-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GcDAKuNkCkXqhqCy+Na//PbX8JHYeYEVDzgIr+nxF19eiiWAnXdmVQxBkMvIPO7w ink6DH9ASOVTTzdPSN6VEg== 0000919574-00-000369.txt : 20000229 0000919574-00-000369.hdr.sgml : 20000229 ACCESSION NUMBER: 0000919574-00-000369 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000228 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL CORP OF THE WEST CENTRAL INDEX KEY: 0001004740 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 770405791 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-51531 FILM NUMBER: 554826 BUSINESS ADDRESS: STREET 1: 550 W MAIN STREET CITY: MERCED STATE: CA ZIP: 95340 BUSINESS PHONE: 2097252200 MAIL ADDRESS: STREET 1: 550 W MAIN STREET STREET 2: 550 W MAIN STREET CITY: MERCED STATE: CA ZIP: 95340 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BASSWOOD PARTNERS L P ET AL CENTRAL INDEX KEY: 0000942793 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment No.: 2 Name of Issuer: Capital Corp of the West Title of Class of Securities: Common Stock, no par value CUSIP Number: 140065103 (Date of Event Which Requires Filing of this Statement) December 31, 1999 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-1(b) /X/ Rule 13d-1(c) / / Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. OBThe information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP Number: 140065103 1. Name of Reporting Person I.R.S. Identification No. of Above Person Basswood Partners, LLC 2. Check the Appropriate Box if a Member of a Group a. b. X 3. SEC Use Only 4. Citizenship or Place of Organization Delaware Number of Shares Beneficially Owned by Each Reporting Person With: 5. Sole Voting Power: 6. Shared Voting Power: 151,335 7. Sole Dispositive Power: 8. Shared Dispositive Power: 151,335 9. Aggregate Amount Beneficially Owned by Each Reporting Person 151,335 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares -2- 11. Percent of Class Represented by Amount in Row (9) 3.3% 12. Type of Reporting Person CO -3- CUSIP Number: 140065103 1. Name of Reporting Person I.R.S. Identification No. of Above Person Basswood Capital Management, LLC 2. Check the Appropriate Box if a Member of a Group a. b. X 3. SEC Use Only 4. Citizenship or Place of Organization United States Number of Shares Beneficially Owned by Each Reporting Person With: 5. Sole Voting Power: 6. Shared Voting Power: 41,764 7. Sole Dispositive Power: 8. Shared Dispositive Power: 41,764 9. Aggregate Amount Beneficially Owned by Each Reporting Person 41,764 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares -4- 11. Percent of Class Represented by Amount in Row (9) 0.9% 12. Type of Reporting Person CO -5- CUSIP Number: 140065103 1. Name of Reporting Person I.R.S. Identification No. of Above Person Matthew Lindenbaum 2. Check the Appropriate Box if a Member of a Group a. b. X 3. SEC Use Only 4. Citizenship or Place of Organization United States Number of Shares Beneficially Owned by Each Reporting Person With: 5. Sole Voting Power: 6. Shared Voting Power: 193,099 7. Sole Dispositive Power: 8. Shared Dispositive Power: 193,099 9. Aggregate Amount Beneficially Owned by Each Reporting Person 193,099 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares -6- 11. Percent of Class Represented by Amount in Row (9) 4.3% 12. Type of Reporting Person IN -7- CUSIP Number: 140065103 1. Name of Reporting Person I.R.S. Identification No. of Above Person Bennett Lindenbaum 2. Check the Appropriate Box if a Member of a Group a. b. X 3. SEC Use Only 4. Citizenship or Place of Organization United States Number of Shares Beneficially Owned by Each Reporting Person With: 5. Sole Voting Power: 6. Shared Voting Power: 193,099 7. Sole Dispositive Power: 8. Shared Dispositive Power: 193,099 9. Aggregate Amount Beneficially Owned by Each Reporting Person 193,099 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares -8- 11. Percent of Class Represented by Amount in Row (9) 4.3% 12. Type of Reporting Person IN -9- Item 1(a) Name of Issuer: Capital Corp of the West (b) Address of Issuer's Principal Executive Offices: 1160 West Olive Avenue Suite A Merced, California 95348 Item 2(a) - (c). Name, Principal Business Address, and Citizenship of Persons Filing: Matthew Lindenbaum Bennett Lindenbaum Basswood Partners, LLC Basswood Capital Management, LLC 645 Madison Avenue 10th Floor New York, New York 10022 Matthew Lindenbaum and Bennett Lindenbaum - United States citizens Basswood Partners, LLC and Basswood Capital Management, LLC - Delaware limited liability corporations (d) Title of Class of Securities: Common Stock, no par value (e) CUSIP Number: 140065103 Item 3. If this statement is filed pursuant to Rule 13d-1(b)(1) or 13d-2(b) or (c) check whether the person filing is: (a) / / Broker or dealer registered under Section 15 of the Act, (b) / / Bank as defined in Section 3(a)(6) of the Act, (c) / / Insurance Company as defined in Section 3(a)(19) of the Act, (d) / / Investment Company registered under Section 8 of the Investment Company Act, (e) / / Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, -10- (f) / / Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund, (g) / / Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G), (h) / / Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act, (i) / / Church plan excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act, (j) / / Group, in accordance with Rule 13d- 1(b)(1)(ii)(H). If this statement is filed pursuant to Rule 13d-1(c), check this box. /X/ Item 4. Ownership. (a) Amount Beneficially Owned: 193,099 shares owned by Matthew Lindenbaum, Bennett Lindenbaum, Basswood Partners, LLC and Basswood Capital Management, LLC (b) Percent of Class: 4.3% owned by Matthew Lindenbaum, Bennett Lindenbaum, Basswood Partners, LLC and Basswood Capital Management, LLC (c) Matthew Lindenbaum, Bennett Lindenbaum, Basswood Partners, LLC and Basswood Capital Management, LLC: 193,099 shares with shared power to vote or to direct the vote; 0 shares with sole power to vote or to direct the vote; 193,099 shares with shared power to dispose or to direct the disposition of; 0 shares with sole power to dispose or direct the disposition of -11- Item 5. Ownership of Five Percent or Less of a Class. This statement is being filed to report that as of the date hereof the reporting parties have ceased to be the beneficial owner of more than 5% of this class of securities. Item 6. Ownership of More than Five Percent on Behalf of Another Person. N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported by the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of the Group. N/A Item 10. Certification for Rule 13d-1(c): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. BASSWOOD PARTNERS, LLC By: /s/ Matthew Lindenbaum ___________________________________ -12- Matthew Lindenbaum, Managing Member BASSWOOD CAPITAL MANAGEMENT, LLC By: /s/ Matthew Lindenbaum ___________________________________ Matthew Lindenbaum, Managing Member /s/ Matthew Lindenbaum _______________________________________ Matthew Lindenbaum /s/ Bennett Lindenbaum _________________________________ Bennett Lindenbaum February 28, 2000 -13- 00705003.AK4 Exhibit A AGREEMENT The undersigned agree that this Schedule 13G dated February 28, 2000 relating to the Common Stock of Capital Corp of the West shall be filed on behalf of the undersigned. BASSWOOD PARTNERS, LLC By: /s/ Matthew Lindenbaum _____________________________ Matthew Lindenbaum, Managing Member BASSWOOD CAPITAL MANAGEMENT, LLC By: /s/ Matthew Lindenbaum __________________________________ Matthew Lindenbaum, Managing Member /s/ Matthew Lindenbaum __________________________________ Matthew Lindenbaum /s/ Bennett Lindenbaum __________________________________ Bennett Lindenbaum 00705003.AK4 -----END PRIVACY-ENHANCED MESSAGE-----