0001209191-13-056722.txt : 20131212 0001209191-13-056722.hdr.sgml : 20131212 20131212192137 ACCESSION NUMBER: 0001209191-13-056722 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131210 FILED AS OF DATE: 20131212 DATE AS OF CHANGE: 20131212 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Regional Management Corp. CENTRAL INDEX KEY: 0001519401 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] IRS NUMBER: 570847115 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 509 WEST BUTLER ROAD CITY: GREENVILLE STATE: SC ZIP: 29607 BUSINESS PHONE: 864-422-8011 MAIL ADDRESS: STREET 1: 509 WEST BUTLER ROAD CITY: GREENVILLE STATE: SC ZIP: 29607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rodriguez Marcos A CENTRAL INDEX KEY: 0001525547 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 131274721 MAIL ADDRESS: STREET 1: C/O PALLADIUM EQUITY PARTNERS, LLC STREET 2: 1270 AVENUE OF THE AMERICAS, SUITE 2200 CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Palladium Equity Partners III L P CENTRAL INDEX KEY: 0001307923 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 131274722 BUSINESS ADDRESS: STREET 1: 1270 AVE OF THE AMERICAS STREET 2: SUITE 2200 CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212-218-5150 MAIL ADDRESS: STREET 1: 1270 AVE OF THE AMERICAS STREET 2: SUITE 2200 CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Palladium Equity Partners III, L.L.C. CENTRAL INDEX KEY: 0001525768 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35477 FILM NUMBER: 131274723 BUSINESS ADDRESS: STREET 1: C/O PALLADIUM EQUITY PARTNERS, LLC STREET 2: 1270 AVENUE OF THE AMERICAS, SUITE 2200 CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212-218-5150 MAIL ADDRESS: STREET 1: C/O PALLADIUM EQUITY PARTNERS, LLC STREET 2: 1270 AVENUE OF THE AMERICAS, SUITE 2200 CITY: NEW YORK STATE: NY ZIP: 10020 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-12-10 0 0001519401 Regional Management Corp. RM 0001525768 Palladium Equity Partners III, L.L.C. ROCKEFELLER CENTER 1270 AVENUE OF THE AMERICAS, SUITE 2200 NEW YORK NY 10020 1 0 1 0 0001307923 Palladium Equity Partners III L P ROCKEFELLER CENTER 1270 AVENUE OF THE AMERICAS, SUITE 2200 NEW YORK NY 10020 0 0 1 0 0001525547 Rodriguez Marcos A ROCKEFELLER CENTER 1270 AVENUE OF THE AMERICAS, SUITE 2200 NEW YORK NY 10020 0 0 1 0 Common Stock, par value $0.10 per share 2013-12-10 4 M 0 4000 15.00 A 1148622 I See footnotes Common Stock, par value $0.10 per share 2013-12-10 4 S 0 1148622 29.605 D 0 I See footnotes Stock Option (right to buy) 15.00 2013-12-10 4 M 0 4000 0.00 D 2022-03-27 Common Stock 4000 16000 I See footnotes Includes 1,139,240 shares of common stock of Regional Management Corp. (the "Issuer") held directly by Palladium Equity Partners III, L.P. and 4,691 shares of common stock held by each of David Perez and Erik A. Scott as nominee holders on behalf of Palladium Equity Partners III, L.P. This amount represents the $31.00 public offering price per share of the common stock of the Issuer less the underwriting discount of $1.395 per share. These securities are held by David Perez and Erik A. Scott as nominee holders on behalf of Palladium Equity Partners III, L.P. The general partner of Palladium Equity Partners III, L.P. is Palladium Equity Partners III, L.L.C. Marcos A. Rodriguez is the managing member of Palladium Equity Partners III, L.L.C. Mr. Perez is a Managing Director of Palladium Equity Partners III, L.P. Mr. Scott is a Managing Director of Palladium Equity Partners III, L.P. The option vests in five equal annual installments beginning on March 27, 2013. David Perez and Erik A. Scott serve on the board of directors of the Issuer as representatives of the Reporting Persons. Mr. Perez is chairman of the board of directors of the Issuer and a Managing Director of Palladium Equity Partners III, L.P. Mr. Scott is a member of the board of directors of the Issuer and a Managing Director of Palladium Equity Partners III, L.P. Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, the Reporting Persons state that this filing shall not be an admission that the Reporting Persons are the beneficial owners of any of the securities reported herein, and the Reporting Persons disclaim beneficial ownership of such securities except to the extent of the Reporting Persons' pecuniary interest therein. Palladium Equity Partners III, L.P.: By Palladium Equity Partners III, L.L.C., its general partner, By: /s/ Erik A. Scott Name: Erik A. Scott Title: Attorney-in-Fact for Marcos A. Rodriguez, Managing Member, 2013-12-12 Palladium Equity Partners III, L.L.C. By: Erik A. Scott Name: Erik A. Scott Title: Attorney-in-Fact for Marcos A. Rodriguez, Managing Member 2013-12-12 Marcos A. Rodriguez: By: /s/ Erik A. Scott Name: Erik A. Scott, Title: Attorney-in-Fact for Marcos A. Rodriguez 2013-12-12