0000930413-14-001596.txt : 20140403 0000930413-14-001596.hdr.sgml : 20140403 20140403195600 ACCESSION NUMBER: 0000930413-14-001596 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20140324 FILED AS OF DATE: 20140403 DATE AS OF CHANGE: 20140403 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HUDSON VALLEY HOLDING CORP CENTRAL INDEX KEY: 0000722256 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 133148745 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 21 SCARSDALE ROAD CITY: YONKERS STATE: NY ZIP: 10707 BUSINESS PHONE: 9149616100 MAIL ADDRESS: STREET 1: 21 SCARSDALE ROAD CITY: YONKERS STATE: NY ZIP: 10707 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BASSWOOD CAPITAL MANAGEMENT, L.L.C. CENTRAL INDEX KEY: 0001085393 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34453 FILM NUMBER: 14744042 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 NAME: FORMER CONFORMED NAME: Basswood Capital Management LLC DATE OF NAME CHANGE: 20130814 FORMER NAME: FORMER CONFORMED NAME: BASSWOOD CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 19990428 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LINDENBAUM MATTHEW A CENTRAL INDEX KEY: 0000927943 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34453 FILM NUMBER: 14744043 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 3 1 c77128_3.xml X0206 3 2014-03-24 0 0000722256 HUDSON VALLEY HOLDING CORP HVB 0000927943 LINDENBAUM MATTHEW A C/O BASSWOOD CAPITAL MANAGEMENT L.L.C. 645 MADISON AVENUE 10TH FLOOR NEW YORK NY 10022 1 0 0 0 0001085393 BASSWOOD CAPITAL MANAGEMENT, L.L.C. 645 MADISON AVENUE 10TH FLOOR NEW YORK NY 10022 0 0 0 1 (see remarks) Common Stock, Par Value $0.20 Per Share 152774 I By Basswood Opportunity Partners, LP Common Stock, Par Value $0.20 Per Share 81181 I By Basswood Financial Fund, LP Common Stock, Par Value $0.20 Per Share 107529 I By Basswood Financial Fund, Inc. Common Stock, Par Value $0.20 Per Share 54655 I By Basswood Financial Long Only Fund, LP Common Stock, Par Value $0.20 Per Share 739423 I By Basswood Enhanced Long Short Fund, LP Common Stock, Par Value $0.20 Per Share 90629 I By Basswood Opportunity Fund, Inc. Common Stock, Par Value $0.20 Per Share 730756 I By Main Street Master, Ltd. Common Stock, Par Value $0.20 Per Share 13127 I By separately managed account See Exhibit 99.1. See Exhibit 99.1. Matthew Lindenbaum, a managing member of Basswood Capital Management, L.L.C. (the "Management Company"), was appointed to the board of directors of Hudson Valley Holding Corp. (the "Issuer") as a representative of the Management Company. Solely for purposes of Section 16 of the Exchange Act of 1934, the Management Company may be deemed to be a director-by-deputization by virtue of its representation on the board of directors of the Issuer. /s/ Matthew Lindenbaum 2012-04-03 EX-99.1 2 c77128_ex99-1.htm

Exhibit 99.1

Designated Filer: Matthew Lindenbaum

Issuer & Ticker Symbol: Hudson Valley Holding Corp. [HVB]

Date of Event Requiring Statement: March 24, 2014

 

Explanation of Responses

 

(1)This Form 3 is being filed on behalf of Mr. Lindenbaum and Basswood Capital Management, L.L.C., a Delaware limited liability company, (the “Management Company”) and relates to the common stock, par value $0.20 per share (“Common Stock”) of the Issuer.
(2)Basswood Opportunity Partners, LP, Basswood Financial Fund, LP, Basswood Enhanced Long Short Fund, LP, Basswood Financial Long Only Fund, LP, each a Delaware limited partnership, Basswood Opportunity Fund, Inc., Basswood Financial Fund, Inc., Main Street Master, Ltd., each a Cayman Islands corporation, (collectively, the “Funds”) directly own shares of Common Stock. The Management Company is the investment manager or adviser to the Funds and certain separately managed accounts (the “SMAs”) and may be deemed to beneficially own the Common Stock directly owned by the Funds and the SMAs by virtue of the authority to vote and to dispose of the securities held by the Funds and the SMAs. Matthew Lindenbaum is a managing member of the Management Company and, along with the other managing member, controls the business activities of the Management Company. The Management Company and Mr. Lindenbaum disclaim beneficial ownership of all shares of the Common Stock held directly by the Funds and the SMAs except to the extent of any indirect pecuniary interest therein.

EX-99.2 3 c77128_ex99-2.htm

Exhibit 99.2

Joint Filer Information and Signatures

Joint Filers:

 

 

1. Name: Matthew Lindenbaum
  Address: c/o Basswood Capital Management, L..L.C.,  645 Madison Avenue, 10th Floor, New York, New York 10022
         
    /s/ Matthew Lindenbaum                        April 3, 2014
    Matthew Lindenbaum   Date
         
         
         
2. Name: Basswood Capital Management, L..L.C.
  Address: 645 Madison Avenue, 10th Floor, New York, New York 10022
         
    BASSWOOD Capital Management, L.L.C.
         
    By: /s/ Matthew Lindenbaum   April 3, 2014
    Name: Matthew Lindenbaum   Date
    Title:  Managing Member