0001405086-12-000435.txt : 20121114 0001405086-12-000435.hdr.sgml : 20121114 20121114150744 ACCESSION NUMBER: 0001405086-12-000435 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BASSWOOD CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001085393 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10569 FILM NUMBER: 121203761 BUSINESS ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125219500 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 f00648925.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Basswood Capital Management, L.L.C. Address: 645 Madison Avenue 10th Floor New York, New York 10022 Form 13F File Number: 028-10569 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Matthew Lindenbaum Title: Managing Member Phone: (212) 521-9500 Signature, Place, and Date of Signing: /s/Matthew Lindenbaum New York, New York November 14, 2012 [Signature] [City, State] [Date] Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE REPORT SUMMARY Number of Other Included Managers: 4* Form 13F Information Table Entry Total: 307 Form 13F Information Table Value Total: $ 949,771 (thousands) List of Other Included Managers: No. 1 Form 13F File Number 028-10570 Name: Basswood Partners, L.L.C. No. 2 Form 13F File Number 028-10565 Name: Basswood Opportunity Partners, L.P. No. 3 Form 13F File Number 021-162995 Name: Basswood Enhanced Long Short Fund LP No. 4 Form 13F File Number 028-14756 Name: Basswood Enhanced Long Short GP, LLC * Messrs. Bennett Lindenbaum and Matthew Lindenbaum, as Principals of Basswood Partners, L.L.C., Basswood Enhanced Long Short GP, LLC, and Basswood Capital Management, L.L.C., have investment discretion over the investment portfolios reported herein. PAGE> FORM 13F INFORMATION TABLE

Name of Title of CUSIP Value SH/Prn SH/ Put/ Investment Other Voting Auth Issuer Class (x1,000) Amount Prn Call Discretion Managers Sole Shared None 1ST UNITED BANCORP INC. COM 33740N105 $2,008 311,299 SH DEFINED 3,4 0 311,299 0 1ST UNITED BANCORP INC. COM 33740N105 $333 51,684 SH DEFINED 1 0 51,684 0 ABB LIMITED SPONS ADR 000375204 $1,765 94,400 SH DEFINED 1,2 0 94,400 0 ACCENTURE PLC IRELAND SH CL A G1151C101 $1,534 21,900 SH DEFINED 1,2 0 21,900 0 AMDOCS LTD. ORD G02602103 $2,144 65,000 SH DEFINED 1,2 0 65,000 0 ANIXTER INTL INC COM 035290105 $2,024 35,226 SH DEFINED 0 35,226 0 ANIXTER INTL INC COM 035290105 $16,195 281,850 SH DEFINED 1,2 0 281,850 0 AON PLC SH CL A G0408V102 $1,545 29,540 SH DEFINED 0 29,540 0 AON PLC SH CL A G0408V102 $9,112 174,250 SH DEFINED 1,2 0 174,250 0 AON PLC SH CL A G0408V102 $2,781 53,187 SH DEFINED 3,4 0 53,187 0 AON PLC SH CL A G0408V102 $420 8,033 SH DEFINED 1 0 8,033 0 ARMSTRONG WORLD INDS COM 04247X102 $445 9,600 SH DEFINED 0 9,600 0 ARMSTRONG WORLD INDS COM 04247X102 $890 19,200 SH DEFINED 1,2 0 19,200 0 ASTORIA FINL CORP. COM 046265104 $750 75,873 SH DEFINED 0 75,873 0 ASTORIA FINL CORP. COM 046265104 $10,852 1,098,350 SH DEFINED 1,2 0 1,098,350 0 AUTOZONE INC. COM 053332102 $5,010 13,553 SH DEFINED 1,2 0 13,553 0 BANCO SANTANDER SA ADR 05964H105 $1,872 250,928 SH DEFINED 1,2 0 250,928 0 BANCORPSOUTH INC COM 059692103 $854 57,919 SH DEFINED 1,2 0 57,919 0 BANCORPSOUTH INC COM 059692103 $2,833 192,222 SH DEFINED 3,4 0 192,222 0 BANCORPSOUTH INC COM 059692103 $474 32,142 SH DEFINED 1 0 32,142 0 BANK OF AMERICA CORP. COM 060505104 $10,358 1,173,073 SH DEFINED 0 1,173,073 0 BANK OF AMERICA CORP. COM 060505104 $7,023 795,395 SH DEFINED 1,2 0 795,395 0 BANK OF AMERICA CORP. COM 060505104 $5,698 645,274 SH DEFINED 3,4 0 645,274 0 BANK OF AMERICA CORP. COM 060505104 $932 105,543 SH DEFINED 1 0 105,543 0 BANK OF NEW YORK MELLON COM 064058100 $1,947 86,085 SH DEFINED 0 86,085 0 BANK OF NEW YORK MELLON COM 064058100 $3,602 159,251 SH DEFINED 1,2 0 159,251 0 BANK OF NEW YORK MELLON COM 064058100 $6,032 266,684 SH DEFINED 3,4 0 266,684 0 BANK OF NEW YORK MELLON COM 064058100 $1,004 44,369 SH DEFINED 1 0 44,369 0 BANKFINL CORP COM 06643P104 $479 54,538 SH DEFINED 0 54,538 0 BANKFINL CORP COM 06643P104 $891 101,418 SH DEFINED 1,2 0 101,418 0 BANKFINL CORP COM 06643P104 $3,093 351,849 SH DEFINED 3,4 0 351,849 0 BANKFINL CORP COM 06643P104 $471 53,622 SH DEFINED 1 0 53,622 0 BANNER CORP NEW 06652V208 $2,773 102,125 SH DEFINED 1,2 0 102,125 0 BANNER CORP NEW 06652V208 $3,406 125,462 SH DEFINED 3,4 0 125,462 0 BANNER CORP NEW 06652V208 $992 36,548 SH DEFINED 1 0 36,548 0 BARNES & NOBLE, INC. COM 067774109 $829 64,900 SH DEFINED 1,2 0 64,900 0 BEACON ROOFING SUPPLY INC. COM 073685109 $10,082 354,004 SH DEFINED 1,2 0 354,004 0 BELDEN INC. COM 077454106 $1,724 46,751 SH DEFINED 0 46,751 0 BELDEN INC. COM 077454106 $22,105 599,386 SH DEFINED 1,2 0 599,386 0 BLACKROCK INC. COM 09247X101 $1,581 8,865 SH DEFINED 0 8,865 0 BLACKROCK INC. COM 09247X101 $2,903 16,284 SH DEFINED 1,2 0 16,284 0 BLACKROCK INC. COM 09247X101 $4,808 26,968 SH DEFINED 3,4 0 26,968 0 BLACKROCK INC. COM 09247X101 $784 4,398 SH DEFINED 1 0 4,398 0 CARLISLE COS INC. COM 142339100 $17,542 337,866 SH DEFINED 1,2 0 337,866 0 CARNIVAL CORP. PAIRED CTF 143658300 $896 24,600 SH DEFINED 0 24,600 0 CARNIVAL CORP. PAIRED CTF 143658300 $3,636 99,800 SH DEFINED 1,2 0 99,800 0 CASCADE BANCORP COM NEW 147154207 $20 3,799 SH DEFINED 1,2 0 3,799 0 CHARLES SCHWAB CORP. NEW COM 808513105 $678 53,035 SH DEFINED 0 53,035 0 CHARLES SCHWAB CORP. NEW COM 808513105 $1,246 97,444 SH DEFINED 1,2 0 97,444 0 CHARLES SCHWAB CORP. NEW COM 808513105 $1,475 115,372 SH DEFINED 3,4 0 115,372 0 CHARLES SCHWAB CORP. NEW COM 808513105 $242 18,960 SH DEFINED 1 0 18,960 0 CIT GROUP INC. COM NEW 125581801 $1,118 28,390 SH DEFINED 0 28,390 0 CIT GROUP INC. COM NEW 125581801 $2,056 52,200 SH DEFINED 1,2 0 52,200 0 CIT GROUP INC. COM NEW 125581801 $6,812 172,927 SH DEFINED 3,4 0 172,927 0 CIT GROUP INC. COM NEW 125581801 $1,039 26,388 SH DEFINED 1 0 26,388 0 CITIGROUP INC. COM NEW 172967424 $2,672 81,651 SH DEFINED 0 81,651 0 CITIGROUP INC. COM 172967424 $5,559 169,905 SH DEFINED 1,2 0 169,905 0 CITIGROUP INC. COM 172967424 $6,023 184,081 SH DEFINED 3,4 0 184,081 0 CITIGROUP INC. COM 172967424 $945 28,870 SH DEFINED 1 0 28,870 0 CITY NATL CORP. COM 178566105 $2,732 53,036 SH DEFINED 1,2 0 53,036 0 CITY NATL CORP. COM 178566105 $4,855 94,250 SH DEFINED 3,4 0 94,250 0 CITY NATL CORP. COM 178566105 $662 12,849 SH DEFINED 1 0 12,849 0 COMERICA, INC. COM 200340107 $537 17,300 SH DEFINED 0 17,300 0 COMERICA, INC. COM 200340107 $4,681 150,772 SH DEFINED 1,2 0 150,772 0 COMERICA, INC. COM 200340107 $6,834 220,081 SH DEFINED 3,4 0 220,081 0 COMERICA, INC. COM 200340107 $1,031 33,189 SH DEFINED 1 0 33,189 0 COUSINS PPTYS INC. COM 222795106 $116 14,659 SH DEFINED 1,2 0 14,659 0 CSX CORP. COM 126408103 $2,185 105,300 SH DEFINED 1,2 0 105,300 0 CUMMINS INC. COM 231021106 $645 7,000 SH DEFINED 0 7,000 0 CUMMINS INC. COM 231021106 $10,963 118,890 SH DEFINED 1,2 0 118,890 0 DANA HOLDING CORP COM 235825205 $1,793 145,800 SH DEFINED 0 145,800 0 DANA HOLDING CORP COM 235825205 $3,294 267,800 SH DEFINED 1,2 0 267,800 0 DOVER CORP COM 260003108 $1,356 22,800 SH DEFINED 0 22,800 0 DOVER CORP COM 260003108 $10,789 181,350 SH DEFINED 1,2 0 181,350 0 DUKE REALTY CORP. COM NEW 264411505 $472 32,095 SH DEFINED 1,2 0 32,095 0 EATON CORP COM 278058102 $1,139 24,100 SH DEFINED 0 24,100 0 EATON CORP COM 278058102 $18,116 383,250 SH DEFINED 1,2 0 383,250 0 EMCOR GROUP INC. COM 29084Q100 $1,709 59,887 SH DEFINED 0 59,887 0 EMCOR GROUP INC. COM 29084Q100 $10,829 379,442 SH DEFINED 1,2 0 379,442 0 ENSCO PLC SH CL A G3157S106 $1,088 19,950 SH DEFINED 0 19,950 0 ENSCO PLC SH CL A G3157S106 $4,174 76,500 SH DEFINED 1,2 0 76,500 0 EQUIFAX INC COM 294429105 $9,180 197,085 SH DEFINED 1,2 0 197,085 0 EXPRESS SCRIPTS HLDG CO. COM 30219G108 $2,086 33,300 SH DEFINED 1,2 0 33,300 0 FARMERS CAPITAL BK CORP COM 309562106 $211 20,053 SH DEFINED 3,4 0 20,053 0 FARMERS CAPITAL BK CORP COM 309562106 $476 45,335 SH DEFINED 1 0 45,335 0 FELCOR LODGING TR INC COM 31430F101 $328 69,095 SH DEFINED 1,2 0 69,095 0 FIDELITY NATL FINL INC. COM 31620R105 $7,148 334,183 SH DEFINED 1,2 0 334,183 0 FIDELITY NATL INFO SV COM 31620M106 $1,805 57,827 SH DEFINED 0 57,827 0 FIDELITY NATL INFO SV COM 31620M106 $12,853 411,683 SH DEFINED 1,2 0 411,683 0 FIDELITY NATL INFO SV COM 31620M106 $3,947 126,430 SH DEFINED 3,4 0 126,430 0 FIDELITY NATL INFO SV COM 31620M106 $858 27,476 SH DEFINED 1 0 27,476 0 FIFTH THIRD BANCORP COM 316773100 $1,451 93,607 SH DEFINED 1,2 0 93,607 0 FIFTH THIRD BANCORP COM 316773100 $485 31,292 SH DEFINED 1 0 31,292 0 FIRST AMERN FINL CORP COM 31847R102 $1,475 68,053 SH DEFINED 0 68,053 0 FIRST AMERN FINL CORP COM 31847R102 $4,594 212,000 SH DEFINED 1,2 0 212,000 0 FIRST AMERN FINL CORP COM 31847R102 $3,876 178,876 SH DEFINED 3,4 0 178,876 0 FIRST AMERN FINL CORP COM 31847R102 $1,137 52,472 SH DEFINED 1 0 52,472 0 FIRST BANCORP PR COM 318672706 $2,015 455,795 SH DEFINED 3,4 0 455,795 0 FIRST BANCORP PR COM 318672706 $326 73,773 SH DEFINED 1 0 73,773 0 FIRST CALIFORNIA FINL G COM 319395109 $1,807 259,574 SH DEFINED 0 259,574 0 FIRST CALIFORNIA FINL G COM 319395109 $3,486 500,826 SH DEFINED 1,2 0 500,826 0 FIRST CALIFORNIA FINL G COM 319395109 $3,683 529,228 SH DEFINED 3,4 0 529,228 0 FIRST CALIFORNIA FINL G COM 319395109 $1,654 237,581 SH DEFINED 1 0 237,581 0 FIRST FINL HLDGS COM 320239106 $2,470 190,147 SH DEFINED 3,4 0 190,147 0 FIRST FINL HLDGS COM 320239106 $369 28,400 SH DEFINED 1 0 28,400 0 FIRST HORIZON NATL CORP COM 320517105 $466 48,400 SH DEFINED 1,2 0 48,400 0 FIRST HORIZON NATL CORP COM 320517105 $2,184 226,800 SH DEFINED 3,4 0 226,800 0 FIRST HORIZON NATL CORP COM 320517105 $548 56,900 SH DEFINED 1 0 56,900 0 FIRST INDUSTRIAL REALTY TR COM 32054K103 $276 21,003 SH DEFINED 1,2 0 21,003 0 FIRST NIAGARA FINL GP INC COM 33582V108 $3 387 SH DEFINED 0 387 0 FIRST NIAGARA FINL GP INC COM 33582V108 $410 50,800 SH DEFINED 1,2 0 50,800 0 FIRST NIAGARA FINL GP INC COM 33582V108 $354 43,905 SH DEFINED 1 0 43,905 0 FLUOR CORP COM 343412102 $1,836 32,620 SH DEFINED 1,2 0 32,620 0 FORTUNE BRANDS HOME COM 34964C106 $2,755 102,000 SH DEFINED 1,2 0 102,000 0 FULTON FINL CORP PA COM 360271100 $453 46,000 SH DEFINED 0 46,000 0 FULTON FINL CORP PA COM 360271100 $831 84,400 SH DEFINED 1,2 0 84,400 0 FULTON FINL CORP PA COM 360271100 $4,678 474,940 SH DEFINED 3,4 0 474,940 0 FULTON FINL CORP PA COM 360271100 $630 63,933 SH DEFINED 1 0 63,933 0 GARDNER DENVER INC COM 365558105 $1,510 25,000 SH DEFINED 0 25,000 0 GARDNER DENVER INC COM 365558105 $11,850 196,166 SH DEFINED 1,2 0 196,166 0 GENERAL CABLE CORP DEL NEW COM 369300108 $2,108 71,750 SH DEFINED 0 71,750 0 GENERAL CABLE CORP DEL NEW COM 369300108 $14,016 477,050 SH DEFINED 1,2 0 477,050 0 GOLDMAN SACHS GROUP INC COM 38141G104 $1,330 11,700 SH DEFINED 0 11,700 0 GOLDMAN SACHS GROUP INC COM 38141G104 $2,444 21,500 SH DEFINED 1,2 0 21,500 0 GOLDMAN SACHS GROUP INC COM 38141G104 $2,857 25,132 SH DEFINED 3,4 0 25,132 0 GOLDMAN SACHS GROUP INC COM 38141G104 $467 4,111 SH DEFINED 1 0 4,111 0 GREENHILL & CO., INC. COM 395259104 $993 19,190 SH DEFINED 0 19,190 0 GREENHILL & CO., INC. COM 395259104 $3,877 74,920 SH DEFINED 1,2 0 74,920 0 GREENHILL & CO., INC. COM 395259104 $3,883 75,031 SH DEFINED 3,4 0 75,031 0 GREENHILL & CO., INC. COM 395259104 $738 14,263 SH DEFINED 1 0 14,263 0 HALLIBURTON COMPANY COM 406216101 $1,809 53,700 SH DEFINED 0 53,700 0 HALLIBURTON COMPANY COM 406216101 $3,743 111,100 SH DEFINED 1,2 0 111,100 0 HARLEY-DAVIDSON INC COM 412822108 $580 13,700 SH DEFINED 0 13,700 0 HARLEY-DAVIDSON INC COM 412822108 $19,323 456,050 SH DEFINED 1,2 0 456,050 0 HONEYWELL INTL INC. COM 438516106 $9,748 163,150 SH DEFINED 1,2 0 163,150 0 HUDSON VALLEY HOLDING COM 444172100 $402 23,578 SH DEFINED 0 23,578 0 HUDSON VALLEY HOLDING COM 444172100 $745 43,682 SH DEFINED 1,2 0 43,682 0 HUDSON VALLEY HOLDING COM 444172100 $4,453 261,161 SH DEFINED 3,4 0 261,161 0 HUDSON VALLEY HOLDING COM 444172100 $631 37,020 SH DEFINED 1 0 37,020 0 HUNTINGTON BANCSHARES COM 446150104 $3,452 500,635 SH DEFINED 3,4 0 500,635 0 HUNTINGTON BANCSHARES COM 446150104 $487 70,576 SH DEFINED 1 0 70,576 0 IDEX CORP COM 45167R104 $1,926 46,100 SH DEFINED 1,2 0 46,100 0 INGERSOLL-RAND PLC SHS G47791101 $27,042 603,338 SH DEFINED 1,2 0 603,338 0 ISHARES TR RUSSELL 2000 464287655 $3,179 38,100 SH DEFINED 1,2 0 38,100 0 ISTAR FINL INC. COM 45031U101 $255 30,850 SH DEFINED 1,2 0 30,850 0 JACOBS ENGR GROUP INC. COM 469814107 $557 13,780 SH DEFINED 1,2 0 13,780 0 JOHNSON CTLS INC. COM 478366107 $2,030 74,100 SH DEFINED 0 74,100 0 JOHNSON CTLS INC. COM 478366107 $1,373 50,100 SH DEFINED 1,2 0 50,100 0 JP MORGAN CHASE & CO. COM 46625H100 $870 21,504 SH DEFINED 0 21,504 0 JP MORGAN CHASE & CO. COM 46625H100 $29,851 737,421 SH DEFINED 1,2 0 737,421 0 JP MORGAN CHASE & CO. COM 46625H100 $442 10,920 SH DEFINED 1 0 10,920 0 KEYCORP COM 493267108 $4,482 512,823 SH DEFINED 3,4 0 512,823 0 KEYCORP COM 493267108 $729 83,458 SH DEFINED 1 0 83,458 0 KORN FERRY INTL COM 500643200 $685 44,700 SH DEFINED 0 44,700 0 KORN/FERRY INTL COM 500643200 $1,258 82,081 SH DEFINED 1,2 0 82,081 0 LAKELAND BANCORP, INC. COM 511637100 $1,744 168,462 SH DEFINED 0 168,462 0 LENDER PROCESSING SVCS COM 52602E102 $2,048 73,441 SH DEFINED 1,2 0 73,441 0 LENNOX INTL INC. COM 526107107 $2,500 51,700 SH DEFINED 1,2 0 51,700 0 MANPOWER GROUP INC COM 56418H100 $8,556 232,494 SH DEFINED 1,2 0 232,494 0 MASCO CORP. COM 574599106 $430 28,600 SH DEFINED 0 28,600 0 MASCO CORP. COM 574599106 $2,646 175,800 SH DEFINED 1,2 0 175,800 0 MEN'S WAREHOUSE COM 587118100 $993 28,850 SH DEFINED 1,2 0 28,850 0 MILLER HERMAN INC. COM 600544100 $1,832 94,213 SH DEFINED 0 94,213 0 MILLER HERMAN INC. COM 600544100 $9,847 506,536 SH DEFINED 1,2 0 506,536 0 MOHAWK INDS. INC. COM 608190104 $15,500 193,700 SH DEFINED 1,2 0 193,700 0 MORGAN STANLEY COM NEW 617446448 $1,693 101,110 SH DEFINED 0 101,110 0 MORGAN STANLEY COM NEW 617446448 $3,524 210,500 SH DEFINED 1,2 0 210,500 0 MORGAN STANLEY COM NEW 617446448 $3,957 236,400 SH DEFINED 3,4 0 236,400 0 MORGAN STANLEY COM NEW 617446448 $630 37,606 SH DEFINED 1 0 37,606 0 MYLAN INC. COM 628530107 $1,543 63,300 SH DEFINED 0 63,300 0 MYLAN INC. COM 628530107 $2,869 117,700 SH DEFINED 1,2 0 117,700 0 NCI BUILDING SYSTEMS INC COM NEW 628852204 $1,455 145,043 SH DEFINED 1,2 0 145,043 0 NEW YORK CMNTY BANCORP COM 649445103 $1,037 73,265 SH DEFINED 1,2 0 73,265 0 ORRSTOWN FINL SVCS INC. COM 687380105 $1,398 127,077 SH DEFINED 3,4 0 127,077 0 ORRSTOWN FINL SVCS INC. COM 687380105 $264 24,014 SH DEFINED 1 0 24,014 0 OSHKOSH CORP. COM 688239201 $650 23,700 SH DEFINED 0 23,700 0 OSHKOSH CORP. COM 688239201 $1,632 59,500 SH DEFINED 1,2 0 59,500 0 OWENS CORNING NEW COM 690742101 $1,928 57,620 SH DEFINED 0 57,620 0 OWENS CORNING NEW COM 690742101 $11,264 336,633 SH DEFINED 1,2 0 336,633 0 PACCAR INC. COM 693718108 $1,601 40,000 SH DEFINED 1,2 0 40,000 0 PACIFIC PREMIER BANCORP COM 69478X105 $651 68,256 SH DEFINED 1 0 68,256 0 PALMETTO BANCSHARES COM NEW 697062206 $2,106 255,292 SH DEFINED 0 255,292 0 PALMETTO BANCSHARES COM NEW 697062206 $2,086 252,846 SH DEFINED 1,2 0 252,846 0 PALMETTO BANCSHARES COM NEW 697062206 $748 90,677 SH DEFINED 1 0 90,677 0 PEOPLES BANCORP OF NC COM 710577107 $44 4,366 SH DEFINED 1 0 4,366 0 POPULAR, INC. COM NEW 733174700 $476 27,304 SH DEFINED 0 27,304 0 POPULAR, INC. COM NEW 733174700 $885 50,730 SH DEFINED 1,2 0 50,730 0 POPULAR, INC. COM NEW 733174700 $3,286 188,356 SH DEFINED 3,4 0 188,356 0 POPULAR, INC. COM NEW 733174700 $447 25,616 SH DEFINED 1 0 25,616 0 PREFERRED BK LOS ANGELES COM NEW 740367404 $987 69,622 SH DEFINED 3,4 0 69,622 0 PREFERRED BK LOS ANGELES COM NEW 740367404 $114 8,027 SH DEFINED 1 0 8,027 0 PREMIERWEST BANCORP COM NEW 740921200 $7 4,997 SH DEFINED 1,2 0 4,997 0 SPDR S&P 500 TR UNIT 78462F103 $57 398 PUT DEFINED 0 398 0 SPDR S&P 500 TR UNIT 78462F103 $105 731 PUT DEFINED 1,2 0 731 0 SPDR S&P 500 TR UNIT 78462F103 $443 3,075 PUT DEFINED 3,4 0 3,075 0 SPDR S&P 500 TR UNIT 78462F103 $35 244 PUT DEFINED 1 0 244 0 SPDR S&P 500 TR UNIT 78462F103 $40 279 PUT DEFINED 0 279 0 SPDR S&P 500 TR UNIT 78462F103 $74 515 PUT DEFINED 1,2 0 515 0 REGIONS FINL CORP. NEW COM 7591EP100 $7,922 1,101,100 SH DEFINED 1,2 0 1,101,100 0 REGIONS FINL CORP. NEW COM 7591EP100 $3,859 536,356 SH DEFINED 3,4 0 536,356 0 REGIONS FINL CORP. NEW COM 7591EP100 $1,342 186,463 SH DEFINED 1 0 186,463 0 RYDER SYSTEM INC COM 783549108 $2,019 51,700 SH DEFINED 0 51,700 0 RYDER SYSTEM INC COM 783549108 $3,707 94,900 SH DEFINED 1,2 0 94,900 0 SEACOAST BKG CORP FLA COM 811707306 $730 459,334 SH DEFINED 0 459,334 0 SEACOAST BKG CORP FLA COM 811707306 $1,364 857,787 SH DEFINED 1,2 0 857,787 0 SEACOAST BKG CORP FLA COM 811707306 $2,671 1,679,766 SH DEFINED 3,4 0 1,679,766 0 SEACOAST BKG CORP FLA COM 811707306 $1,031 648,669 SH DEFINED 1 0 648,669 0 SIEMENS AG SPONS ADR 826197501 $641 6,400 SH DEFINED 1,2 0 6,400 0 SIERRA BANCORP COM 82620P102 $1,543 125,848 SH DEFINED 3,4 0 125,848 0 SIERRA BANCORP COM 82620P102 $174 14,196 SH DEFINED 1 0 14,196 0 SOUTHWEST BANCORP INC OKLA COM 844767103 $1,327 122,301 SH DEFINED 1,2 0 122,301 0 SOUTHWEST BANCORP INC OKLA COM 844767103 $2,852 262,879 SH DEFINED 3,4 0 262,879 0 SOUTHWEST BANCORP INC OKLA COM 844767103 $1,150 105,959 SH DEFINED 1 0 105,959 0 SPX CORP COM 784635104 $2,142 32,750 SH DEFINED 0 32,750 0 SPX CORP COM 784635104 $8,477 129,600 SH DEFINED 1,2 0 129,600 0 STARWOOD HOTELS & RESORTS COM 85590A401 $1,577 27,200 SH DEFINED 1,2 0 27,200 0 STATE STR CORP. 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