0001405086-16-000664.txt : 20161114
0001405086-16-000664.hdr.sgml : 20161111
20161114100938
ACCESSION NUMBER: 0001405086-16-000664
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161114
DATE AS OF CHANGE: 20161114
EFFECTIVENESS DATE: 20161114
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: 161991617
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
09-30-2016
09-30-2016
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
11-14-2016
0
162
2094318
false
INFORMATION TABLE
2
basswood-table3-9-30-2016.xml
1ST CONSTITUTION BANCORP
COM
31986N102
674
49033
SH
SOLE
49033
0
0
AERCAP HOLDINGS NV
SHS
N00985106
16340
424519
SH
SOLE
424519
0
0
AIR LEASE CORP
CL A
00912X302
18546
648922
SH
SOLE
648922
0
0
AMERIPRISE FINANCIAL
COM
03076C106
9363
93846
SH
SOLE
93846
0
0
ANIXTER INTL INC
COM
035290105
18476
286456
SH
SOLE
286456
0
0
APPLE INC.
COM
037833100
2939
25994
SH
SOLE
25994
0
0
ASTORIA FINANCIAL CORP.
COM
046265104
24973
1710458
SH
SOLE
1710458
0
0
BANCORP OF NEW JERSEY INC.
COM
059915108
819
72041
SH
SOLE
72041
0
0
BANK OF AMERICA CORP.
COM
060505104
18280
1168038
SH
SOLE
1168038
0
0
BANK OF MARIN BANCORP
COM
063425102
17451
350918
SH
SOLE
350918
0
0
BANK OF NEW YORK MELLON CORP
COM
064058100
7886
197734
SH
SOLE
197734
0
0
BANK OF THE JAMES FINANCIAL GP
COM
470299108
2617
215374
SH
SOLE
215374
0
0
BANKFINANCIAL CORPORATION
COM
06643P104
1764
138923
SH
SOLE
138923
0
0
BANNER CORPORATION
COM NEW
06652V208
26143
597698
SH
SOLE
597698
0
0
BEACON ROOFING SUPPLY INC.
COM
073685109
14893
354004
SH
SOLE
354004
0
0
BELDEN INC.
COM
077454106
45885
665096
SH
SOLE
665096
0
0
BLACKROCK INC.
COM
09247X101
3523
9719
SH
SOLE
9719
0
0
BOFI HLDG INC
COM
05566U108
22372
998729
SH
SOLE
998729
0
0
BRIDGE BANCORP, INC.
COM
108035106
46012
1609369
SH
SOLE
1609369
0
0
BRYN MAWR BANK CORP
COM
117665109
18891
590532
SH
SOLE
590532
0
0
BUILDERS FIRSTSOURCE, INC.
COM
12008R107
3375
293220
SH
SOLE
293220
0
0
CALATLANTIC GROUP INC.
COM
128195104
4570
136662
SH
SOLE
136662
0
0
CAMDEN NATIONAL CORP.
COM
133034108
10352
216840
SH
SOLE
216840
0
0
CAPITAL ONE FINANCIAL CORP.
COM
14040H105
32511
452611
SH
SOLE
452611
0
0
CARLISLE COS INC.
COM
142339100
34655
337866
SH
SOLE
337866
0
0
CAROLINA BK HLDGS INC GREENS
COM
143785103
2874
147291
SH
SOLE
147291
0
0
CASCADE BANCORP
COM
147154207
21837
3603486
SH
SOLE
3603486
0
0
CENTRAL VALLEY CMNTY BANCORP
COM
155685100
8792
554365
SH
SOLE
554365
0
0
CENTURY CMNTYS INC
COM
156504300
7170
333350
SH
SOLE
333350
0
0
CITIGROUP INC.
COM
172967424
9118
193061
SH
SOLE
193061
0
0
CITIZENS FINANCIAL GROUP INC.
COM
174610105
66924
2708365
SH
SOLE
2708365
0
0
COMERICA, INC.
COM
200340107
27684
585040
SH
SOLE
585040
0
0
COUSINS PROPERTIES INC.
COM
222795106
153
14659
SH
SOLE
14659
0
0
COVENANT TRANSPORTATION GROUP INC.
CL A
22284P105
2846
147248
SH
SOLE
147248
0
0
CSX CORP.
COM
126408103
4171
136767
SH
SOLE
136767
0
0
CU BANCORP CALIF
COM
126534106
21334
935291
SH
SOLE
935291
0
0
DANA INCORPORATED
COM
235825205
4044
259388
SH
SOLE
259388
0
0
DELPHI AUTOMOTIVE PLC
SHS
G27823106
2796
39210
SH
SOLE
39210
0
0
DELTA AIR LINES INC
COM
247361702
2753
69944
SH
SOLE
69944
0
0
DIAMOND OFFSHORE DRILLING, INC.
COM
25271C102
148
8417
SH
SOLE
8417
0
0
EAGLE BANCORP, INC. MD
COM
268948106
2270
46014
SH
SOLE
46014
0
0
EAST WEST BANCORP INC
COM
27579R104
14979
408038
SH
SOLE
408038
0
0
EMCOR GROUP INC.
COM
29084Q100
9617
161305
SH
SOLE
161305
0
0
ENSCO PLC
SH CL A
G3157S106
68
7986
SH
SOLE
7986
0
0
EQUITY BANCSHARES INC
COM CL A
29460X109
6832
263383
SH
SOLE
263383
0
0
ESSENT GROUP LTD.
COM
G3198U102
4879
183367
SH
SOLE
183367
0
0
FARMERS CAP BK CORP
COM
309562106
21153
713677
SH
SOLE
713677
0
0
FCB FINL HLDGS INC
CL A
30255G103
2067
53788
SH
SOLE
53788
0
0
FELCOR LODGING TRUST INC
COM
31430F101
444
69095
SH
SOLE
69095
0
0
FIDELITY NATIONAL FINANCIAL INC.
FNF GROUP COM
31620R303
12335
334183
SH
SOLE
334183
0
0
FIDELITY NATL INFORMATION SV
COM
31620M106
11314
146883
SH
SOLE
146883
0
0
FIDELITY SOUTHERN CORP
COM
316394105
3531
192010
SH
SOLE
192010
0
0
FIFTH THIRD BANCORP
COM
316773100
19396
948016
SH
SOLE
948016
0
0
FIRST AMERN FINL CORP
COM
31847R102
17072
434619
SH
SOLE
434619
0
0
FIRST BANCORP
COM
318910106
1559
78755
SH
SOLE
78755
0
0
FIRST BUSEY CORP
CoM NEW
319383204
2649
117193
SH
SOLE
117193
0
0
FIRST CTZNS BANCSHARES INC N
CL A
31946M103
4417
15028
SH
SOLE
15028
0
0
FIRST FNDTN INC
COM
32026V104
13414
543753
SH
SOLE
543753
0
0
FIRST INDUSTRIAL REALTY TRUS
COM
32054K103
593
21003
SH
SOLE
21003
0
0
FIRST NIAGARA FINL GP INC
COM
33582V108
4
387
SH
SOLE
387
0
0
FIRST SOUTH BANCORP INC VA
COM
33646W100
3671
369084
SH
SOLE
369084
0
0
FNB CORPORATION
COM
302520101
3682
299316
SH
SOLE
299316
0
0
FIDELITY NATIONAL FINANCIAL
FNFV GROUP COM
31620R402
1390
111383
SH
SOLE
111383
0
0
GUARANTY BANCORP DEL
COM NEW
40075T607
23118
1295115
SH
SOLE
1295115
0
0
HALLIBURTON CO
COM
406216101
5037
112234
SH
SOLE
112234
0
0
HARLEY DAVIDSON INC
COM
412822108
23887
454214
SH
SOLE
454214
0
0
HERITAGE FINL CORP WASH
COM
42722X106
1085
60466
SH
SOLE
60466
0
0
HERITAGE OAKS BANCORP
COM
42724R107
17393
2121089
SH
SOLE
2121089
0
0
HONEYWELL INTL INC
COM
438516106
19022
163150
SH
SOLE
163150
0
0
HORIZON BANCORP IND
COM
440407104
4208
143215
SH
SOLE
143215
0
0
HOULIHAN LOKEY INC
CL A
441593100
3394
135508
SH
SOLE
135508
0
0
HUNTINGTON BANCSHARES
COM
446150104
32835
3330132
SH
SOLE
3330132
0
0
INDEPENDENT BANK CORP MICH
COM NEW
453838609
17469
1037940
SH
SOLE
1037940
0
0
INSTALLED BLDG PRODS INC
COM
45780R101
5885
164076
SH
SOLE
164076
0
0
INVESTORS BANCORP INC NEW
COM
46146L101
4908
408656
SH
SOLE
408656
0
0
J ALEXANDERS HLDGS INC
COM
46609J106
195
19238
SH
SOLE
19238
0
0
JACOBS ENGR GROUP INC DEL
COM
469814107
713
13780
SH
SOLE
13780
0
0
JP MORGAN CHASE & CO.
COM
46625H100
48811
733012
SH
SOLE
733012
0
0
KEYCORP NEW
COM
493267108
37611
3090441
SH
SOLE
3090441
0
0
KINDER MORGAN INC.
COM
49456B101
2918
126163
SH
SOLE
126163
0
0
LAKELAND BANCORP, INC.
COM
511637100
10126
721191
SH
SOLE
721191
0
0
LEAR CORP.
Com new
521865204
12875
106210
SH
SOLE
106210
0
0
LENNAR CORP.
CL A
526057104
2006
47378
SH
SOLE
47378
0
0
M&T BANK CORPORATION
COM
55261F104
4040
34795
SH
SOLE
34795
0
0
MARLIN BUSINESS SVCS CORP
COM
571157106
389
20065
SH
SOLE
20065
0
0
MASCO CORP.
COM
574599106
5989
174565
SH
SOLE
174565
0
0
MB FINANCIAL, INC. NEW
COM
55264U108
5783
152017
SH
SOLE
152017
0
0
MBT FINANCIAL CORP.
COM
578877102
8395
927670
SH
SOLE
927670
0
0
METLIFE INC
COM
59156R108
3565
80239
SH
SOLE
80239
0
0
NEW YORK CMNTY BANCORP INC
COM
649445103
1043
73265
SH
SOLE
73265
0
0
NORWEGIAN CRUISE LINE HOLDINGS
SHS
G66721104
6345
168304
SH
SOLE
168304
0
0
OCEANFIRST FINANCIAL CORP.
COM
675234108
4285
222498
SH
SOLE
222498
0
0
OLD LINE BANCSHARES, INC.
COM
67984M100
6643
336675
SH
SOLE
336675
0
0
OLD NATIONAL BANCORP
COM
680033107
9530
677806
SH
SOLE
677806
0
0
OLD SECOND BANCORP INC ILL
COM
680277100
10708
1288521
SH
SOLE
1288521
0
0
ONEMAIN HOLDINGS INC.
COM
68268W103
24988
807357
SH
SOLE
807357
0
0
OPUS BK IRVINE CALIF
COM
684000102
27279
771247
SH
SOLE
771247
0
0
ORRSTOWN FINANCIAL SERVICES, INC.
COM
687380105
9890
500741
SH
SOLE
500741
0
0
OWENS CORNING NEW
COM
690742101
20131
377054
SH
SOLE
377054
0
0
PACIFIC CONTINENTAL CORP
COM
69412V108
17958
1067683
SH
SOLE
1067683
0
0
PACIFIC PREMIER BANCORP, INC.
COM
69478X105
6643
251040
SH
SOLE
251040
0
0
PACWEST BANCORP
COM
695263103
20359
474459
SH
SOLE
474459
0
0
PEAPACK-GLADSTONE FINL CORP
COM
704699107
24650
1099971
SH
SOLE
1099971
0
0
PENNYMAC FINL SVCS INC
CL A
70932B101
7841
460967
SH
SOLE
460967
0
0
PNC FINL SVCS GROUP INC
COM
693475105
29247
324637
SH
SOLE
324637
0
0
POPULAR, INC.
COM NEW
733174700
2038
53325
SH
SOLE
53325
0
0
PREFERRED BK LOS ANGELES CA
COM NEW
740367404
20548
574761
SH
SOLE
574761
0
0
PREMIER FINANCIAL BANCORP INC.
COM
74050M105
2892
168756
SH
SOLE
168756
0
0
PRIVATEBANCORP INC
COM
742962103
5025
109421
SH
SOLE
109421
0
0
PROVIDENT BANCORP INC
COM
74383X109
2798
179355
SH
SOLE
179355
0
0
PULTE GROUP INC
COM
745867101
4071
203162
SH
SOLE
203162
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
3
137
SH
Put
SOLE
137
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
778
40318
SH
Put
SOLE
40318
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
438
22677
SH
Put
SOLE
22677
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
246
1139
SH
Put
SOLE
1139
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
40
185
SH
Put
SOLE
185
0
0
REGIONAL MGMT CORP
COM
75902K106
21012
970514
SH
SOLE
970514
0
0
REGIONS FINL CORP NEW
COM
7591EP100
303596
30759510
SH
SOLE
30759510
0
0
REPUBLIC FIRST BANCORP, INC.
COM
760416107
6857
1668344
SH
SOLE
1668344
0
0
RIVERVIEW BANCORP, INC.
COM
769397100
2292
426062
SH
SOLE
426062
0
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
2011
32456
SH
SOLE
32456
0
0
RYDER SYSTEM INC
COM
783549108
6614
100291
SH
SOLE
100291
0
0
SEACOAST BKG CORP FLA
Com new
811707801
34942
2171666
SH
SOLE
2171666
0
0
SHORE BANCSHARES INC
COM
825107105
5268
447199
SH
SOLE
447199
0
0
SIGNATURE BK NEW YORK N Y
COM
82669G104
31060
262217
SH
SOLE
262217
0
0
SVB FINL GROUP
COM
78486Q101
38730
350372
SH
SOLE
350372
0
0
SOUTH STATE CORP.
COM
840441109
3178
42350
SH
SOLE
42350
0
0
SOUTHERN FIRST BANCSHARES IN
COM
842873101
2234
81017
SH
SOLE
81017
0
0
SPDR SERIES TRUST
S&P BK ETF
78464A797
674
20179
SH
SOLE
20179
0
0
SPX CORP
COM
784635104
646
32072
SH
SOLE
32072
0
0
SPX FLOW INC
COM
78469X107
992
32072
SH
SOLE
32072
0
0
STATE STREET CORP.
COM
857477103
4831
69388
SH
SOLE
69388
0
0
STERLING BANCORP
COM
85917A100
9475
541457
SH
SOLE
541457
0
0
STEWART INFORMATION SVCS COR
COM
860372101
13767
309725
SH
SOLE
309725
0
0
STONEGATE BK FT LAUDERDALE F
COM
861811107
4314
127820
SH
SOLE
127820
0
0
SUFFOLK BANCORP
COM
864739107
3205
92163
SH
SOLE
92163
0
0
SUNSHINE BANCORP INC.
COM
86777J108
1984
134206
SH
SOLE
134206
0
0
SUNTRUST BANKS
COM
867914103
1739
39695
SH
SOLE
39695
0
0
SUSSEX BANCORP
COM
869245100
3390
207573
SH
SOLE
207573
0
0
SWIFT TRANSPORTATION CO.
COM
87074U101
5279
245898
SH
SOLE
245898
0
0
SYNOVUS FINANCIAL CORP.
COM
87161C501
9482
291486
SH
SOLE
291486
0
0
TEREX CORPORATION
COM
880779103
3950
155437
SH
SOLE
155437
0
0
COMMUNITY FINL CORP MD
COM
20368X101
10572
457658
SH
SOLE
457658
0
0
FIRST LONG IS CORP
COM
320734106
28995
874672
SH
SOLE
874672
0
0
TIMBERLAND BANCORP, INC.
COM
887098101
1120
71096
SH
SOLE
71096
0
0
TOLL BROTHERS INC.
COM
889478103
4068
136227
SH
SOLE
136227
0
0
TOPBUILD CORP.
COM
89055F103
644
19396
SH
SOLE
19396
0
0
TRI POINTE GROUP, INC.
COM
87265H109
2581
195799
SH
SOLE
195799
0
0
TRICO BANCSHARES
COM
896095106
3694
137982
SH
SOLE
137982
0
0
TRIUMPH BANCORP INC.
COM
89679E300
17334
873684
SH
SOLE
873684
0
0
UNITED BANKSHARES INC WEST V
COM
909907107
6787
180165
SH
SOLE
180165
0
0
US BANCORP
COM
902973304
49412
1152064
SH
SOLE
1152064
0
0
VALLEY NATIONAL BANCORP
COM
919794107
3175
326307
SH
SOLE
326307
0
0
VERITEX HOLDINGS INC.
COM
923451108
17088
982648
SH
SOLE
982648
0
0
WASHINGTONFIRST BANKSHARES I
COM
940730104
11663
473899
SH
SOLE
473899
0
0
WCI CMNTYS INC
COM PAR $0.01
92923C807
3359
141607
SH
SOLE
141607
0
0
WELLS FARGO & CO
COM
949746101
53843
1215959
SH
SOLE
1215959
0
0
WESCO INTL
COM
95082P105
21001
341529
SH
SOLE
341529
0
0
WESTERN ALLIANCE BANCORP
COM
957638109
2827
75297
SH
SOLE
75297
0
0
WILLIS TOWERS WATSON PLC
COM
G96629103
2806
21132
SH
SOLE
21132
0
0
YADKIN FINL CORP
COM
984305102
4039
153614
SH
SOLE
153614
0
0
ZIONS BANCORPORATION
COM
989701107
16424
529467
SH
SOLE
529467
0
0