SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
CROSS RIVER CAPITAL MANAGEMENT LLC

(Last) (First) (Middle)
456 MAIN STREET, 2ND FLOOR

(Street)
RIDGEFIELD CT 06877

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CMS Bancorp, Inc. [ CMSB ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/09/2012
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/09/2012 P 3,200 A $7.9 189,537 D (1)
Common Stock 189,537 I See footnote (2)
Common Stock 12/06/2012 P 1,000 A $7.83 190,537 D (1)
Common Stock 190,537 I See footnote (2)
Common Stock 12/07/2012 P 1,000 A $7.9 191,537 D (1)
Common Stock 191,537 I See footnote (2)
Common Stock 12/18/2012 P 1,000 A $7.83 192,537 D (1)
Common Stock 192,537 I See footnote (2)
Common Stock 12/26/2012 P 100 A $7.85 192,637 D (1)
Common Stock 192,637 I See footnote (2)
Common Stock 12/27/2012 P 1,000 A $7.89 193,637 D (1)
Common Stock 193,637 I See footnote (2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
CROSS RIVER CAPITAL MANAGEMENT LLC

(Last) (First) (Middle)
456 MAIN STREET, 2ND FLOOR

(Street)
RIDGEFIELD CT 06877

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Cross River Partners LP

(Last) (First) (Middle)
456 MAIN STREET, 2ND FLOOR

(Street)
RIDGEFIELD CT 06877

(City) (State) (Zip)
1. Name and Address of Reporting Person*
MURPHY RICHARD

(Last) (First) (Middle)
C/O CROSS RIVER CAPITAL MANAGEMENT LLC
456 MAIN STREET, 2ND FLOOR

(Street)
RIDGEFIELD CT 06877

(City) (State) (Zip)
Explanation of Responses:
1. The reported securities are directly owned by Cross River Partners LP.
2. The reported securities are directly owned by Cross River Partners LP a limited partnership managed by Cross River Capital Management LLC, and may be deemed indirectly beneficially owned by Cross River Capital Management LLC as the investment manager of Cross River Partners LP. The reported securities may also be deemed indirectly beneficially owned by Richard Murphy as Managing Member of Cross River Capital Management LLC. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Cross River Capital Management, LLC, By: /s/ Richard Murphy, Managing Member 02/12/2013
Cross River Partners LP, By: /s/ Richard Murphy, Managing Member of Cross River Capital Management, LLC, its General Partner 02/12/2013
/s/ Richard Murphy 02/12/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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