National Commercial Banks - Latest Activist Disclosures

This table shows recent activist investor (Schedule 13D) filings made in this industry. Any investor or hedge fund that makes an investment with the intention of influencing management is considered an activist investor and must file a 13D.

Date Form Target Company Investor Shares Ownership
(Percent)		 Ownership Change
(Percent)
2024-05-13 13D ECF / Ellsworth Growth and Income Fund Ltd. Saba Capital Management, L.P. 730,857 5.32 15.04
2024-05-07 13D NAD / Nuveen Quality Municipal Income Fund Wells Fargo & Company/mn 4,338 24.97 0.00
2024-05-06 13D/A VGM / Invesco Trust for Investment Grade Municipals Saba Capital Management, L.P. 2,867,862 5.29 4.21
2024-05-03 13D/A NAD / Nuveen Quality Municipal Income Fund Bank Of America Corp /de/ 7,995 46.00 0.00
2024-04-30 13D/A UMBF / UMB Financial Corporation Kemper J Mariner 4,093,195 8.40 -21.96
2024-04-26 13D VGM / Invesco Trust for Investment Grade Municipals Saba Capital Management, L.P. 2,751,986 5.07
2024-04-24 13D PML / PIMCO Municipal Income Fund II Bank Of America Corp /de/ 2,530 62.80
2024-04-22 13D ASRV / AmeriServ Financial, Inc. SB Value Partners, L.P. 1,319,019 7.70 -0.13
2024-04-04 13D/A NAD / Nuveen Quality Municipal Income Fund Bank Of America Corp /de/ 7,995 44.90 0.00
2024-02-22 13D PRME / Prime Medicine, Inc. ARCH Venture Fund XII, L.P. 15,472,674 12.90
2024-02-14 13D/A CFBK / CF Bankshares Inc. Cochran Edward W 344,238 6.50 0.82
2024-01-26 13D NEWT / NewtekOne, Inc. Newtek Business Services Corp. 1,310,038 5.30 2.81
2023-12-19 13D/A BANC / Banc of California, Inc. PL Capital Advisors, LLC 3,255,937 1.90 -5.67
2023-12-01 13D BANC / Banc of California, Inc. Warburg Pincus Llc 15,592,774 9.90
2023-10-10 13D/A PNBK / Patriot National Bancorp, Inc. AFP Forty Six Corp. 360,030 9.10 5.22
2023-09-22 13D/A PML / PIMCO Municipal Income Fund II Wells Fargo & Company/mn 1,242 11.47 80.79
2023-09-11 13D BSEP / Innovator ETFs Trust - Innovator U.S. Equity Buffer ETF - September Sageworth Trust Co
2023-08-09 13D/A ASRV / AmeriServ Financial, Inc. Driver Management Co LLC 273,314 1.60 -81.50
2023-06-29 13D/A ECF.PRA / Ellsworth Growth and Income Fund Ltd. - Preferred Stock Gamco Investors, Inc. Et Al 440,000 17.81 12.82
2023-06-26 13D BSEP / Innovator ETFs Trust - Innovator U.S. Equity Buffer ETF - September Sageworth Trust Co
2023-06-12 13D UBFO / United Security Bancshares Gill Jagroop 1,012,595 5.92
2023-06-06 13D/A UBFO / United Security Bancshares Strategic Value Investors LP 6,814 0.00 -99.27
2023-05-09 13D/A HWBK / Hawthorn Bancshares, Inc. PL Capital Advisors, LLC 297,840 4.40 -12.86
2023-03-03 13D/A BANC / Banc of California, Inc. Patriot Financial Partners Iii, L.p. 2,635,639 4.50 -25.46
2023-02-15 13D/A TRMK / Trustmark Corporation Robert M Hearin Support Foundation 3,983,560 6.54 -4.18
2023-02-14 13D/A CFBK / CF Bankshares Inc. Cochran Edward W 341,424 6.53 0.74
2023-01-31 13D/A UBFO / United Security Bancshares Strategic Value Investors LP 934,309 5.50 0.00
2023-01-31 13D NEWT / NewtekOne, Inc. Newtek Business Services Corp. 1,274,269 5.20 9.85
2023-01-20 13D/A ASRV / AmeriServ Financial, Inc. Driver Management Co LLC 1,477,419 8.60 0.00
2023-01-19 13D/A ASRV / AmeriServ Financial, Inc. Driver Management Co LLC 1,477,419 8.60 0.00
2023-01-18 13D/A ASRV / AmeriServ Financial, Inc. Driver Management Co LLC 1,477,419 8.60 7.22
2023-01-03 13D/A ASRV / AmeriServ Financial, Inc. Driver Management Co LLC 1,377,919 8.10 15.56
2022-12-12 13D/A DCOM / Dime Community Bancshares, Inc. Basswood Capital Management, L.l.c. 2,106,390 5.46 -15.53
2022-11-18 13D ASRV / AmeriServ Financial, Inc. Driver Management Co LLC 1,192,425 7.00
2022-11-18 13D/A BANC / Banc of California, Inc. PL Capital Advisors, LLC 3,451,823 5.80 0.88
2022-08-31 13D/A DCOM / Dime Community Bancshares, Inc. Basswood Capital Management, L.l.c. 2,493,725 6.46 -16.25
2022-07-11 13D ECF.PRA / Ellsworth Growth and Income Fund Ltd. - Preferred Stock Gamco Investors, Inc. Et Al 390,000 10.53
2022-05-26 13D/A CFBK / CF Bankshares Inc. Ancora Advisors, LLC 209,486 4.00 -21.83
2022-05-20 13D/A DCOM / Dime Community Bancshares, Inc. Basswood Capital Management, L.l.c. 2,977,623 7.59
2022-04-11 13D VLY / Valley National Bancorp Bank Leumi Le Israel Bm 71,861,862 14.20
2022-02-17 13D HWBK / Hawthorn Bancshares, Inc. PL Capital Advisors, LLC 341,780 5.20
2022-02-15 13D/A CFBK / CF Bankshares Inc. Cochran Edward W 338,916 6.37 8.66
2022-02-11 13D/A LCNB / LCNB Corp. Lame John C 0 0.00 -100.00
2022-02-11 13D/A TRMK / Trustmark Corporation Robert M Hearin Support Foundation 4,157,323 6.70
2022-02-10 13D/A UBFO / United Security Bancshares Strategic Value Investors LP 934,309 5.50 1.86
2022-02-08 13D CYN / Cyngn Inc. Tal Lior 5,365,004 19.90
2022-01-19 13D/A LCNB / LCNB Corp. Lame John C 695,000 5.59 2.74
2022-01-10 13D NEWT / NewtekOne, Inc. Newtek Business Services Corp. 1,160,037 4.80 0.12
2022-01-04 13D/A NAD / Nuveen Quality Municipal Income Fund Bank Of America Corp /de/ 7,995 39.22 0.00
2021-12-09 13D BANC / Banc of California, Inc. Patriot Financial Partners Iii, L.p. 3,535,639 5.69