0000899140-15-000585.txt : 20150803 0000899140-15-000585.hdr.sgml : 20150801 20150803172927 ACCESSION NUMBER: 0000899140-15-000585 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20150803 DATE AS OF CHANGE: 20150803 GROUP MEMBERS: 1994 GARDEN STATE, LP GROUP MEMBERS: BASSWOOD ENHANCED LONG SHORT FUND, LP GROUP MEMBERS: BASSWOOD ENHANCED LONG SHORT GP, LLC GROUP MEMBERS: BASSWOOD FINANCIAL FUND, INC. GROUP MEMBERS: BASSWOOD FINANCIAL FUND, LP GROUP MEMBERS: BASSWOOD FINANCIAL LONG ONLY FUND, LP GROUP MEMBERS: BASSWOOD OPPORTUNITY FUND, INC. GROUP MEMBERS: BASSWOOD OPPORTUNITY PARTNERS, LP GROUP MEMBERS: BASSWOOD PARTNERS, L.L.C. GROUP MEMBERS: BCM SELECT EQUITY I MASTER, LTD. GROUP MEMBERS: BENNETT LINDENBAUM GROUP MEMBERS: BOULEVARD DIRECT MASTER, LTD. GROUP MEMBERS: MATTHEW LINDENBAUM SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASTORIA FINANCIAL CORP CENTRAL INDEX KEY: 0000910322 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 113170868 STATE OF INCORPORATION: DE FISCAL YEAR END: 0319 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-42939 FILM NUMBER: 151023394 BUSINESS ADDRESS: STREET 1: ONE ASTORIA BANK PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042-1085 BUSINESS PHONE: 5163273000 MAIL ADDRESS: STREET 1: ONE ASTORIA BANK PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042-1085 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BASSWOOD CAPITAL MANAGEMENT, L.L.C. CENTRAL INDEX KEY: 0001085393 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D 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 SC 13D 1 b14912801a.htm SCHEDULE 13D
 
 
 
 SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
SCHEDULE 13D

Under the Securities Exchange Act of 1934

Astoria Financial Corporation

(Name of Issuer)


Common Stock, Par Value $0.01

(Title of Class of Securities)

046265104
(CUSIP Number)

Matthew Lindenbaum
Basswood Capital Management, L.L.C.
645 Madison Avenue, 10th Floor
New York, NY 10022
(212) 521-9500

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

(with copies to)
Michael A. Schwartz, Esq.
Willkie Farr & Gallagher LLP
787 Seventh Avenue
New York, NY 10019
(212) 728-8000

July 23, 2015

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box:  ☐

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See Rule 240.13d-7 for other parties to whom copies are to be sent.
* 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 disclosures provided in a prior cover page.
The information required on 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).
 
 
 
1


 
CUSIP No.  82620P102
 
 
 
Page 2 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Basswood Capital Management, L.L.C.
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
AF
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)      ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
9,214,709 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
9,214,709 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,214,709 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.14%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IA



2



 
CUSIP No.  82620P102
 
 
 
Page 3 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Basswood Partners, L.L.C.
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
AF
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
1,685,650 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
1,685,650 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,685,650 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.67%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO
 
 
 
3


 

 
CUSIP No.  82620P102
 
 
 
Page 4 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Basswood Enhanced Long Short GP, LLC
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
AF
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
3,241,564 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
3,241,564 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,241,564 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.22%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO
 
 
 
 
4


 
 
CUSIP No.  82620P102
 
 
 
Page 5 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Basswood Financial Fund, LP
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
WC
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
204,829 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
204,829 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
204,829 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.20%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
 
 
 
 
 
 
5


 
 
CUSIP No.  82620P102
 
 
 
Page 6 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Basswood Financial Fund, Inc.
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
WC
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
100,201 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
100,201(see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
100,201 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.10%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO

 
 
 
 
6


 
 
CUSIP No.  82620P102
 
 
 
Page 7 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Basswood Financial Long Only Fund, LP
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
WC
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
51,065 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
51,065 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
51,065 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.05%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
 
 
 
 

 
7

 
CUSIP No.  82620P102
 
 
 
Page 8 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Basswood Enhanced Long Short Fund, LP
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
WC
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
3,241,564 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
3,241,564 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,241,564 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.22%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
 
 
 
 
 

 
8

 
CUSIP No.  82620P102
 
 
 
Page 9 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Basswood Opportunity Partners, LP
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
WC
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
1,429,756 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
1,429,756 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,429,756 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.42%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
 
 
 
 
 

 
9

 
CUSIP No.  82620P102
 
 
 
Page 10 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Basswood Opportunity Fund, Inc.
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
WC
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
267,807 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
267,807 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
267,807 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.27%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO

 
 
 
 
 
10


 
 
CUSIP No.  82620P102
 
 
 
Page 11 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Boulevard Direct Master, Ltd.
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
WC
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)       ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
458,019 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
458,019 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
458,019 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.45%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
 
 
 
 
 

 
11

 
CUSIP No.  82620P102
 
 
 
Page 12 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
BCM Select Equity I Master, Ltd.
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
WC
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
1,079,738 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
1,079,738 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,079,738 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.07%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
 
 
 
 
 

 
12

 
CUSIP No.  82620P102
 
 
 
Page 13 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
1994 Garden State, LP
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
WC
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
75,873 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
75,873 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
75,873 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.08%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
 
 
 
 
 

 
13

 
CUSIP No.  82620P102
 
 
 
Page 14 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Matthew Lindenbaum
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
AF
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
9,290,582 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
9,290,582 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,290,582 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.22%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN

 
 
 
 

 
14

 
CUSIP No.  82620P102
 
 
 
Page 15 of 36 Pages
 
 
1
 
 
NAME OF REPORTING PERSON
 
Bennett Lindenbaum
 
2
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☒
 
3
 
 
SEC USE ONLY
 
 
4
 
 
SOURCE OF FUNDS
AF
 
 
5
 
 
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐
 
 
6
 
 
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 
7
 
 
SOLE VOTING POWER
0
 
 
8
 
SHARED VOTING POWER
9,290,582 (see Item 5)
 
 
9
 
 
SOLE DISPOSITIVE POWER
0
 
 
10
 
 
SHARED DISPOSITIVE POWER
9,290,582 (see Item 5)
 
 
11
 
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,290,582 (see Item 5)
 
12
 
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)                                                                                               ☐
 
 
13
 
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.22%
 
14
 
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN

 
 
 
15

 

Item 1.  Security and the Issuer

This Schedule 13D relates to the common stock, par value $0.01 per share (the “Common Stock”), of Astoria Financial Corporation, a Delaware corporation (the “Issuer”), and is being filed pursuant to Rule 13d-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”). The address of the Issuer’s principal executive offices is One Astoria Bank Plaza, Lake Success, New York 11042.

Item 2.  Identity and Background

(a)
This Schedule 13D is being filed on behalf of:

(i)
Basswood Capital Management, L.L.C. (the “Management Company”), Basswood Partners, L.L.C. (“Basswood Partners”), Basswood Enhanced Long Short GP, LLC (“Basswood Long Short GP”), each a Delaware limited liability company;

(ii)
Basswood Financial Fund, LP, Basswood Enhanced Long Short Fund, LP, Basswood Financial Long Only Fund, LP, Basswood Opportunity Partners, LP (“BOP”), each a Delaware limited partnership, Basswood Financial Fund, Inc., Basswood Opportunity Fund, Inc., Boulevard Direct Master, Ltd., BCM Select Equity I Master, Ltd., each a Cayman Islands corporation (collectively, the “BCM Funds”);

(iii)
1994 Garden State, LP, a Delaware limited partnership (“GSLP”, and together with the BCM Funds, the “Funds”); and

(iv)
 Matthew Lindenbaum and Bennett Lindenbaum.

The Funds and certain managed accounts directly own shares of Common Stock.  The Management Company is the investment manager or adviser to the BCM Funds and the managed accounts and may be deemed to have beneficial ownership over the Common Stock directly owned by the Funds and managed accounts by virtue of the authority granted to it to vote and to dispose of the securities held by them, including the Common Stock held by them.  Basswood Partners is the general partner of each of Basswood Financial Fund, LP, Basswood Opportunity Partners, LP and Basswood Financial Long Only Fund, LP and may be deemed to have beneficial ownership over the Common Stock directly owned by such Funds by virtue of its position as general partner.  Basswood Long Short GP is the general partner of Basswood Enhanced Long Short Fund, LP and may be deemed to have beneficial ownership over the Common Stock directly owned by such Fund by virtue of its position as general partner. Matthew Lindenbaum and Bennett Lindenbaum are the managing members of the Management Company and control the business activities of the Management Company.  Matthew Lindenbaum and Bennett Lindenbaum also are the general partners of GSLP and may be deemed to have beneficial ownership over the Common Stock directly owned by GSLP by virtue of their positions as general partners.  The Management Company, Basswood Partners, Basswood Long Short GP, the Funds, Matthew Lindenbaum and Bennett Lindenbaum may be referred to herein as the “Reporting Persons”.

(b)  The address of the principal business and principal office of each of the Reporting Persons is 645 Madison Avenue, 10th Floor, New York, New York 10022.
 
 
 
 
 
16


 
(c)  The principal business of the Management Company is to serve as investment manager or adviser to the BCM Funds and the managed accounts, and to control the investing and trading in securities of the BCM Funds and the managed accounts.  The principal business of each of Basswood Partners and Basswood Long Short GP is to serve as the general partner to the applicable BCM Funds.  The principal business of each of the Funds is investing and trading in securities.  The principal business of each of Matthew Lindenbaum and Bennett Lindenbaum is to act as the managing member of each of the Management Company, Basswood Partners and Basswood Long Short GP.

(d)  None of the Reporting Persons, nor, to the best of their knowledge, any of their directors, executive officers, general partners or members has, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).

(e)  None of the Reporting Persons, nor, to the best of their knowledge, any of their directors, executive officers, general partners or members has, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

(f)  Each of Matthew Lindenbaum and Bennett Lindenbaum is a citizen of the United States of America.

Item 3.  Source and Amount of Funds or Other Consideration.

The BCM Funds and the managed accounts expended an aggregate of $114,451,000 (including commissions, if any) to acquire 8,158,664 of the 9,214,709 shares of Common Stock reported herein as beneficially owned by them.  In addition,1,056,045 of the shares of Common Stock held by BOP were acquired by it upon conversion of shares of the common stock of Long Island Bancorp (“LIB”) previously held by it in the merger of LIB with and into the Issuer (the “LIB Merger”).  The BCM Funds and the managed accounts effect purchases and hold securities primarily through margin accounts maintained for them with each of J.P. Morgan Securities LLC, Morgan Stanley & Co., Goldman Sachs & Co., BNP Paribas Prime Brokerage and Credit Suisse Securities (USA) LLC, which may extend margin credit to the Funds as and when required to open or carry positions in the margin accounts, subject to applicable Federal margin regulations, stock exchange rules and the firms’ credit policies.  In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the accounts.

The 75,873 shares of Common Stock held by GSLP were acquired by it upon conversion of shares of the common stock of LIB previously held by it in the LIB Merger.  Such shares are held in a margin account maintained for GSLP with BNP Paribas Prime Brokerage, which may extend margin credit to GSLP as and when required to open or carry positions in the margin account, subject to applicable Federal margin regulations, stock exchange rules and the firm’s credit policies.  In such instances, the positions held in the margin account are pledged as collateral security for the repayment of debit balances in the account.
 
 
 
17


 
Item 4.  Purpose of Transaction.

 Based on, among other things, the Issuer’s strong banking franchise in the New York metropolitan market and the belief of the Management Company, Matthew Lindenbaum and Bennett Lindenbaum that the shares of Common Stock are trading at a significant discount to their fair value, the Management Company caused the BCM Funds and managed accounts to acquire, and Matthew Lindenbaum and Bennett Lindenbaum caused GSLP to acquire, the shares of Common Stock reported herein (including the shares acquired in the LIB Merger) for the purpose of investment.  The Management Company, Matthew Lindenbaum and Bennett Lindenbaum believe that the Issuer has substantial opportunities in the current environment to take steps to enhance shareholder value, either on a stand-alone basis or in a business combination or sale transaction, and that the Issuer and its shareholders would benefit from the inclusion on the Issuer’s board of directors (the “Board”) of a representative of a significant shareholder.

On July 30, 2015, Matthew Lindenbaum spoke with Monte N. Redman, President and Chief Executive Officer of the Issuer, and requested that the Issuer appoint a representative of the Management Company to the serve on the Board.  As of the date of this filing, Mr. Lindenbaum has not yet received a response to his request.

In addition, with respect to the Issuer, the Management Company may engage in discussions with the Board, the Issuer’s management, other shareholders of the Issuer, knowledgeable industry or market observers, potential acquirors of the Issuer and other persons regarding the Issuer’s business, strategy and future plans and alternatives that the Issuer could employ to increase shareholder value.  Any such discussions may include plans or proposals relating to or resulting in any of the matters set forth in subparagraphs (a) – (j) of Item 4 of Schedule 13D.

The Reporting Persons may make further acquisitions of Common Stock from time to time or dispose of any or all of the shares of Common Stock beneficially owned by the Funds and the managed accounts at any time.  Any such acquisition or disposition may be effected through privately negotiated transactions, in the open market, in block transactions or otherwise.  In addition, the Reporting Persons may enter into hedging or derivative transactions with respect to the securities of the Issuer, including the shares of Common Stock beneficially owned by them.  Any determination to acquire or dispose of securities of the Issuer will depend on a number of factors, including the Issuer’s business and financial position and prospects, other developments concerning the Issuer, the price levels of the Common Stock, general market and economic conditions, the availability of financing and other opportunities available to the Reporting Persons.

Except as set forth in this Schedule 13D, the Reporting Persons have no plans or proposals at present that relate to or would result in any of the matters set forth in subparagraphs (a) – (j) of Item 4 of Schedule 13D.


Item 5.  Interest in Securities of the Issuer.

(a)            As of the date of this Schedule 13D, each of the Reporting Persons beneficially owns shares of Common Stock in such numbers as set forth on the cover pages of this Schedule 13D.  The total number of shares each of the Reporting Persons beneficially owns represents such percentages as set forth on the cover pages to this Schedule 13D of the Common Stock outstanding.  The percentages used in this Schedule 13D are calculated based upon the 100,797,334 shares of Common Stock outstanding as of April  30, 2015, as reported in the Issuer’s Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2015 and filed on May 8, 2015.
 
 
 
 
18


 
(b)            The Management Company, Matthew Lindenbaum and Bennett Lindenbaum share voting and dispositive power over the 9,214,709 shares of Common Stock held directly by the BCM Funds and the managed accounts.  Basswood Partners, the Management Company, Matthew Lindenbaum and Bennett Lindenbaum share voting and dispositive power over the 1,685,650 shares of Common Stock held directly by Basswood Financial Fund, LP, Basswood Opportunity Partners, LP and Basswood Financial Long Only Fund, LP.  Basswood Long Short GP, the Management Company, Matthew Lindenbaum and Bennett Lindenbaum share voting and dispositive power over the 3,241,564 shares of Common Stock held directly by Basswood Enhanced Long Short Fund, LP.  Matthew Lindenbaum and Bennett Lindenbaum share voting and dispositive power over the 75,873 shares of Common Stock held directly by the GSLP.

By virtue of the relationships among the Reporting Persons, as described in this Schedule 13D, the Reporting Persons may be deemed to be a “group” under the Federal securities laws. If the Reporting Persons were deemed to be such a “group,” such group would collectively beneficially own 9,290,582 shares or 9.22% of Common Stock.  Except as otherwise set forth in this Schedule 13D, (i) each Fund expressly disclaims voting and investment power with respect to the shares of Common Stock beneficially owned by each other Reporting Person, (ii) each of Basswood Partners and Basswood Long Short GP expressly disclaims voting and investment power with respect to the shares of Common Stock beneficially owned by each other Reporting Person, other than the shares of Common Stock held directly by the Fund or Funds for which each, respectively, serves as general partner, and (iii) the Management Company expressly disclaims voting and investment power with respect to the shares of Common Stock beneficially owned by GSLP, and the filing of this Statement shall not be construed as an admission, for the purposes of Sections 13(d) and 13(g) or under any provision of the Exchange Act or the rules promulgated thereunder or for any other purpose, that any such person is a beneficial owner of any shares as to which it disclaims voting and dispositive power.

(c)            Schedule I hereto sets forth all transactions with respect to the Common Stock effected by the Reporting Persons during the past sixty (60) days.  All such transactions were effected in the open market, and per share prices include any commissions paid in connection with such transactions.

(d)            Other than the Funds and the managed accounts that directly hold shares of Common Stock, and except as set forth in this Item 5, no other person is known to have the right to receive, or the power to direct the receipt of, dividends from or proceeds from the sale, of such shares of Common Stock.

(e)            Not applicable.

Item 6.  Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

Pursuant to Rule 13d-1(k) promulgated under the Exchange Act, the Reporting Persons have entered into a Joint Filing Agreement, a copy of which is filed with this Schedule 13D as Exhibit 99.1, with respect to the joint filing of this Schedule 13D and any amendment or amendments thereto.

In addition to the 75,873 shares of Common Stock reported herein as beneficially owned by it, GSLP has a short position in the Common Stock which it established in 1998 by borrowing and selling 75,873 shares of Common Stock in market transactions.  Accordingly, GSLP will be required to return 75,873 shares of Common Stock to the lender of such shares.
 
 
 
19


 
In addition to the 1,056,045 shares of Common Stock reported herein as acquired by BOP in the LIB Merger and the 373,711 other shares of Common Stock beneficially owned by it, BOP has a short position in the Common Stock which it established in 1998 by borrowing and selling 1,056,045 shares of Common Stock in market transactions.  Accordingly, BOP will be required to return 1,056,045 shares of Common Stock to the lender of such shares.

Other than as described herein, there are no contracts, arrangements, understandings or relationships (legal or otherwise) between the Reporting Persons and any other person with respect to the securities of the Issuer.

Item 7.  Material to be filed as Exhibits.

1.
Exhibit 99.1 - Joint Filing Agreement, dated as of August 3, 2015
 
 
 
 
 
 
 
 
 
 
 
 
20

 
Schedule I
 

Entity
Trade Date
Shares Purchased (Sold)
Price
BCM Select Equity I Master, Ltd.
 
6/1/2015
 
8,100
 
13.02
 
 
Boulevard Direct Master, Ltd.
 
6/8/2015
 
300,000
 
13.73
 
 
Boulevard Direct Master, Ltd.
 
6/9/2015
 
145,000
 
13.89
 
 
Basswood Enhanced Long Short Fund, LP
 
6/30/2015
 
26,641
 
13.87
 
 
Basswood Enhanced Long Short Fund, LP
 
6/30/2015
 
25,851
 
13.87
 
 
Basswood Enhanced Long Short Fund, LP
 
6/30/2015
 
25,851
 
13.87
 
 
Basswood Financial Fund, Inc.
 
6/30/2015
 
216
 
13.87
 
 
Basswood Financial Fund, LP
 
6/30/2015
 
734
 
13.87
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
236
 
13.87
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-5,601
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-433
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-348
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-863
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-1,586
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-2,989
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-6,307
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-1,474
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-1,803
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-4,960
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-3,605
 
13.83
 
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-2,449
 
13.83
 
 
 

 
21

Entity
Trade Date
Shares Purchased (Sold)
Price
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-2,384
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-2,741
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-4,897
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-4,543
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-3,848
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-3,588
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-753
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-1,704
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-2,100
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-5,295
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-7,455
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-3,409
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-2,727
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-3,123
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-704
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-2,912
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-4,213
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-1,717
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-4,614
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-3,410
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-1,442
 
13.83
 
Basswood Financial Long Only Fund, LP
 
6/30/2015
 
-1,325
 
13.83
 
Basswood Opportunity Fund, Inc.
 
6/30/2015
 
2,951
 
13.87
 
Basswood Opportunity Partners, LP
 
6/30/2015
 
4,111
 
13.87
 
 
 

 
22

Entity
Trade Date
Shares Purchased (Sold)
Price
BCM Select Equity I Master, Ltd.
 
6/30/2015
 
2,227
 
13.87
 
Boulevard Direct Master, Ltd.
 
6/30/2015
 
112
 
13.87
 
Managed Account
 
6/30/2015
 
12,392
 
13.87
 
Basswood Enhanced Long Short Fund, LP
 
7/1/2015
 
614
 
13.94
 
Basswood Enhanced Long Short Fund, LP
 
7/1/2015
 
588
 
13.94
 
Basswood Enhanced Long Short Fund, LP
 
7/1/2015
 
588
 
13.94
 
Basswood Financial Fund, Inc.
 
7/1/2015
 
4
 
13.94
 
Basswood Financial Fund, Inc.
 
7/1/2015
 
-138
 
13.89
 
Basswood Financial Fund, Inc.
 
7/1/2015
 
-1,377
 
13.89
 
Basswood Financial Fund, Inc.
 
7/1/2015
 
-807
 
13.89
 
Basswood Financial Fund, LP
 
7/1/2015
 
16
 
13.94
 
Basswood Financial Long Only Fund, LP
 
7/1/2015
 
5
 
13.94
 
Basswood Financial Long Only Fund, LP
 
7/1/2015
 
5
 
13.94
 
Basswood Opportunity Fund, Inc.
 
7/1/2015
 
64
 
13.94
 
Basswood Opportunity Partners, LP
 
7/1/2015
 
95
 
13.94
 
BCM Select Equity I Master, Ltd.
 
7/1/2015
 
52
 
13.94
 
Managed Account
 
7/1/2015
 
291
 
13.94
 
Basswood Enhanced Long Short Fund, LP
 
7/20/2015
 
38,328
 
14.09
 
Basswood Financial Fund, Inc.
 
7/20/2015
 
98
 
14.09
 
Basswood Financial Fund, LP
 
7/20/2015
 
299
 
14.09
 
Basswood Financial Long Only Fund, LP
 
7/20/2015
 
133
 
14.09
 
Basswood Financial Long Only Fund, LP
 
7/20/2015
 
122
 
14.09
 
Basswood Opportunity Fund, Inc.
 
7/20/2015
 
1,320
 
14.09
 
Basswood Opportunity Partners, LP
 
7/20/2015
 
1,922
 
14.09
 
 
 

 
23

Entity
Trade Date
Shares Purchased (Sold)
Price
BCM Select Equity I Master, Ltd.
 
7/20/2015
 
1,182
 
14.09
 
Managed Account
 
7/20/2015
 
6,596
 
14.09
 
Basswood Enhanced Long Short Fund, LP
 
7/22/2015
 
56,779
 
14.24
 
Basswood Enhanced Long Short Fund, LP
 
7/22/2015
 
80
 
13.99
 
Basswood Enhanced Long Short Fund, LP
 
7/22/2015
 
2,487
 
14.14
 
Basswood Enhanced Long Short Fund, LP
 
7/22/2015
 
35,451
 
14.39
 
Basswood Enhanced Long Short Fund, LP
 
7/22/2015
 
6,515
 
14.40
 
Basswood Financial Fund, Inc.
 
7/22/2015
 
545
 
14.24
 
Basswood Financial Fund, Inc.
 
7/22/2015
 
23
 
14.14
 
Basswood Financial Fund, Inc.
 
7/22/2015
 
340
 
14.39
 
Basswood Financial Fund, Inc.
 
7/22/2015
 
62
 
14.40
 
Basswood Financial Fund, Inc.
 
7/22/2015
 
868
 
14.24
 
Basswood Financial Fund, Inc.
 
7/22/2015
 
1
 
13.99
 
Basswood Financial Fund, Inc.
 
7/22/2015
 
37
 
14.14
 
Basswood Financial Fund, Inc.
 
7/22/2015
 
541
 
14.39
 
Basswood Financial Fund, Inc.
 
7/22/2015
 
99
 
14.40
 
Basswood Financial Fund, LP
 
7/22/2015
 
3,229
 
14.24
 
Basswood Financial Fund, LP
 
7/22/2015
 
4
 
13.99
 
Basswood Financial Fund, LP
 
7/22/2015
 
140
 
14.14
 
Basswood Financial Fund, LP
 
7/22/2015
 
2,016
 
14.39
 
Basswood Financial Fund, LP
 
7/22/2015
 
370
 
14.40
 
Basswood Financial Long Only Fund, LP
 
7/22/2015
 
698
 
14.24
 
Basswood Financial Long Only Fund, LP
 
7/22/2015
 
30
 
14.14
 
Basswood Financial Long Only Fund, LP
 
7/22/2015
 
435
 
14.39
 
 
 
 
24


 
Entity
Trade Date
Shares Purchased (Sold)
Price
Basswood Financial Long Only Fund, LP
 
7/22/2015
 
80
 
14.40
 
Basswood Financial Long Only Fund, LP
 
7/22/2015
 
158
 
14.24
 
Basswood Financial Long Only Fund, LP
 
7/22/2015
 
6
 
14.14
 
Basswood Financial Long Only Fund, LP
 
7/22/2015
 
98
 
14.39
 
Basswood Financial Long Only Fund, LP
 
7/22/2015
 
18
 
14.40
 
Basswood Opportunity Fund, Inc.
 
7/22/2015
 
4,938
 
14.24
 
Basswood Opportunity Fund, Inc.
 
7/22/2015
 
6
 
13.99
 
Basswood Opportunity Fund, Inc.
 
7/22/2015
 
215
 
14.14
 
Basswood Opportunity Fund, Inc.
 
7/22/2015
 
3,082
 
14.39
 
Basswood Opportunity Fund, Inc.
 
7/22/2015
 
566
 
14.40
 
Basswood Opportunity Partners, LP
 
7/22/2015
 
6,987
 
14.24
 
Basswood Opportunity Partners, LP
 
7/22/2015
 
9
 
13.99
 
Basswood Opportunity Partners, LP
 
7/22/2015
 
305
 
14.14
 
Basswood Opportunity Partners, LP
 
7/22/2015
 
4,361
 
14.39
 
Basswood Opportunity Partners, LP
 
7/22/2015
 
801
 
14.40
 
BCM Select Equity I Master, Ltd.
 
7/22/2015
 
51,808
 
14.24
 
BCM Select Equity I Master, Ltd.
 
7/22/2015
 
67
 
13.99
 
BCM Select Equity I Master, Ltd.
 
7/22/2015
 
2,261
 
14.14
 
BCM Select Equity I Master, Ltd.
 
7/22/2015
 
32,342
 
14.39
 
BCM Select Equity I Master, Ltd.
 
7/22/2015
 
5,941
 
14.40
 
Boulevard Direct Master, Ltd.
 
7/22/2015
 
3,136
 
14.24
 
Boulevard Direct Master, Ltd.
 
7/22/2015
 
4
 
13.99
 
Boulevard Direct Master, Ltd.
 
7/22/2015
 
136
 
14.14
 
Boulevard Direct Master, Ltd.
 
7/22/2015
 
1,957
 
14.39
 
Boulevard Direct Master, Ltd.
 
7/22/2015
 
359
 
14.40
 
Managed Account
 
7/22/2015
 
34,877
 
14.24
 
 
 
25


 
Entity
Trade Date
Shares Purchased (Sold)
Price
Managed Account
 
7/22/2015
 
45
 
13.99
 
Managed Account
 
7/22/2015
 
1,522
 
14.14
 
Managed Account
 
7/22/2015
 
21,773
 
14.39
 
Managed Account
 
7/22/2015
 
3,999
 
14.40
 
Managed Account
 
7/22/2015
 
32,522
 
14.24
 
Managed Account
 
7/22/2015
 
42
 
13.99
 
Managed Account
 
7/22/2015
 
1,419
 
14.14
 
Managed Account
 
7/22/2015
 
20,302
 
14.39
 
Managed Account
 
7/22/2015
 
3,729
 
14.40
 
Managed Account
 
7/22/2015
 
32,522
 
14.24
 
Managed Account
 
7/22/2015
 
42
 
13.99
 
Managed Account
 
7/22/2015
 
1,419
 
14.14
 
Managed Account
 
7/22/2015
 
20,302
 
14.39
 
Managed Account
 
7/22/2015
 
3,729
 
14.40
 
Basswood Enhanced Long Short Fund, LP
 
7/23/2015
 
95,867
 
14.20
 
Basswood Enhanced Long Short Fund, LP
 
7/23/2015
 
36,590
 
14.40
 
Basswood Financial Fund, Inc.
 
7/23/2015
 
920
 
14.20
 
Basswood Financial Fund, Inc.
 
7/23/2015
 
351
 
14.40
 
Basswood Financial Fund, Inc.
 
7/23/2015
 
1,465
 
14.20
 
Basswood Financial Fund, Inc.
 
7/23/2015
 
559
 
14.40
 
Basswood Financial Fund, LP
 
7/23/2015
 
5,452
 
14.20
 
Basswood Financial Fund, LP
 
7/23/2015
 
2,080
 
14.40
 
Basswood Financial Long Only Fund, LP
 
7/23/2015
 
1,179
 
14.20
 
 
 
26


 
Entity
Trade Date
Shares Purchased (Sold)
Price
Basswood Financial Long Only Fund, LP
 
7/23/2015
 
450
 
14.40
 
Basswood Financial Long Only Fund, LP
 
7/23/2015
 
267
 
14.20
 
Basswood Financial Long Only Fund, LP
 
7/23/2015
 
102
 
14.40
 
Basswood Opportunity Fund, Inc.
 
7/23/2015
 
8,337
 
14.20
 
Basswood Opportunity Fund, Inc.
 
7/23/2015
 
3,181
 
14.40
 
Basswood Opportunity Partners, LP
 
7/23/2015
 
11,797
 
14.20
 
Basswood Opportunity Partners, LP
 
7/23/2015
 
4,502
 
14.40
 
BCM Select Equity I Master, Ltd.
 
7/23/2015
 
87,474
 
14.20
 
BCM Select Equity I Master, Ltd.
 
7/23/2015
 
33,382
 
14.40
 
Boulevard Direct Master, Ltd.
 
7/23/2015
 
5,295
 
14.20
 
Boulevard Direct Master, Ltd.
 
7/23/2015
 
2,020
 
14.40
 
Managed Account
 
7/23/2015
 
58,889
 
14.20
 
Managed Account
 
7/23/2015
 
22,473
 
14.40
 
Managed Account
 
7/23/2015
 
54,911
 
14.20
 
Managed Account
 
7/23/2015
 
20,955
 
14.40
 
Managed Account
 
7/23/2015
 
54,911
 
14.20
 
Managed Account
 
7/23/2015
 
20,955
 
14.40
 
Basswood Enhanced Long Short Fund, LP
 
7/24/2015
 
46,019
 
14.33
 
Basswood Enhanced Long Short Fund, LP
 
7/24/2015
 
22,687
 
14.27
 
Basswood Financial Fund, Inc.
 
7/24/2015
 
443
 
14.33
 
Basswood Financial Fund, Inc.
 
7/24/2015
 
218
 
14.27
 
Basswood Financial Fund, Inc.
 
7/24/2015
 
693
 
14.33
 
Basswood Financial Fund, Inc.
 
7/24/2015
 
341
 
14.27
 
Basswood Financial Fund, LP
 
7/24/2015
 
2,600
 
14.33
 
 
 
27


 
Entity
Trade Date
Shares Purchased (Sold)
Price
Basswood Financial Fund, LP
 
7/24/2015
 
1,281
 
14.27
 
Basswood Financial Long Only Fund, LP
 
7/24/2015
 
546
 
14.33
 
Basswood Financial Long Only Fund, LP
 
7/24/2015
 
269
 
14.27
 
Basswood Financial Long Only Fund, LP
 
7/24/2015
 
132
 
14.33
 
Basswood Financial Long Only Fund, LP
 
7/24/2015
 
65
 
14.27
 
Basswood Opportunity Fund, Inc.
 
7/24/2015
 
3,932
 
14.33
 
Basswood Opportunity Fund, Inc.
 
7/24/2015
 
1,938
 
14.27
 
Basswood Opportunity Partners, LP
 
7/24/2015
 
5,567
 
14.33
 
Basswood Opportunity Partners, LP
 
7/24/2015
 
2,744
 
14.27
 
BCM Select Equity I Master, Ltd.
 
7/24/2015
 
44,761
 
14.33
 
BCM Select Equity I Master, Ltd.
 
7/24/2015
 
22,064
 
14.27
 
Managed Account
 
7/24/2015
 
28,711
 
14.33
 
Managed Account
 
7/24/2015
 
14,153
 
14.27
 
Managed Account
 
7/24/2015
 
28,098
 
14.33
 
Managed Account
 
7/24/2015
 
13,851
 
14.27
 
Managed Account
 
7/24/2015
 
28,098
 
14.33
 
Managed Account
 
7/24/2015
 
13,851
 
14.27
 
Basswood Enhanced Long Short Fund, LP
 
7/27/2015
 
11,843
 
14.28
 
Basswood Enhanced Long Short Fund, LP
 
7/27/2015
 
15,678
 
14.28
 
Basswood Enhanced Long Short Fund, LP
 
7/27/2015
 
23,117
 
14.31
 
Basswood Financial Fund, Inc.
 
7/27/2015
 
116
 
14.28
 
Basswood Financial Fund, Inc.
 
7/27/2015
 
154
 
14.28
 
Basswood Financial Fund, Inc.
 
7/27/2015
 
227
 
14.31
 
Basswood Financial Fund, Inc.
 
7/27/2015
 
183
 
14.28
 
 
 
28


 
Entity
Trade Date
Shares Purchased (Sold)
Price
Basswood Financial Fund, Inc.
 
7/27/2015
 
242
 
14.28
 
Basswood Financial Fund, Inc.
 
7/27/2015
 
358
 
14.31
 
Basswood Financial Fund, LP
 
7/27/2015
 
687
 
14.28
 
Basswood Financial Fund, LP
 
7/27/2015
 
909
 
14.28
 
Basswood Financial Fund, LP
 
7/27/2015
 
1,341
 
14.31
 
Basswood Financial Long Only Fund, LP
 
7/27/2015
 
150
 
14.28
 
Basswood Financial Long Only Fund, LP
 
7/27/2015
 
198
 
14.28
 
Basswood Financial Long Only Fund, LP
 
7/27/2015
 
292
 
14.31
 
Basswood Financial Long Only Fund, LP
 
7/27/2015
 
33
 
14.28
 
Basswood Financial Long Only Fund, LP
 
7/27/2015
 
44
 
14.28
 
Basswood Financial Long Only Fund, LP
 
7/27/2015
 
66
 
14.31
 
Basswood Opportunity Fund, Inc.
 
7/27/2015
 
993
 
14.28
 
Basswood Opportunity Fund, Inc.
 
7/27/2015
 
1,315
 
14.28
 
Basswood Opportunity Fund, Inc.
 
7/27/2015
 
1,940
 
14.31
 
Basswood Opportunity Partners, LP
 
7/27/2015
 
1,406
 
14.28
 
Basswood Opportunity Partners, LP
 
7/27/2015
 
1,861
 
14.28
 
Basswood Opportunity Partners, LP
 
7/27/2015
 
2,745
 
14.31
 
BCM Select Equity I Master, Ltd.
 
7/27/2015
 
10,837
 
14.28
 
BCM Select Equity I Master, Ltd.
 
7/27/2015
 
14,347
 
14.28
 
BCM Select Equity I Master, Ltd.
 
7/27/2015
 
21,160
 
14.31
 
Managed Account
 
7/27/2015
 
7,177
 
14.28
 
Managed Account
 
7/27/2015
 
9,502
 
14.28
 
Managed Account
 
7/27/2015
 
14,014
 
14.31
 
Managed Account
 
7/27/2015
 
6,830
 
14.28
 
 
 

 
29

Entity
Trade Date
Shares Purchased (Sold)
Price
Managed Account
 
7/27/2015
 
9,041
 
14.28
 
Managed Account
 
7/27/2015
 
13,335
 
14.31
 
Managed Account
 
7/27/2015
 
6,830
 
14.28
 
Managed Account
 
7/27/2015
 
9,041
 
14.28
 
Managed Account
 
7/27/2015
 
13,335
 
14.31
 
Basswood Enhanced Long Short Fund, LP
 
7/28/2015
 
62,863
 
14.43
 
Basswood Enhanced Long Short Fund, LP
 
7/28/2015
 
88,004
 
14.58
 
Basswood Financial Fund, Inc.
 
7/28/2015
 
619
 
14.43
 
Basswood Financial Fund, Inc.
 
7/28/2015
 
867
 
14.58
 
Basswood Financial Fund, Inc.
 
7/28/2015
 
973
 
14.43
 
Basswood Financial Fund, Inc.
 
7/28/2015
 
1,363
 
14.58
 
Basswood Financial Fund, LP
 
7/28/2015
 
3,647
 
14.43
 
Basswood Financial Fund, LP
 
7/28/2015
 
5,106
 
14.58
 
Basswood Financial Long Only Fund, LP
 
7/28/2015
 
796
 
14.43
 
Basswood Financial Long Only Fund, LP
 
7/28/2015
 
1,115
 
14.58
 
Basswood Financial Long Only Fund, LP
 
7/28/2015
 
179
 
14.43
 
Basswood Financial Long Only Fund, LP
 
7/28/2015
 
251
 
14.58
 
Basswood Opportunity Fund, Inc.
 
7/28/2015
 
5,276
 
14.43
 
Basswood Opportunity Fund, Inc.
 
7/28/2015
 
7,386
 
14.58
 
Basswood Opportunity Partners, LP
 
7/28/2015
 
7,466
 
14.43
 
Basswood Opportunity Partners, LP
 
7/28/2015
 
10,453
 
14.58
 
BCM Select Equity I Master, Ltd.
 
7/28/2015
 
57,543
 
14.43
 
BCM Select Equity I Master, Ltd.
 
7/28/2015
 
80,561
 
14.58
 
Managed Account
 
7/28/2015
 
38,110
 
14.43
 
 

 
30

Entity
Trade Date
Shares Purchased (Sold)
Price
Managed Account
 
7/28/2015
 
53,354
 
14.58
 
Managed Account
 
7/28/2015
 
36,264
 
14.43
 
Managed Account
 
7/28/2015
 
50,770
 
14.58
 
Managed Account
 
7/28/2015
 
36,264
 
14.43
 
Managed Account
 
7/28/2015
 
50,770
 
14.58
 
Basswood Enhanced Long Short Fund, LP
 
7/29/2015
 
100,572
 
14.72
 
Basswood Enhanced Long Short Fund, LP
 
7/29/2015
 
10,138
 
14.67
 
Basswood Enhanced Long Short Fund, LP
 
7/29/2015
 
25,323
 
14.71
 
Basswood Enhanced Long Short Fund, LP
 
7/29/2015
 
6,291
 
14.64
 
Basswood Financial Fund, Inc.
 
7/29/2015
 
991
 
14.72
 
Basswood Financial Fund, Inc.
 
7/29/2015
 
99
 
14.67
 
Basswood Financial Fund, Inc.
 
7/29/2015
 
249
 
14.71
 
Basswood Financial Fund, Inc.
 
7/29/2015
 
61
 
14.64
 
Basswood Financial Fund, Inc.
 
7/29/2015
 
1,558
 
14.72
 
Basswood Financial Fund, Inc.
 
7/29/2015
 
156
 
14.67
 
Basswood Financial Fund, Inc.
 
7/29/2015
 
392
 
14.71
 
Basswood Financial Fund, Inc.
 
7/29/2015
 
97
 
14.64
 
Basswood Financial Fund, LP
 
7/29/2015
 
5,836
 
14.72
 
Basswood Financial Fund, LP
 
7/29/2015
 
588
 
14.67
 
Basswood Financial Fund, LP
 
7/29/2015
 
1,469
 
14.71
 
Basswood Financial Fund, LP
 
7/29/2015
 
364
 
14.64
 
Basswood Financial Long Only Fund, LP
 
7/29/2015
 
1,274
 
14.72
 
 

 
31

Entity
Trade Date
Shares Purchased (Sold)
Price
Basswood Financial Long Only Fund, LP
 
7/29/2015
 
128
 
14.67
 
Basswood Financial Long Only Fund, LP
 
7/29/2015
 
320
 
14.71
 
Basswood Financial Long Only Fund, LP
 
7/29/2015
 
79
 
14.64
 
Basswood Financial Long Only Fund, LP
 
7/29/2015
 
288
 
14.72
 
Basswood Financial Long Only Fund, LP
 
7/29/2015
 
29
 
14.67
 
Basswood Financial Long Only Fund, LP
 
7/29/2015
 
72
 
14.71
 
Basswood Financial Long Only Fund, LP
 
7/29/2015
 
18
 
14.64
 
Basswood Opportunity Fund, Inc.
 
7/29/2015
 
8,442
 
14.72
 
Basswood Opportunity Fund, Inc.
 
7/29/2015
 
850
 
14.67
 
Basswood Opportunity Fund, Inc.
 
7/29/2015
 
2,125
 
14.71
 
Basswood Opportunity Fund, Inc.
 
7/29/2015
 
527
 
14.64
 
Basswood Opportunity Partners, LP
 
7/29/2015
 
11,946
 
14.72
 
Basswood Opportunity Partners, LP
 
7/29/2015
 
1,203
 
14.67
 
Basswood Opportunity Partners, LP
 
7/29/2015
 
3,007
 
14.71
 
Basswood Opportunity Partners, LP
 
7/29/2015
 
746
 
14.64
 
BCM Select Equity I Master, Ltd.
 
7/29/2015
 
92,070
 
14.72
 
BCM Select Equity I Master, Ltd.
 
7/29/2015
 
9,276
 
14.67
 
BCM Select Equity I Master, Ltd.
 
7/29/2015
 
23,178
 
14.71
 
BCM Select Equity I Master, Ltd.
 
7/29/2015
 
5,754
 
14.64
 
Managed Account
 
7/29/2015
 
60,977
 
14.72
 
Managed Account
 
7/29/2015
 
6,143
 
14.67
 
Managed Account
 
7/29/2015
 
15,351
 
14.71
 
Managed Account
 
7/29/2015
 
3,811
 
14.64
 
 

 
32

Entity
Trade Date
Shares Purchased (Sold)
Price
Managed Account
 
7/29/2015
 
58,023
 
14.72
 
Managed Account
 
7/29/2015
 
5,845
 
14.67
 
Managed Account
 
7/29/2015
 
14,607
 
14.71
 
Managed Account
 
7/29/2015
 
3,626
 
14.64
 
Managed Account
 
7/29/2015
 
58,023
 
14.72
 
Managed Account
 
7/29/2015
 
5,845
 
14.67
 
Managed Account
 
7/29/2015
 
14,607
 
14.71
 
Managed Account
 
7/29/2015
 
3,626
 
14.64
 
Basswood Enhanced Long Short Fund, LP
 
7/30/2015
 
50,287
 
14.86
 
Basswood Enhanced Long Short Fund, LP
 
7/30/2015
 
1,891
 
14.76
 
Basswood Enhanced Long Short Fund, LP
 
7/30/2015
 
1,840
 
14.85
 
Basswood Financial Fund, Inc.
 
7/30/2015
 
496
 
14.86
 
Basswood Financial Fund, Inc.
 
7/30/2015
 
18
 
14.76
 
Basswood Financial Fund, Inc.
 
7/30/2015
 
18
 
14.85
 
Basswood Financial Fund, Inc.
 
7/30/2015
 
779
 
14.86
 
Basswood Financial Fund, Inc.
 
7/30/2015
 
29
 
14.76
 
Basswood Financial Fund, Inc.
 
7/30/2015
 
28
 
14.85
 
Basswood Financial Fund, LP
 
7/30/2015
 
2,918
 
14.86
 
Basswood Financial Fund, LP
 
7/30/2015
 
109
 
14.76
 
Basswood Financial Fund, LP
 
7/30/2015
 
106
 
14.85
 
Basswood Financial Long Only Fund, LP
 
7/30/2015
 
637
 
14.86
 
Basswood Financial Long Only Fund, LP
 
7/30/2015
 
23
 
14.76
 
Basswood Financial Long Only Fund, LP
 
7/30/2015
 
23
 
14.84
 
 

 
33

Entity
Trade Date
Shares Purchased (Sold)
Price
Basswood Financial Long Only Fund, LP
 
7/30/2015
 
144
 
14.86
 
Basswood Financial Long Only Fund, LP
 
7/30/2015
 
5
 
14.76
 
Basswood Financial Long Only Fund, LP
 
7/30/2015
 
5
 
14.84
 
Basswood Opportunity Fund, Inc.
 
7/30/2015
 
4,221
 
14.86
 
Basswood Opportunity Fund, Inc.
 
7/30/2015
 
158
 
14.76
 
Basswood Opportunity Fund, Inc.
 
7/30/2015
 
154
 
14.85
 
Basswood Opportunity Partners, LP
 
7/30/2015
 
5,973
 
14.86
 
Basswood Opportunity Partners, LP
 
7/30/2015
 
224
 
14.76
 
Basswood Opportunity Partners, LP
 
7/30/2015
 
218
 
14.85
 
BCM Select Equity I Master, Ltd.
 
7/30/2015
 
46,035
 
14.86
 
BCM Select Equity I Master, Ltd.
 
7/30/2015
 
1,726
 
14.76
 
BCM Select Equity I Master, Ltd.
 
7/30/2015
 
1,680
 
14.85
 
Managed Account
 
7/30/2015
 
30,488
 
14.86
 
Managed Account
 
7/30/2015
 
1,143
 
14.76
 
Managed Account
 
7/30/2015
 
1,112
 
14.85
 
Managed Account
 
7/30/2015
 
29,011
 
14.86
 
Managed Account
 
7/30/2015
 
1,087
 
14.76
 
Managed Account
 
7/30/2015
 
1,058
 
14.85
 
Managed Account
 
7/30/2015
 
29,011
 
14.86
 
Managed Account
 
7/30/2015
 
1,087
 
14.76
 
Managed Account
 
7/30/2015
 
1,058
 
14.85
 
Basswood Enhanced Long Short Fund, LP
 
7/31/2015
 
85,749
 
15.06
 
Basswood Enhanced Long Short Fund, LP
 
7/31/2015
 
19,131
 
14.95
 
 

 
34

Entity
Trade Date
Shares Purchased (Sold)
Price
Basswood Financial Fund, Inc.
 
7/31/2015
 
836
 
15.06
 
Basswood Financial Fund, Inc.
 
7/31/2015
 
1,204
 
15.06
 
Basswood Financial Fund, Inc.
 
7/31/2015
 
186
 
14.95
 
Basswood Financial Fund, Inc.
 
7/31/2015
 
268
 
14.95
 
Basswood Financial Fund, LP
 
7/31/2015
 
4,762
 
15.06
 
Basswood Financial Fund, LP
 
7/31/2015
 
1,062
 
14.95
 
Basswood Financial Long Only Fund, LP
 
7/31/2015
 
1,060
 
15.06
 
Basswood Financial Long Only Fund, LP
 
7/31/2015
 
236
 
14.95
 
Basswood Financial Long Only Fund, LP
 
7/31/2015
 
287
 
15.06
 
Basswood Financial Long Only Fund, LP
 
7/31/2015
 
64
 
14.95
 
Basswood Opportunity Fund, Inc.
 
7/31/2015
 
7,220
 
15.06
 
Basswood Opportunity Fund, Inc.
 
7/31/2015
 
1,610
 
14.95
 
Basswood Opportunity Partners, LP
 
7/31/2015
 
10,165
 
15.06
 
Basswood Opportunity Partners, LP
 
7/31/2015
 
2,268
 
14.95
 
BCM Select Equity I Master, Ltd.
 
7/31/2015
 
94,346
 
15.06
 
BCM Select Equity I Master, Ltd.
 
7/31/2015
 
21,054
 
14.95
 
Managed Account
 
7/31/2015
 
58,741
 
15.06
 
Managed Account
 
7/31/2015
 
13,105
 
14.95
 
Managed Account
 
7/31/2015
 
58,977
 
15.06
 
Managed Account
 
7/31/2015
 
58,977
 
15.06
 
Managed Account
 
7/31/2015
 
13,158
 
14.95
 
Managed Account
 
7/31/2015
 
13,158
 
14.95
 

 
 
 
 
 
 
35

Entity
Trade Date
Shares Purchased(Sold)
Price
Basswood Enhanced Long Short Fund, LP
 
8/3/2015
 
129,304
 
15.23
 
Basswood Enhanced Long Short Fund, LP
 
8/3/2015
 
66,256
 
15.14
 
Basswood Financial Fund, Inc.
 
8/3/2015
 
5,873
 
15.23
 
Basswood Financial Fund, Inc.
 
8/3/2015
 
1,967
 
15.23
 
Basswood Financial Fund, Inc.
 
8/3/2015
 
3,009
 
15.14
 
Basswood Financial Fund, Inc.
 
8/3/2015
 
1,007
 
15.14
 
Basswood Financial Fund, LP
 
8/3/2015
 
8,038
 
15.23
 
Basswood Financial Fund, LP
 
8/3/2015
 
4,118
 
15.14
 
Basswood Financial Long Only Fund, LP
 
8/3/2015
 
6,989
 
15.23
 
Basswood Financial Long Only Fund, LP
 
8/3/2015
 
3,581
 
15.14
 
Basswood Financial Long Only Fund, LP
 
8/3/2015
 
488
 
15.23
 
Basswood Financial Long Only Fund, LP
 
8/3/2015
 
250
 
15.14
 
Basswood Opportunity Fund, Inc.
 
8/3/2015
 
12,654
 
15.23
 
Basswood Opportunity Fund, Inc.
 
8/3/2015
 
6,484
 
15.14
 
Basswood Opportunity Partners, LP
 
8/3/2015
 
17,007
 
15.23
 
Basswood Opportunity Partners, LP
 
8/3/2015
 
8,714
 
15.14
 
BCM Select Equity I Master, Ltd.
 
8/3/2015
 
174,777
 
15.23
 
BCM Select Equity I Master, Ltd.
 
8/3/2015
 
89,561
 
15.14
 
Managed Account
 
8/3/2015
 
103,992
 
15.23
 
Managed Account
 
8/3/2015
 
53,286
 
15.14
 
Managed Account
 
8/3/2015
 
109,323
 
15.23
 
Managed Account
 
8/3/2015
 
109,323
 
15.23
 
Managed Account
 
8/3/2015
 
56,017
 
15.14
 
Managed Account
 
8/3/2015
 
56,017
 
15.14
 
 
 
 
 
36

SIGNATURES

After reasonable inquiry and to the best of each of the undersigned’s knowledge and belief, each of the undersigned, severally and not jointly, certifies that the information set forth in this statement is true, complete and correct.
 

Dated: August 3, 2015
BASSWOOD CAPITAL MANAGEMENT, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum              
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
Dated: August 3, 2015
BASSWOOD PARTNERS, L.L.C.
   
   
   
 
   By:  /s/ Matthew Lindenbaum              
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
Dated: August 3, 2015
BASSWOOD ENHANCED LONG SHORT GP, LLC
   
   
   
 
   By:  /s/ Matthew Lindenbaum            
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
   
Dated: August 3, 2015
BASSWOOD ENHANCED LONG SHORT FUND, LP
 
   By: Basswood Capital Management, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum              
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
 
 
 

Dated: August 3, 2015
BASSWOOD FINANCIAL FUND, LP
 
   By: Basswood Capital Management, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum               
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
   
Dated: August 3, 2015
BASSWOOD FINANCIAL LONG ONLY FUND, LP
 
   By: Basswood Capital Management, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum              
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
   
Dated: August 3, 2015
BASSWOOD FINANCIAL FUND, INC.
 
   By: Basswood Capital Management, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum             
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
   
Dated: August 3, 2015
Basswood Opportunity Partners, LP
 
   By: Basswood Capital Management, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum              
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
 
 
 Dated: August 3, 2015 Basswood Opportunity Fund, Inc.
    By: Basswood Capital Management, L.L.C.
 
 
  By:  /s/ Matthew Lindenbaum              
 
Name: Matthew Lindenbaum
 
Title: Managing Member
 
 
 
 Dated: August 3, 2015 BOULEVARD DIRECT MASTER, LTD.
    By: Basswood Capital Management, L.L.C.
 
 
  By:  /s/ Matthew Lindenbaum              
 
Name: Matthew Lindenbaum
 
Title: Managing Member
 
 
 
 
 
 
 

 
 
 
 
 
 Dated: August 3, 2015 BCM SELECT EQUITY I MASTER, LTD.
 
 
  By:  /s/ Matthew Lindenbaum              
 
Name: Matthew Lindenbaum
 
Title: Managing Member
 
 
 
 Dated: August 3, 2015 1994 GARDEN STATE, LP
 
 
  By:  /s/ Matthew Lindenbaum              
 
Name: Matthew Lindenbaum
 
Title: General Partner
 
 
   
Dated: August 3, 2015
/s/ Matthew Lindenbaum                 
 
Matthew Lindenbaum
   
   
Dated: August 3, 2015
/s/ Bennett Lindenbaum                  
 
Bennett Lindenbaum

 
EX-99.1 2 b14912801b.htm JOINT FILING AGREEMENT
Exhibit 99.1

JOINT FILING AGREEMENT

PURSUANT TO RULE 13d-1(k)

           The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements.  The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him or it contained herein or therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent that he or it knows or has reason to believe that such information is inaccurate.
 

Dated: August 3, 2015
BASSWOOD CAPITAL MANAGEMENT, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum              
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
Dated: August 3, 2015
BASSWOOD PARTNERS, L.L.C.
   
   
   
 
   By:  /s/ Matthew Lindenbaum              
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
Dated: August 3, 2015
BASSWOOD ENHANCED LONG SHORT GP, LLC
   
   
   
 
   By:  /s/ Matthew Lindenbaum            
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
   
Dated: August 3, 2015
BASSWOOD ENHANCED LONG SHORT FUND, LP
 
   By: Basswood Capital Management, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum              
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
 
 

Dated: August 3, 2015
BASSWOOD FINANCIAL FUND, LP
 
   By: Basswood Capital Management, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum               
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
   
Dated: August 3, 2015
BASSWOOD FINANCIAL LONG ONLY FUND, LP
 
   By: Basswood Capital Management, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum              
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
   
Dated: August 3, 2015
BASSWOOD FINANCIAL FUND, INC.
 
   By: Basswood Capital Management, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum             
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
   
   
Dated: August 3, 2015
Basswood Opportunity Partners, LP
 
   By: Basswood Capital Management, L.L.C.
   
   
 
   By:  /s/ Matthew Lindenbaum              
   
Name: Matthew Lindenbaum
   
Title: Managing Member
   
 
 
 Dated: August 3, 2015 Basswood Opportunity Fund, Inc.
    By: Basswood Capital Management, L.L.C.
 
 
  By:  /s/ Matthew Lindenbaum              
 
Name: Matthew Lindenbaum
 
Title: Managing Member
 
 
 
 Dated: August 3, 2015 BOULEVARD DIRECT MASTER, LTD.
    By: Basswood Capital Management, L.L.C.
 
 
  By:  /s/ Matthew Lindenbaum              
 
Name: Matthew Lindenbaum
 
Title: Managing Member
 
 
 
 
 
 

 
 
 
 
 
 Dated: August 3, 2015 BCM SELECT EQUITY I MASTER, LTD.
 
 
  By:  /s/ Matthew Lindenbaum              
 
Name: Matthew Lindenbaum
 
Title: Managing Member
 
 
 
 Dated: August 3, 2015 1994 GARDEN STATE, LP
 
 
  By:  /s/ Matthew Lindenbaum              
 
Name: Matthew Lindenbaum
 
Title: General Partner
 
 
   
Dated: August 3, 2015
/s/ Matthew Lindenbaum                 
 
Matthew Lindenbaum
   
   
Dated: August 3, 2015
/s/ Bennett Lindenbaum                  
 
Bennett Lindenbaum