0000893750-13-000178.txt : 20130514 0000893750-13-000178.hdr.sgml : 20130514 20130514140953 ACCESSION NUMBER: 0000893750-13-000178 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 EFFECTIVENESS DATE: 20130514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CASTLE CREEK CAPITAL PARTNERS IV, LP CENTRAL INDEX KEY: 0001459707 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15339 FILM NUMBER: 13840734 BUSINESS ADDRESS: STREET 1: 6051 E1 TORDO STREET 2: P.O. BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: 858-756-8300 MAIL ADDRESS: STREET 1: 6051 E1 TORDO STREET 2: P.O. BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 FORMER COMPANY: FORMER CONFORMED NAME: CASTLE CREEK CAPITAL PARTNERS IV LP DATE OF NAME CHANGE: 20090325 13F-HR 1 form_13fhr.txt CASTLE CREEK CAPITAL PARTNERS IV, LP UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: MARCH 31, 2013 -------------- 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: Castle Creek Capital Partners IV, LP Address: c/o Castle Creek Capital LLC 6110 El Tordo Rancho Santa Fe, CA 92067 Form 13F File Number: 028-15339 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: William J. Ruh Title: Managing Principal Phone: (858) 756-8300 Signature, Place and Date of Signing: /s/ William J. Ruh Rancho Santa Fe, CA May 14, 2013 ------------------ ------------------- ------------ [Signature] [City, State] [Date] * The Reporting Manager does not have formal investment discretion with respect to all of the securities in the indicated rows, but may be deemed to be part of a group exercising such investment discretion. Such group, if any, would include the managers identified in the column captioned "Other Managers" relating to a given issuer. The filing of this report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g), or 16(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules thereunder, or for any other purpose, that the Reporting Manager or any Other Included Manager exercises investment discretion or is a member of such a group with respect to such securities. Reference is made to reports filed under Sections 13(d), 13(g), and 16(a) for additional information with respect to such beneficial ownership and/or pecuniary interest of the Reporting Manager, any Other Included Manager and related entities. Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 8 Form 13F Information Table Value Total: $133,354 (in thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name --- -------------------- ---- 1. 028-15366 Castle Creek Capital IV LLC Castle Creek Capital Partners IV, LP FORM 13F INFORMATION TABLE Quarter Ended March 31, 2013
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ---------------------------- -------------- --------- -------- ------------------- ---------- -------- -------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ---------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---- ---------- ---- FIRST BANCORP N C COM 318910106 13,002 963,794 SH OTHER 1 0 963,794 0 FIRST MERCHANTS CORP COM 320817109 21,557 1,394,747 SH OTHER 1 0 1,394,747 0 GUARANTY BANCORP DEL COM 40075T102 25,713 12,244,247 SH OTHER 1 0 12,244,247 0 HERITAGE COMMERCE CORP COM 426927109 8,805 1,308,300 SH OTHER 1 0 1,308,300 0 HERITAGE OAKS BANCORP COM 42724R107 14,154 2,483,100 SH OTHER 1 0 2,483,100 0 INTERMOUNTAIN CMNTY BANCORP COM NEW 45881M308 26,103 2,037,684 SH OTHER 1 0 2,037,684 0 WASHINGTONFIRST BANKSHARES I COM 940730104 3,485 298,900 SH OTHER 1 0 298,900 0 WEST COAST BANCORP ORE NEW COM 952145209 20,517 845,000 SH OTHER 1 0 845,000 0