BASSWOOD CAPITAL MANAGEMENT, L.L.C.

HTTP://BASSWOODPARTNERS.COM NEW YORK, NY Investment Advisor Hedge Fund How do I update this listing?

Basswood Capital Management is based out of New York. Basswood Capital Management is a large advisory firm with 16 clients and discretionary assets under management (AUM) of $2,819,800,694 (Form ADV from 2018-03-31). Their last reported 13F filing for Q3 2018 included $2,187,099,000 in managed 13F securities and a top 10 holdings concentration of 35.52%. Basswood Capital Management's largest holding is Ally Financial Inc with shares held of 6,770,190. Basswood Capital Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 66 13F filings, 36 13D filings, 158 13G filings, and 20 Form 4 filings

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09/30/2018

13F Sector Allocation Over Time

09/30/2018

13F Activity

  • Market Value $2.187 Billion
  • Prior Market Value $2.122 Billion
  • New Purchases9 stocks
  • Additional Purchases38 stocks
  • Sold out of13 stocks
  • Reduced holdings in28 stocks
  • Top 10 Holdings % 35.52 %
  • Turnover % [1]:16.67%
  • Turnover Alt % [2]: 14.07 %
  • Time Held Top20:11.30 quarters
  • Time Held Top10:17.70 quarters
  • Time Held All:16.05 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2018-11-14

Performance for Q3 2018: -11.47%
Performance Last 4 Quarters: -6.66%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
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Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
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13F Filings Available:
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR/A (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR/A (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR/A (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR/A (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR/A (Subscription required)
  • 2009-06-30 - 13F-HR/A (Subscription required)
  • 2009-06-30 - 13F-HR/A (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR/A (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR/A (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR/A (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
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View Last Form Adv Compilation Report on Record

BASSWOOD CAPITAL MANAGEMENT, L.L.C.
Classified as Hedge Fund
645 MADISON AVENUE 10TH FLOOR
NEW YORK NY    10022
Country: United States

Business Phone: 212-521-9500
Fax: 212-521-9501
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 17
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 2,301,930,000
Total Number of Clients: 16
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 09/30/2018

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ownership team - last updated 2017-03-31
Name Title Start Date Direct/Indirect % Ownership
LINDENBAUM, MATTHEW, AMIEL PRINCIPAL / MANAGING MEMBER 01/01/1999 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BASSWOOD CAPITAL MANAGEMENT, L.L.C. PRINCIPAL direct 1999-01-01
BASSWOOD CAPITAL MANAGEMENT, L.L.C. PRINCIPAL / MANAGING MEMBER direct 1999-01-01
LINDENBAUM, BENNETT, DAVID PRINCIPAL / MANAGING MEMBER 01/01/1999 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BASSWOOD CAPITAL MANAGEMENT, L.L.C. PRINCIPAL direct 1999-01-01
BASSWOOD CAPITAL MANAGEMENT, L.L.C. PRINCIPAL / MANAGING MEMBER direct 1999-01-01
SAMIT, MARC, EVAN PRINCIPAL, CHIEF OPERATING OFFICER / MEMBER 01/01/1999 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BASSWOOD CAPITAL MANAGEMENT, L.L.C. PRINCIPAL, CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 1999-01-01
BASSWOOD CAPITAL MANAGEMENT, L.L.C. PRINCIPAL, CHIEF OPERATING OFFICER / MEMBER direct 1999-01-01
BASSWOOD CAPITAL MANAGEMENT, L.L.C. PRINCIPAL, CHIEF OPERATING OFFICER direct 1999-01-01
BASSWOOD CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2008-01-01
BRODER, SCOTT, BRIAN CHIEF FINANCIAL OFFICER 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
BASSWOOD CAPITAL MANAGEMENT, L.L.C. CHIEF FINANCIAL OFFICER direct 2006-01-01
BASSWOOD CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2011-04-01
CANNIZZARO, JUSTIN, MICHAEL CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BASSWOOD CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2011-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BASSWOOD OPPORTUNITY FUND, INC Cayman Islands 805-5397666681 Hedge Fund 218,533,550 100,000
BOULEVARD DIRECT MASTER, LTD. Cayman Islands 805-8400676067 Hedge Fund 5,893,216 100,000 Master Fund
BASSWOOD FINANCIAL FUND, L.P. United States 805-1398756934 Hedge Fund 292,265,276 1,000,000
BASSWOOD FINANCIAL LONG ONLY FUND, L.P. United States 805-3133474721 Hedge Fund 19,400,542 1,000,000 Master Fund
BASSWOOD ENHANCED LONG SHORT FUND, L.P. United States 805-2317136817 Hedge Fund 749,899,251 100,000 Master Fund
BASSWOOD OPPORTUNITY PARTNERS, L.P. United States 805-4828970439 Hedge Fund 905,174,029 1,000,000
BASSWOOD FINANCIAL FUND, INC. Cayman Islands 805-5237692316 Hedge Fund 59,384,750 100,000
BASSWOOD CO-INVESTMENT FUND (SPC), LTD. Cayman Islands 805-6220935556 Hedge Fund 16,293,164 100,000 Master Fund

WhaleScore history for BASSWOOD CAPITAL MANAGEMENT, L.L.C.

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**EXPERIMENTAL** Current International Short Positions

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Holder Issuer Net Short Position Position Date Origin

Short Position History (last 100)

Holder Net Short Position Position Date Origin
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 0.55% 2018-11-30 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 0.64% 2018-11-27 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 0.78% 2018-11-23 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 0.87% 2018-11-22 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 0.95% 2018-11-21 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 1.22% 2018-11-15 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 1.1% 2018-10-11 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 1.07% 2018-10-08 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 0.97% 2018-10-04 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 0.8% 2018-09-10 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 0.72% 2018-09-04 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 0.62% 2018-07-27 UK
Basswood Capital Management, LLC CLOSE BROTHERS GROUP PLC 0.5% 2018-05-29 UK

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