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)
2017-01-17 13D/A SHG / Shinhan Financial Group Co., Ltd. - Depositary Receipt (Common Stock) Bnp Paribas 17,959,504 3.80
2017-01-13 13D HWBK / Hawthorn Bancshares, Inc. Ategra Community Financial Institution Fund, LP 352,956 6.30 13.91
2017-01-13 13D NEWT / NewtekOne, Inc. Newtek Business Services Corp. 998,713 6.83 3.62
2016-12-22 13D/A UMBF / UMB Financial Corporation Revocable Trust of James O. Pohlad C/U/A dated 10/10/87, as amended 823,493 1.66 -28.81
2016-12-22 13D/A CFBK / CF Bankshares Inc. Frauenberg James H II 907,333 5.49 5.96
2016-12-16 13D/A BANC / Banc of California, Inc. PL Capital, LLC 3,421,719 6.90 44.56
2016-12-16 13D CFBK / CF Bankshares Inc. O'Dell Timothy T 882,333 5.36
2016-12-12 13D/A LCG / Northern Lights Fund Trust IV - Sterling Capital Focus Equity ETF TowerBrook Investors, Ltd. 13,126,995 12.00
2016-12-12 13D/A FISI / Financial Institutions, Inc. Clover Partners, L.P. 623,882 4.30 -21.60
2016-11-14 13D/A BANC / Banc of California, Inc. PL Capital Advisors, LLC 3,306,719 6.70 0.30
2016-10-24 13D BANC / Banc of California, Inc. PL Capital Advisors, LLC 3,296,719 6.70
2016-10-06 13D/A NAD / Nuveen Quality Municipal Income Fund Bank Of America Corp /de/ 5,455 100.00 43.36
2016-09-14 13D/A NAD / Nuveen Quality Municipal Income Fund Bank Of America Corp /de/ 3,805 100.00 12.91
2016-09-12 13D/A BANC / Banc of California, Inc. PL Capital, LLC 2,366,919 4.80 6.29
2016-07-06 13D/A NAD / Nuveen Quality Municipal Income Fund Bank Of America Corp /de/ 3,370 100.00
2016-05-27 13D/A CASH / Pathward Financial, Inc. Philadelphia Financial Management of San Francisco, LLC 419,191 4.93 -9.45
2016-04-14 13D/A CASH / Pathward Financial, Inc. Philadelphia Financial Management of San Francisco, LLC 462,938 5.45 -16.98
2016-04-13 13D/A FISI / Financial Institutions, Inc. Clover Partners, L.P. 795,799 5.50 0.00
2016-04-05 13D/A FISI / Financial Institutions, Inc. Clover Partners, L.P. 795,799 5.50 7.74
2016-02-18 13D/A CFBK / CF Bankshares Inc. Cochran Edward W 1,639,667 9.92
2016-02-18 13D/A CFBK / CF Bankshares Inc. Frauenberg James H II 856,333 5.18
2016-01-28 13D/A LCG / Northern Lights Fund Trust IV - Sterling Capital Focus Equity ETF TowerBrook Investors, Ltd. 17,568,656 16.10
2016-01-11 13D NEWT / NewtekOne, Inc. Newtek Business Services Corp. 963,833 6.65
2015-12-29 13D/A CASH / Pathward Financial, Inc. Philadelphia Financial Management of San Francisco, LLC 557,629 6.80 2.11
2015-12-21 13D LCG / Northern Lights Fund Trust IV - Sterling Capital Focus Equity ETF Harris Brian 5,051,582 5.10
2015-12-16 13D FISI / Financial Institutions, Inc. Clover Partners, L.P. 738,636 5.20
2015-12-15 13D/A BANC / Banc of California, Inc. PL Capital, LLC 2,226,919 5.90 0.00
2015-11-30 13D/A BANC / Banc of California, Inc. PL Capital, LLC 2,226,919 5.90 0.00
2015-11-12 13D/A BANC / Banc of California, Inc. PL Capital, LLC 2,226,919 5.90 0.00
2015-11-03 13D/A BANC / Banc of California, Inc. PL Capital, LLC 2,226,919 5.90
2015-09-09 13D/A CASH / Pathward Financial, Inc. Philadelphia Financial Management of San Francisco, LLC 546,117 6.70 35.84
2015-08-27 13D NEWT / NewtekOne, Inc. Sloane Barry 934,113 9.10
2015-07-17 13D SMBK / SmartFinancial, Inc. Barnett & Company, Inc. 189,560 14.00 -1.56
2015-06-10 13D UMBF / UMB Financial Corporation Revocable Trust of James O. Pohlad C/U/A dated 10/10/87, as amended 1,156,826 2.35
2015-05-26 13D/A VABK / Virginia National Bankshares Corporation Swift Run Capital LP 56,422 2.10
2015-04-20 13D SMBK / SmartFinancial, Inc. Barnett & Company, Inc. 192,560 14.00
2015-04-14 13D/A CASH / Pathward Financial, Inc. Philadelphia Financial Management of San Francisco, LLC 402,016 6.30
2015-04-10 13D/A PNBK / Patriot National Bancorp, Inc. PNBK Holdings LLC 3,035,000 76.80
2015-02-20 13D/A IBCA / iShares Trust - iShares iBonds Dec 2035 Term Corp ETF Dansker Lowell S 0 0.00
2015-02-19 13D SMBK / SmartFinancial, Inc. Barnett & Company, Inc. 201,380 14.00
2015-02-17 13D CFBK / CF Bankshares Inc. Frauenberg James H II 836,000 5.12
2015-02-17 13D CFBK / CF Bankshares Inc. Perry Thad R 858,619 5.37
2015-02-12 13D/A OCFC / OceanFirst Financial Corp. Garbarino John R 1,018,435 5.80
2014-11-24 13D/A WSFS / WSFS Financial Corporation Weschler, R. Ted 469,932 4.99
2014-11-10 13D/A BANC / Banc of California, Inc. Patriot Financial Partners Lp 3,100,564 9.33
2014-11-03 13D/A SLRK / Solera National Bancorp, Inc. Solera National Bancorp, Inc. 623,970 23.30
2014-11-03 13D/A BANC / Banc of California, Inc. Patriot Financial Partners Lp 1,200,564 4.28
2014-11-03 13D/A GF / The New Germany Fund, Inc. Lazard Asset Management Llc 3,162,773 19.70
2014-10-30 13D CMTV / Community Bancorp Zucker Anita G 252,555 5.20
2014-09-25 13D/A VABK / Virginia National Bankshares Corporation Swift Run Capital LP 241,741 9.00