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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Parallel 2005 Equity Partners, LLC 2100 MCKINNEY AVENUE, SUITE 1200 DALLAS, TX 75201 |
X | X | ||
Parallel 2005 Equity Fund LP 2100 MCKINNEY AVENUE, SUITE 1200 DALLAS, TX 75201 |
X | X | ||
Parallel 2005 Equity Partners, LP 2100 MCKINNEY AVENUE SUITE 1200 DALLAS, TX 75201 |
X | X | ||
FLETCHER FRANK BARRON III 2100 MCKINNEY AVENUE, SUITE 1200 DALLAS, TX 75201 |
X | X |
Parallel 2005 Equity Fund, LP By: Parallel 2005 Equity Partners, LP, the General Partner for Parallel 2005 Equity Fund, LP, /s/ F. Barron Fletcher, III, Authorized Person | 04/04/2012 | |
**Signature of Reporting Person | Date | |
Parallel 2005 Equity Partners, LP By: Parallel 2005 Equity Partners, LLC, the General Partner for Parallel 2005 Equity Partners, LP, /s/ F. Barron Fletcher, III, Authorized Person | 04/04/2012 | |
**Signature of Reporting Person | Date | |
Parallel 2005 Equity Partners, LLC, /s/ F. Barron Fletcher, III, Authorized Person for Parallel 2005 Equity Partners, LLC | 04/04/2012 | |
**Signature of Reporting Person | Date | |
/s/ F. Barron Fletcher, III | 04/04/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This amount represents the $15 public offering price per share of the Issuer's common stock less the underwriting discount of $1.05 per share. |
(2) | These shares of common stock of Regional Management Corp. (the "Issuer") are held by Parallel 2005 Equity Fund, LP. The general partner of Parallel 2005 Equity Fund, LP is Parallel 2005 Equity Partners, LP. The general partner of Parallel 2005 Equity Partners, LP is Parallel 2005 Equity Partners, LLC. F. Barron Fletcher, III is the managing member of Parallel 2005 Equity Partners, LLC. |
Remarks: Jared L. Johnson and Richard T. Dell'Aquila serve on the board of directors of the Issuer as representatives of the Reporting Persons. Jared L. Johnson is a Managing Director of Parallel 2005 Equity Fund, LP. Richard T. Dell'Aquila is a Principal of Parallel 2005 Equity Fund, LP. 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. |