0001405086-17-000040.txt : 20170213
0001405086-17-000040.hdr.sgml : 20170213
20170213162130
ACCESSION NUMBER: 0001405086-17-000040
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170213
DATE AS OF CHANGE: 20170213
EFFECTIVENESS DATE: 20170213
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BASSWOOD CAPITAL MANAGEMENT, L.L.C.
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: 17599457
BUSINESS ADDRESS:
STREET 1: 645 MADISON AVENUE
STREET 2: 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-521-9500
MAIL ADDRESS:
STREET 1: 645 MADISON AVENUE
STREET 2: 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: Basswood Capital Management LLC
DATE OF NAME CHANGE: 20130814
FORMER COMPANY:
FORMER CONFORMED NAME: BASSWOOD CAPITAL MANAGEMENT LLC
DATE OF NAME CHANGE: 19990428
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001085393
XXXXXXXX
12-31-2016
12-31-2016
BASSWOOD CAPITAL MANAGEMENT, L.L.C.
645 MADISON AVENUE
10TH FLOOR
NEW YORK
NY
10022
13F HOLDINGS REPORT
028-10569
Y
Messrs. Bennett Lindenbaum and Matthew Lindenbaum, as Principals of Basswood Capital Management, L.L.C., have investment discretion over the investment portfolios reported herein.
MATTHEW LINDENBAUM
MANAGING MEMBER
212-521-9500
/S/MATTHEW LINDENBAUM
NEW YORK
NY
02-13-2017
0
162
2273685
false
INFORMATION TABLE
2
basswood-hrqe-12-31-2016.xml
1ST CONSTITUTION BANCORP
COM
31986N102
1181
63152
SH
SOLE
63152
0
0
AARON'S INC
COM
002535300
2793
87319
SH
SOLE
87319
0
0
AERCAP HOLDINGS NV
SHS
N00985106
30878
742079
SH
SOLE
742079
0
0
AIR LEASE CORP
CL A
00912X302
33697
981549
SH
SOLE
981549
0
0
ALLY FINANCIAL INC
COM
02005N100
25414
1336148
SH
SOLE
1336148
0
0
AMERICAN RIVER BANKSHARES
COM
029326105
1503
99500
SH
SOLE
99500
0
0
APPLE INC.
COM
037833100
1856
16025
SH
SOLE
16025
0
0
ASTORIA FINANCIAL CORP.
COM
046265104
110855
5943959
SH
SOLE
5943959
0
0
BANCORP OF NEW JERSEY INC.
COM
059915108
2032
150538
SH
SOLE
150538
0
0
BANK OF AMERICA CORP.
COM
060505104
47443
2146722
SH
SOLE
2146722
0
0
BANK OF MARIN BANCORP
COM
063425102
21460
307677
SH
SOLE
307677
0
0
BANK OF NEW YORK MELLON CORP.
COM
064058100
7577
159912
SH
SOLE
159912
0
0
BANK OF THE ST JAMES FINL GP
COM
470299108
3317
218666
SH
SOLE
218666
0
0
BANNER CORPORATION
COM
06652V208
22172
397272
SH
SOLE
397272
0
0
BATS GLOBAL MARKETS INC
COM
05491G109
5027
150000
SH
SOLE
150000
0
0
BAY BANCORP INC
COM
07203T106
1492
226070
SH
SOLE
226070
0
0
BEACON ROOFING SUPPLY INC.
COM
073685109
16309
354004
SH
SOLE
354004
0
0
BELDEN INC.
COM
077454106
49811
666187
SH
SOLE
666187
0
0
BLACKROCK INC.
COM
09247X101
2489
6541
SH
SOLE
6541
0
0
BOFI HOLDING, INC.
COM
05566U108
19245
674091
SH
SOLE
674091
0
0
BRIDGE BANCORP, INC.
COM
108035106
91315
2409369
SH
SOLE
2409369
0
0
BRYN MAWR BANK CORP
COM
117665109
25197
597804
SH
SOLE
597804
0
0
CALATLANTIC GROUP INC.
COM
128195104
4503
132407
SH
SOLE
132407
0
0
CAMDEN NATIONAL CORP.
COM
133034108
14458
325260
SH
SOLE
325260
0
0
CAPITAL CITY BANK GROUP, INC.
COM
139674105
712
34764
SH
SOLE
34764
0
0
CAPITAL ONE FINANCIAL CORP.
COM
14040H105
26487
303613
SH
SOLE
303613
0
0
CARDINAL FINANCIAL CORPORATION
COM
14149F109
8689
265000
SH
SOLE
265000
0
0
CARLISLE COS INC.
COM
142339100
37263
337866
SH
SOLE
337866
0
0
CAROLINA BK HLDGS INC GREENS
COM
143785103
3805
147291
SH
SOLE
147291
0
0
CASCADE BANCORP
COM NEW
147154207
2555
314674
SH
SOLE
314674
0
0
CENTRAL VALLEY CMNTY BANCORP
COM
155685100
4595
230217
SH
SOLE
230217
0
0
CENTURY CMNTYS INC
COM
156504300
7520
358085
SH
SOLE
358085
0
0
CITIGROUP INC.
COM NEW
172967424
11474
193061
SH
SOLE
193061
0
0
CITIZENS FINANCIAL GROUP INC.
COM
174610105
66633
1870137
SH
SOLE
1870137
0
0
COMERICA, INC.
COM
200340107
26082
382936
SH
SOLE
382936
0
0
COMMUNITY FINL CORP MD
COM
20368X101
13272
457658
SH
SOLE
457658
0
0
COUSINS PPTYS INC
COM
222795106
125
14659
SH
SOLE
14659
0
0
CSX CORP.
COM
126408103
84
2328
SH
SOLE
2328
0
0
CU BANCORP CALIF
COM
126534106
32485
907410
SH
SOLE
907410
0
0
DANA INCORPORATED
COM
235825205
4548
239638
SH
SOLE
239638
0
0
DELPHI AUTOMOTIVE PLC
SHS
G27823106
3419
50764
SH
SOLE
50764
0
0
DELTA AIR LINES INC
COM NEW
247361702
3703
75274
SH
SOLE
75274
0
0
DIAMOND OFFSHORE DRILLING, INC.
COM
25271C102
149
8417
SH
SOLE
8417
0
0
DNB FINANCIAL CORP
COM
233237106
125
4390
SH
SOLE
4390
0
0
EAGLE BANCORP, INC.
COM
268948106
2805
46014
SH
SOLE
46014
0
0
EAST WEST BANCORP INC
COM
27579R104
14663
288480
SH
SOLE
288480
0
0
EMCOR GROUP INC.
COM
29084Q100
11414
161305
SH
SOLE
161305
0
0
ENSCO PLC
SHS CL A
G3157S106
78
7986
SH
SOLE
7986
0
0
EQUITY ONE INC
COM
294752100
8661
282213
SH
SOLE
282213
0
0
ESSENT GROUP LTD.
COM
G3198U102
4221
130392
SH
SOLE
130392
0
0
FARMERS CAP BK CORP
COM
309562106
10910
259460
SH
SOLE
259460
0
0
FAUQUIER BANKSHARES, INC.
COM
312059108
356
21623
SH
SOLE
21623
0
0
FCB FINANCIAL HOLDINGS INC.
CL A
30255G103
2566
53788
SH
SOLE
53788
0
0
FIDELITY NATIONAL FINANCIAL INC.
FNF GROUP COM
31620R303
11349
334183
SH
SOLE
334183
0
0
FIDELITY NATIONAL INFORMATION SVCS.
COM
31620M106
11110
146883
SH
SOLE
146883
0
0
FIFTH THIRD BANCORP
COM
316773100
21876
811126
SH
SOLE
811126
0
0
FIRST AMERN FINL CORP
COM
31847R102
31791
867900
SH
SOLE
867900
0
0
FIRST BANCORP
COM
318910106
2137
78755
SH
SOLE
78755
0
0
FIRST BANCSHARES INC MS
COM
318916103
6166
225352
SH
SOLE
225352
0
0
FIRST BUSEY CORPORATION
COM NEW
319383204
3607
117193
SH
SOLE
117193
0
0
FIRST CITIZENS BANCSHARES INC. (FCNCA)
CL A
31946M103
5335
15028
SH
SOLE
15028
0
0
FIRST FNDTN INC
COM
32026V104
20528
720282
SH
SOLE
720282
0
0
FIRST INDUSTRIAL REALTY TRUST
COM
32054K103
589
21003
SH
SOLE
21003
0
0
FIRST INTERNET BANCORP
COM
320557101
7351
229705
SH
SOLE
229705
0
0
FIRST SOUTH BANCORP INC
COM
33646W100
4006
335260
SH
SOLE
335260
0
0
FNB CORPORATION
COM
302520101
4798
299316
SH
SOLE
299316
0
0
FNFV GROUP
FNFV GROUP
31620R402
1526
111383
SH
SOLE
111383
0
0
GUARANTY BANCORP
COM NEW
40075T607
24464
1010903
SH
SOLE
1010903
0
0
HARLEY-DAVIDSON INC
COM
412822108
26499
454214
SH
SOLE
454214
0
0
HERITAGE OAKS BANCORP
COM
42724R107
6211
503770
SH
SOLE
503770
0
0
HONEYWELL INTERNATIONAL INC.
COM
438516106
18901
163150
SH
SOLE
163150
0
0
HUNTINGTON BANCSHARES
COM
446150104
14114
1067623
SH
SOLE
1067623
0
0
INDEPENDENT BANK CORPORATION
COM NEW
453838609
22523
1037940
SH
SOLE
1037940
0
0
INSTALLED BUILDING PRODUCTS, INC.
COM
45780R101
6776
164076
SH
SOLE
164076
0
0
ISHARES TR
RUS 1000 ETF
464287622
3878
31159
SH
SOLE
31159
0
0
ISLE OF CAPRI CASINOS
COM
464592104
1706
69115
SH
SOLE
69115
0
0
J. ALEXANDER'S HOLDINGS, INC.
COM
46609J106
207
19238
SH
SOLE
19238
0
0
JP MORGAN CHASE & CO.
COM
46625H100
63337
733997
SH
SOLE
733997
0
0
KEYCORP
COM
493267108
18572
1016527
SH
SOLE
1016527
0
0
KINDER MORGAN INC.
COM
49456B101
2613
126163
SH
SOLE
126163
0
0
KORN FERRY INTL
COM NEW
500643200
2414
82020
SH
SOLE
82020
0
0
LAKELAND BANCORP, INC.
COM
511637100
3622
185729
SH
SOLE
185729
0
0
LEAR CORP.
COM
521865204
13628
102953
SH
SOLE
102953
0
0
LENNAR CORP.
CL A
526057104
4520
105278
SH
SOLE
105278
0
0
M&T BANK CORPORATION
COM
55261F104
911
5823
SH
SOLE
5823
0
0
MARLIN BUSINESS SERVICES INC
COM
571157106
1427
68283
SH
SOLE
68283
0
0
MASCO CORP.
COM
574599106
5520
174565
SH
SOLE
174565
0
0
MB FINANCIAL, INC.
COM
55264U108
7180
152017
SH
SOLE
152017
0
0
MBT FINANCIAL CORP.
COM
578877102
2679
236063
SH
SOLE
236063
0
0
METALDYNE PERFORMANCE GROUP
COM
59116R107
1320
57500
SH
SOLE
57500
0
0
MORGAN STANLEY
COM NEW
617446448
83
1960
SH
SOLE
1960
0
0
NORWEGIAN CRUISE LINE HOLDINGS LTD.
SHS
G66721104
7724
181624
SH
SOLE
181624
0
0
OLD LINE BANCSHARES, INC.
COM
67984M100
7892
329118
SH
SOLE
329118
0
0
OLD NATIONAL BANCORP
COM
680033107
10022
552157
SH
SOLE
552157
0
0
OLD POINT FINANCIAL CORPORATION
COM
680194107
248
9903
SH
SOLE
9903
0
0
OLD SECOND BANCORP, INC.
COM
680277100
253
22864
SH
SOLE
22864
0
0
ONEMAIN HOLDINGS INC.
COM
68268W103
22075
997082
SH
SOLE
997082
0
0
ORRSTOWN FINANCIAL SERVICES, INC.
COM
687380105
12580
561607
SH
SOLE
561607
0
0
OWENS CORNING INC.
COM
690742101
19441
377054
SH
SOLE
377054
0
0
PACIFIC CONTINENTAL CORP
COM
69412V108
11618
531727
SH
SOLE
531727
0
0
PACIFIC PREMIER BANCORP, INC.
COM
69478X105
8874
251040
SH
SOLE
251040
0
0
PACWEST BANCORP
COM
695263103
25830
474460
SH
SOLE
474460
0
0
PEAPACK-GLADSTONE FINL CORP
COM
704699107
34524
1117997
SH
SOLE
1117997
0
0
PENNYMAC FINANCIAL SERVICE
CL A
70932B101
18388
1104412
SH
SOLE
1104412
0
0
PNC FINANCIAL SERVICES GROUP, INC.
COM
693475105
31736
271337
SH
SOLE
271337
0
0
POPULAR, INC.
COM NEW
733174700
2337
53325
SH
SOLE
53325
0
0
PREFERRED BANK/LOS ANGELES
COM NEW
740367404
18851
359609
SH
SOLE
359609
0
0
PREMIER FINANCIAL BANCORP INC.
COM
74050M105
3832
190625
SH
SOLE
190625
0
0
PRIVATEBANCORP INC
COM
742962103
5930
109421
SH
SOLE
109421
0
0
PROVIDENT BANCORP INC
COM
74383X109
3809
212808
SH
SOLE
212808
0
0
PULTE HOMES INC.
COM
745867101
4372
237851
SH
SOLE
237851
0
0
REGIONAL MANAGEMENT CORP.
OPTIONS
75902K106
28581
1087564
SH
SOLE
1087564
0
0
REGIONS FINANCIAL CORP.
OPTIONS
7591EP100
211083
14699378
SH
SOLE
14699378
0
0
REPUBLIC FIRST BANCORP, INC.
COM
760416107
20813
2492599
SH
SOLE
2492599
0
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
2198
32456
SH
SOLE
32456
0
0
SEACOAST BANKING CORP
COM NEW
811707801
51952
2355043
SH
SOLE
2355043
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
450
19347
SH
Put
SOLE
19347
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
820
35279
SH
Put
SOLE
35279
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
1093
47000
SH
Put
SOLE
47000
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
574
24700
SH
Put
SOLE
24700
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
445
19157
SH
Put
SOLE
19157
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
364
15674
SH
Put
SOLE
15674
0
0
SHORE BANCSHARES INC
COM
825107105
5832
382417
SH
SOLE
382417
0
0
SIGNATURE BK NEW YORK N Y
COM
82669G104
30454
202753
SH
SOLE
202753
0
0
SOUTH STATE CORP.
COM
840441109
3701
42350
SH
SOLE
42350
0
0
SOUTHERN FIRST BANCSHARES INC
COM
842873101
2917
81017
SH
SOLE
81017
0
0
SOUTHWEST BANCORP, INC.
COM
844767103
4060
140000
SH
SOLE
140000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
41
185
SH
Put
SOLE
185
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
198
884
SH
Put
SOLE
884
0
0
STATE STREET CORP.
COM
857477103
5393
69388
SH
SOLE
69388
0
0
STERLING BANCORP
COM
85917A100
12754
545047
SH
SOLE
545047
0
0
STEWART INFORMATION SERVICES
COM
860372101
6967
151194
SH
SOLE
151194
0
0
STONEGATE BK FT LAUDERDALE F
COM
861811107
5334
127820
SH
SOLE
127820
0
0
SUFFOLK BANCORP
COM
864739107
3946
92163
SH
SOLE
92163
0
0
SUNSHINE BANCORP INC.
COM
86777J108
3015
175892
SH
SOLE
175892
0
0
SUSSEX BANCORP
COM
869245100
5707
273061
SH
SOLE
273061
0
0
SVB FINL GROUP
COM
78486Q101
27765
161742
SH
SOLE
161742
0
0
SWIFT TRANSPORTATION CO.
CL A
87074U101
84
3466
SH
SOLE
3466
0
0
SYNOVUS FINANCIAL CORP.
COM NEW
87161C501
11974
291486
SH
SOLE
291486
0
0
TCF FINANCIAL CORP.
COM
872275102
18307
934501
SH
SOLE
934501
0
0
TEXAS CAPITAL BANCSHARES, INC.
COM
88224Q107
7535
96115
SH
SOLE
96115
0
0
THE FIRST OF LONG ISLAND CORP
COM
320734106
34488
1207971
SH
SOLE
1207971
0
0
TOLL BROTHERS INC.
COM
889478103
4595
148219
SH
SOLE
148219
0
0
TOPBUILD CORP.
COM
89055F103
691
19396
SH
SOLE
19396
0
0
TRI POINTE GROUP, INC.
COM
87265H109
81
7029
SH
SOLE
7029
0
0
TRICO BANCSHARES
COM
896095106
4716
137982
SH
SOLE
137982
0
0
TRIUMPH BANCORP INC.
COM
89679E300
23862
912517
SH
SOLE
912517
0
0
TWO RIVER BANCORP
COM
90207C105
149
10000
SH
SOLE
10000
0
0
UNITED BANKSHARES INC WEST V
COM
909907107
8333
180165
SH
SOLE
180165
0
0
UNITY BANCORP INC
COM
913290102
6949
442600
SH
SOLE
442600
0
0
US BANCORP
COM
902973304
59182
1152064
SH
SOLE
1152064
0
0
VALLEY NATIONAL BANCORP
COM
919794107
3798
326307
SH
SOLE
326307
0
0
VERITEX HOLDINGS INC.
COM
923451108
35954
1346103
SH
SOLE
1346103
0
0
WASHINGTONFIRST BANKSHARE INC.
COM
940730104
14280
492584
SH
SOLE
492584
0
0
WASTE MANAGEMENT INC
COM
94106L109
85
1198
SH
SOLE
1198
0
0
WCI COMMUNITIES, INC.
COM PAR $0.01
92923C807
1875
79972
SH
SOLE
79972
0
0
WELLS FARGO & CO
COM
949746101
67012
1215959
SH
SOLE
1215959
0
0
WESTERN ALLIANCE BANCORP
COM
957638109
3668
75297
SH
SOLE
75297
0
0
WESTERN REFINING INC
COM
959319104
1703
45000
SH
SOLE
45000
0
0
WINTRUST FINANCIAL CORPORATION
COM
97650W108
14379
198142
SH
SOLE
198142
0
0
YADKIN FINANCIAL CORPORATION
COM
984305102
5263
153614
SH
SOLE
153614
0
0
ZIONS BANCORPORATION
COM
989701107
21232
493315
SH
SOLE
493315
0
0