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)
2019-09-09 13D/A FUNC / First United Corporation Driver Management Co LLC 360,637 5.08 0.00
2019-09-06 13D/A FUNC / First United Corporation Driver Management Co LLC 360,637 5.08 0.00
2019-09-05 13D FUNC / First United Corporation Driver Management Co LLC 360,637 5.08
2019-06-24 13D/A CBKM / Consumers Bancorp, Inc. Mcclellan Laurie L 140,596 5.10 -64.59
2019-06-24 13D/A CBKM / Consumers Bancorp, Inc. Romain F Fry Family Trust 0 0.00 -100.00
2019-05-13 13D CBKM / Consumers Bancorp, Inc. Romain F Fry Family Trust 341,101 12.40
2019-05-13 13D/A CBKM / Consumers Bancorp, Inc. Mcclellan Laurie L 397,021 14.50
2019-04-16 13D/A OPHC / OptimumBank Holdings, Inc. Chan Heng Fai Ambrose 104,480 5.60 0.00
2019-02-15 13D/A CFBK / CF Bankshares Inc. Cochran Edward W 304,874 7.06 -81.62
2019-02-12 13D/A UBFO / United Security Bancshares Strategic Value Investors LP 917,289 5.40 0.11
2019-01-28 13D NEWT / NewtekOne, Inc. Newtek Business Services Corp. 1,116,929 5.91 11.85
2018-12-17 13D/A NAD / Nuveen Quality Municipal Income Fund Bank Of America Corp /de/ 5,455 100.00 0.00
2018-12-10 13D/A PML / PIMCO Municipal Income Fund II Wells Fargo & Company/mn 687 5.44 0.00
2018-12-03 13D/A NAD / Nuveen Quality Municipal Income Fund Bank Of America Corp /de/ 5,455 100.00 0.00
2018-11-21 13D/A HWBK / Hawthorn Bancshares, Inc. Ategra Community Financial Institution Fund, LP 300,000 4.97 -20.00
2018-10-19 13D OPHC / OptimumBank Holdings, Inc. Chan Heng Fai Ambrose 104,480 6.90
2018-09-24 13D EFR / Eaton Vance Senior Floating-Rate Trust Bank Of America Corp /de/ 614 20.25
2018-09-20 13D/A PML / PIMCO Municipal Income Fund II Wells Fargo & Company/mn 687 5.44 -67.64
2018-09-12 13D PML / PIMCO Municipal Income Fund II Wells Fargo & Company/mn 2,123 14.46
2018-05-29 13D/A PNBK / Patriot National Bancorp, Inc. PNBK Holdings LLC 2,549,761 65.31 14.61
2018-04-26 13D/A BANC / Banc of California, Inc. Legion Partners Asset Management, LLC 2,439,751 4.82 -26.20
2018-04-04 13D/A HWBK / Hawthorn Bancshares, Inc. Ategra Community Financial Institution Fund, LP 375,000 6.50 6.25
2018-02-14 13D UBFO / United Security Bancshares Woods Dennis R 1,101,863 6.50 0.00
2018-02-14 13D/A CFBK / CF Bankshares Inc. Cochran Edward W 1,658,666 7.13 1.16
2018-02-14 13D/A CFBK / CF Bankshares Inc. Frauenberg James H II 933,831 4.02 2.92
2018-02-14 13D/A CFBK / CF Bankshares Inc. O'Dell Timothy T 1,073,778 4.61 21.70
2018-02-12 13D NEWT / NewtekOne, Inc. Newtek Business Services Corp. 998,603 5.55 -0.01
2018-02-07 13D/A PNBK / Patriot National Bancorp, Inc. PNBK Holdings LLC 2,224,761 57.11 -26.70
2017-08-25 13D/A PMM / Putnam Managed Municipal Income Trust Bank Of America Corp /de/ 1,607 91.99
2017-08-25 13D TBBK / The Bancorp, Inc. Castle Creek Capital Partners VI, LP 3,026,598 5.40
2017-08-21 13D/A PMM / Putnam Managed Municipal Income Trust Bulldog Investors, LLP 0 -100.00
2017-06-16 13D/A LCG / Northern Lights Fund Trust IV - Sterling Capital Focus Equity ETF TowerBrook Investors, Ltd. 5,352,322 4.80
2017-05-26 13D/A PMM / Putnam Managed Municipal Income Trust Bulldog Investors, LLP 148 0.00
2017-05-23 13D/A BANC / Banc of California, Inc. Legion Partners Asset Management, LLC 2,938,679 5.60 -10.62
2017-05-16 13D UBFO / United Security Bancshares Strategic Value Investors LP 916,289 5.40
2017-04-20 13D/A LARK / Landmark Bancorp, Inc. Alexander Patrick L 167,997 4.30
2017-03-20 13D PMM / Putnam Managed Municipal Income Trust Bulldog Investors, LLP 148
2017-03-14 13D/A BANC / Banc of California, Inc. Legion Partners Asset Management, LLC 3,287,879 6.60 -0.54
2017-03-13 13D/A LCG / Northern Lights Fund Trust IV - Sterling Capital Focus Equity ETF TowerBrook Investors, Ltd. 10,352,322 9.30
2017-03-13 13D LCG / Northern Lights Fund Trust IV - Sterling Capital Focus Equity ETF Related Real Estate Fund Ii, L.p. 5,886,681 7.80
2017-03-07 13D/A LCG / Northern Lights Fund Trust IV - Sterling Capital Focus Equity ETF OMERS ADMINISTRATION Corp 5,261,553 4.80
2017-03-03 13D/A LCG / Northern Lights Fund Trust IV - Sterling Capital Focus Equity ETF TowerBrook Investors, Ltd. 11,465,378 10.40
2017-02-14 13D/A OCFC / OceanFirst Financial Corp. Garbarino John R 850,495 2.60
2017-02-10 13D/A BANC / Banc of California, Inc. PL Capital Advisors, LLC 3,421,719 6.90 3.48
2017-02-07 13D/A BANC / Banc of California, Inc. Legion Partners Asset Management, LLC 3,305,879 6.60 5.65
2017-02-07 13D/A BANC / Banc of California, Inc. Legion Partners Asset Management, LLC 3,305,879 6.60 5.65
2017-02-03 13D/A LCG / Northern Lights Fund Trust IV - Sterling Capital Focus Equity ETF TowerBrook Investors, Ltd. 13,257,547 12.00
2017-01-24 13D BANC / Banc of California, Inc. Legion Partners Asset Management, LLC 3,129,179 6.30
2017-01-24 13D BANC / Banc of California, Inc. Legion Partners Asset Management, LLC 3,129,179 6.30
2017-01-17 13D/A SHG / Shinhan Financial Group Co., Ltd. - Depositary Receipt (Common Stock) Bnp Paribas 17,959,504 3.80