hamilton bancorp, inc. · report item form fry-6 hamilton bancorp, inc. towson, md flscal year...
TRANSCRIPT
Board of Governors of the Federal Reserve System
FRY-6 OMB Number 7100-0297 Approval expires September 30, 2018 Page 1 of2
Annual Report of Holding Companies-FR Y-6
Report at the close of business as of the end of fiscal year
This Report is required by law: Sectll>n 5(c)(1)(A} of the Bank Holding Company Act (12 U.S.C. § 1844(c)(1)(A}}; secUons 8(a) and 13(a) of the lntematlonal Banking Act (12 U.S.C. §§ 3106(a) and 3108(a)); seclions 11(a)(1), 25, and 25A of the Federal Reserve Act (12 U.S.C. §§ 248(a)(1), 602, and 611a); and sections 113, 165, 312, 618, and 809 of the Dodd-Frank Act (12 U.S.C. §§ 5361, 5365, 5412, 1850a(c)(1), and 5468(b)(1)). Return to the appropriate Federal Reserve Bank the original and the number of copies specified.
NOTE: The Annual Report or Holding Companies must be signed by one director of the top-1ier holding company. This indlvldual should also be a senior official of the top-tier holding company. In lhe event that the top-tier holding company does not have an Individual who Is a senior olflclal and Is also a director, the chairman of the board must sign the report. If the holding company is an ESOP/ESOT formed as a corporation or is an LLC, see the General Instructions for the authorized individual who must sign the report. I, ROBERT A DeALMEIDA
Name of the Holdlng Company Director and Offlclal
PRESIDENT & CEO, DIRECTOR Tltle of the Holding Company Director and Official
attest that the Annual Report of Holding Companies (Including the supporting attachments) for th!s report date has been prepared in conformance wifh the instructions Issued by the Federal Reserve System and are true and correct to the best of my knowledge and belief.
With respect to informalfon regarding Individuals contained 111 this report, the Reporter certifies that it has Ille authority to provide tllis Information to the Federal ReseNe. Tile Reporter also certifies that it has the autflority, on bet1a/f of each Individual, to consent or object to public release of Information regarding that individual. The Federal Reserve may assume, In the absence of a request for confidential treatment submitted In accordance w/111 the Board's "Rules Regarding Availabl//ly of Information," 12 C.F.R. Part 261, tf1at the Reporter -~ lndivi~uaf consent to public release of all details i -lh°"e eperl concarnl . g lher/ndividuef. £!
< ' '""" I (.' ) /) I/ • "'-" ~~ /A'. ,I (,,.(,. ' ~;rlu:~,,,
For holding companies filH registered with the SEC-Indicate stalus of Annual Report lo Shareholders:
D is Included wlih the FR Y·6 report D will be sent under separate cover D is not prepared
For Federal Reserve Bank Use Only
RSSDID Y:t..\\S Y z.y C.I.
This report form Is to be filed by all top-tier bank holding companies, top-tier savings and loan holding companies, and U.S. intermediate holding companies organized under U.S. law, and by any foreign banking organization that does not meet the requirements of and is not treated as a qualifying foreign banking organization under Section 211.23 of Regulation K (12 C.F.R. § 211.23). (See page one ofthe general instructions for more detail of who must file.) The Federal Reserve may not conduct or sponsor, and an organization (or a person) is not required to respond to, an information coflection unless It displays a currently valid OMB control number.
Date of Report (top-tier holding company's fiscal year-end):
March 31 , 2017 Month I Day I Year
NONE Reporter's legal Entity ldenUfier (LEI) (20-Characler LEI Code)
Reporter's Name, Street, and Malling Address
HAMIL TON BANCORP legal Title or Holding Company
501 FAIRMOUNT AVENUE, SUITE 200 {Malling Address of the Holding Company) Street/ P.O. Box
TOWSON MD 21286 - --- --City State Zip Code
Physical Locallon (if dlfferenl from mallfng address)
Person to whom questions about this report should be directed: LAWRENCE JACKSON CONTROLLER Name
410-823-4510 Area Code I Phone Number I Extension
Area Code I FAX Number
[email protected] E-mail Address
www.hamilton-bank.com
Tille
Address (URL) for the Holding Company's web page
Is confidential treatment requested for any portion ~ of this report submission? .. . ... ............. ........... J=Yes In accordance with the General Instructions for this report (check only one),
1. a letter Justifying this request Is being provided along with the report ....... ...... .. ....................................... D
2. a letter justifying this request has been provided separately ................................................ .. .. .. ...... 0
NOTE: Information for which confidential treatment Is being requested must be provided separately and labeled as "confidential."
PubUc reporting burden for this lnronnatlon collecllon Is estimated to vary from 1.3 lo 101 hours por rosponno, wllh an nverage of 5,50 hours per response, lncludlng lime to galher and maintain data In Ille required rmm end to review lnslrucllons end complete lhe lnformalloo col!ectlon. Send commonls regordlng lllls bUrden esllmate or any olher aspect of this colleclion of lnfonnatlon, lncludlng suggesllons for reducing lhls burden to: Secretary, Board of Governors of the Federal Reserve System, 2oth and C Slreels, NW, Washington, DC 20551, and lo the Omca of Management and Budget, Paperwor11 Reduclion Project (7100-0297), Washington, DC 20503, 12/2016
For Use By Tiered Holding Companies
FRY·6 Page2of2
Top-tiered holding companies must list the names, malling address, and physical locations of each of /heir subsidiary holding companies below.
Legal Tiiie of Subsidiary Holding Company Legel Title of Subsidiary Holding Company
(Malllng Address of the Subsidiary Holding Company) Street I P.O. Box (Malling Address of the Subsidiary Holding Company) Street I P.O. Box
City State Zip Code City State Zip Code
Physical Location (If different from malling address) Physical Location (If dlfferentfrom malling address)
Legal lltle of Subsidiary Holding Company Legal Tiiie of Subsidiary Holding Company
(Mailng Address of the Subsidiary Holding Company) Street I P.O. Box (Mailing Address of the Subsidiary Holding Company) Street I P.O. Box
City State Zip Code City Stale Zip Code
Physical Location (If different from malling address) Physical Locatton (If different from malling address)
Legel Tille of Subsidiary Holding Company Legal Tltle of Subsidiary Holding Company
(Malling Address of the Subsidiary Holding Company) Street I P.O. Box (Mailing Address of the Subsidiary Holding Company) Street I P.O. Box
City State Zip Code City Stale Zip Code
Physical LocaUon (If different from malling address) Physical Location (If different from mailing address)
Legal Tiiie of Subsidiary Holding Company Legal Tille of Subsidiary Holding Company
(Mailing Address of the Subsidiary Holding Company) Street I P.O. Box (Mailing Address of the Subsidiary Holding Company) Street I P.O. Box
City State Zip Code City State Zip Code
Physical Location (If different from malling address) Physical Location (If different from malling address)
1212012
Report Item
Form FRY-6
HAMILTON BANCORP, INC.
Towson, MD Flscal Year Ending March 31, 2016
1: The Bank Holding Company prepares an annual report for Its securities holders and is registered with the SEC (See SEC website for annual report filed with the Form 10-K).
2a. ORGANIZATION CHART
Hamilton Bancorp, Inc. NO LEI
Towson, MD Incorporated in Maryland
100%
' Hamilton Bank
NOLEI
Towson, MD Incorporated in Maryland
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Form FRY-6 Hamilton Bancorp., Inc. Fiscal Year Ending March 31, 2017
Report Item 3: Securities Holders Section 1 Current Securities Holders with ownership, control or holdings of 5% or more with power to vote as of fiscal year ending 3-31-2017
1a Name,
City, State, Country 1 EJF Capital LLC
Arlington, VA, USA
2 Stilwell Value Partners II, LP.
Stilwell Value Partners V, LP. Stilwell Value Partners VII, LP. Stilwell Activist Fund, LP. Stilwell Activist Investments, LP. Stilwell Partners, LP. Stilwell Value LLC Joseph Stilwell New York, New York, USA
3 Hamilton Bank Employee Stock Ownership Plan* Plan Trust (3)
First Bankers Trust Services, Inc. Quincy, Illinois, USA
1b Country of Citizenship
or Incorporation USA
USA
USA
1c
Number & Percentage of
Each Class of Voting Securities 325,000
9.53% of Common Stock
315,101 9.24% of Common Stock
222,180 6.51% of Common Stock
*see section 7.1 of the ESOP Plan Document for information on how the plan stock is voted and tendered
Form FRY-6 Hamilton Bancorp., Inc.
Fiscal Year Ending March 31, 2017
Report Item 3: Securities Holders
Section 2
Securities holders not listed in 3(1)(a) through 3(1)(C) that had ownership, control or holdings of 5% or more with power to vote during
the fiscal year ending 3-31-2017.
2a
Name,
City, State, Country
1 Maltese Capital Management, LLC
Terry Maltese
Maltese Capital Holdings, LLC
Malta Hedge Fund II, LP. New York, New York, USA
2b
Country of Citizenship
or Incorporation
USA
2c Number & Percentage of
Each Oass of Voting Securities 140,961
4.13% of Common Stock
Form FRY-6 Ham11ton Bancorp., lnc. Fl seal Year Ending March 3l. 2017
Report Item 4: lnsid<ls
la 2 3a 3h 3< 4a 4b 4C
Ust names of other companies rindudes Percentace ofVotin11 partn....,lps) lf 2S% or more of votlnf
Percentage of Shate inSubsidi.afies securitlesm'e held (Ust names of Nam~, CJty,. Sate, Prindpal OCl:upation lf other than lltle & Pl>iltion with T'ttle & Position with Subsidiaries Tiiie & Position with other BUsln....,. r111clude name< of Voting Shares in (lndude names of com...,, res and percentace af voting ccum.v wll2> Holdl"" ccmoanv Molcllnf CO<lllllnv lfindude names ofsubsldiariesl o:""b•.~tsl Holdlruz Company "'bsilf,.ries) securities he!dl Je:nrtyG, Morgan Pres;dent & CEO· Basys, Inc. DJr~r Director - Hamttr.on Bank WA °" None No,.. Columbia, MD, USA
Wilriam £. Ballord Con.sultzi nt- Engineering and Director Director- Hamilton Bank Partriar, Project Manager- Efl Group, UC <1% None 2B% af voting •haros of EFI Group, Pasadena. MD, USA mammic:turing industry u.c
Carol I. C:OUghlin Business owner and entreprertet.tr Directer&. Chairwoman CF.O/r>wr.er - Bottomnne G~ Strategies, Inc. <l% None Founder and 100% owner t>f Bottom-Tcwn;on, MD, USA .. Business phmnire and growth Dire::tor & Outirwoman .. Hamilton Bank One Grcwtfl stratq:ies, Jnc.
adVlSOl'{f"1m1
Robert A. DeA.lmeida N/A Directer,, Presldent & CEO Di.rector, Pn=sklent & CEO .. H1ml1ton O[rec:tor, Maryland BankersAssoctation; Oiairman, 2% Ncne None JanettsvUle, MD, USA B>nk a 3110 FC, LLC Healthy Neighborhoods, Inc.; DCrector, Maryland s,n4 shs in ESOP
Chamber of Commerce; Member, Federal Reserve Bank 9.l.SlllofESOP <Jf RJc!imcnd Community Depository lnstlttrtic>OS Advisory
Councit; Member, University of Ba hi more Merrick Schoof af Business Dean's Al:M&ory c:ouncn
WitliamW. !=urr Pre$ide:rrt- iMU~nce company OJ rector Director - H.amntcn Bank Pruid1nt and Director, P:ilr.;.mount tnsurance C.Ompa:nv; <1" Nofl< None Columbl•, MD, USA Director, Westminster American Insurance
JouphJ. Bouffanl N/A· Retired Director Director- Hamilton Bank. Director - Maryilond F'mano!al Bank <1% None None FallstDn, MD, USA
Bobbi R.. Macdonald Ee~ Director Jn public Dlrettor Director-Hamilton Bink Exec:Utiv• ocrecmr~ The Oty Neighbon: Foundation, Inc.; None None Baltimore, M01 USA schools nonprofd: OfEi!nizatlon Director· Maryland Chart.r School Networic
J<1mes R. fa mum, Jr. SrMlt bwlness owner & exer:utrve Oirectcn- Directcr-Hamltton Bank a.o/Owner-Alllcince Advisory Group, l.LC; <1% None Founder & 100% Owner, Aili3nu L.utherv!lle, MD, USA V.P./Part-<Nm<r- Hurb Acquisition Company, Inc:. Advisory Group, U.C;45% partner,
Hurb l\c:qutsltton Company, l~ 100% owner of F!nancrat Perform; n<:t" Solutions, Jnc...
Ellen I\. Fish N/A Offic<!r etea."tiYe Vu Ptesldent N/A <1% None B>ltimere, MD. USA Executive V.ce PresiMnt H:.rr.ilton S;nk l,3S7 shsin ESOP
~ofESOP
John P. Marzultc rl/A Officer Sanf:r' Vke PruP'....ent .. Tn:uu~r .. N/A <l" None None Bel Afr, MD, USA SVP, CFO & Trea.s:ur~r H1un-ihon Btnk :a.new in ESOP
·3.68%ofSSOP