denise Godley, is the trustee of the Haylei D. Tucker Family 2012 Irrevocable Trust, dated December 17, 2012.
F5: These shares of common stock of the Issuer are held by the Pamela Denise Godley Revocable Trust. The reporting person's wife, Pamela Denise Godley, is the trustee of the Pamela Denise Godley Revocable Trust.