BASSWOOD CAPITAL MANAGEMENT, L.L.C.

NEW YORK, NY · CIK 1085393 · 13F filing filed 2026-08-14

SEC-registered investment adviser since 2011 · limited liability company

Assets managed$2.8bn
Staff16 · 9 in investment roles
Main clients (by assets)Private funds 78%, State and local governments 16%, Charities 6%
Private funds9 (9 hedge) · $2.2bn gross assets
Form ADV · 2026-03-30SEC adviser record

Legal entityBASSWOOD CAPITAL MANAGEMENT, L.L.C. (US)

Kindhedge funds, futures
Others nearbyNew York, NY

As an employer

Offices in1 country
Private fundshedge 9

$2.3bn reported value +18.9% vs Q1 2026

108positions

35.5%in top 10

10 new 27 added 29 reduced 7 sold out vs Q1 2026

Options: 1 call positions ($114.6m notional), 2 put positions ($62.7m notional) – listed below, not included above.

Holdings, Q2 2026

The small lines show how much was held over the last 4 quarters (adjusted for stock splits).

#	Security	Ticker	Shares	Value	% of portfolio	Change	Shares change
1	JPMORGAN CHASE & CO COM JPM	JPM	469,496	$153.7m6.58%	6.58%	Unchanged
2	BANK AMERICA CORP COM BAC	BAC	2,103,476	$119.9m5.13%	5.13%	Added +250.8k	+250,769 13.5%
3	WEBSTER FINL CORP COM WBS	WBS	1,215,997	$92.9m3.98%	3.98%	Unchanged
4	US BANCORP DEL COM NEW USB	USB	1,336,628	$80.7m3.46%	3.46%	Unchanged
5	DIME CMNTY BANCSHARES INC COM DCOM	DCOM	1,946,016	$79.1m3.39%	3.39%	Reduced -75.3k	-75,288 -3.7%
6	MORGAN STANLEY COM NEW MS	MS	369,259	$77.2m3.31%	3.31%	Unchanged
7	ROCKET COS INC COM CL A RKT	RKT	4,694,791	$73.9m3.17%	3.17%	Added +786.2k	+786,216 20.1%
8	CAPITAL ONE FINL CORP COM COF	COF	257,969	$51.8m2.22%	2.22%	Added +59.4k	+59,438 29.9%
9	ONEMAIN HLDGS INC COM OMF	OMF	847,066	$51.6m2.21%	2.21%	Reduced -25.4k	-25,378 -2.9%
10	FIRST CTZNS BANCSHARES INC N CL A FCNCA	FCNCA	23,056	$48.0m2.05%	2.05%	Unchanged
11	POPULAR INC COM NEW BPOP	BPOP	291,757	$47.9m2.05%	2.05%	Reduced -26.9k	-26,944 -8.4%
12	TOLL BROTHERS INC COM TOL	TOL	284,288	$46.8m2.01%	2.01%	Unchanged
13	OLD NATL BANCORP IND COM ONB	ONB	1,780,471	$46.1m1.98%	1.98%	Reduced -28.9k	-28,864 -1.6%
14	WELLS FARGO CO NEW COM WFC	WFC	555,428	$45.9m1.97%	1.97%	Added +291.7k	+291,745 110.6%
15	SYNCHRONY FINANCIAL COM SYF	SYF	601,368	$45.7m1.96%	1.96%	Added +233.3k	+233,262 63.4%
16	ESQUIRE FINL HLDGS INC COM ESQ	ESQ	369,416	$44.0m1.88%	1.88%	Added +100.7k	+100,689 37.5%
17	PINNACLE FINL PARTNERS INC COM PNFP	PNFP	410,638	$41.4m1.77%	1.77%	Reduced -45.5k	-45,456 -10.0%
18	REGIONAL MGMT CORP COM RM	RM	855,425	$35.2m1.51%	1.51%	Added +34.7k	+34,748 4.2%
19	KEYCORP COM KEY	KEY	1,353,117	$31.2m1.34%	1.34%	Reduced -66.4k	-66,432 -4.7%
20	INVESCO LTD SHS IVZ	IVZ	1,167,259	$30.8m1.32%	1.32%	Reduced -37.0k	-37,026 -3.1%
21	ZIONS BANCORPORATION N A COM ZION	ZION	425,137	$29.4m1.26%	1.26%	Reduced -953	-953 -0.2%
22	SIMMONS 1ST NATL CORP CL A $1 PAR SFNC	SFNC	1,285,307	$29.1m1.25%	1.25%	Reduced -166.5k	-166,458 -11.5%
23	VICTORY CAP HLDGS INC COM CL A VCTR	VCTR	338,957	$28.5m1.22%	1.22%	Unchanged
24	SOUTHSTATE BK CORP COM SSB	SSB	281,031	$28.1m1.20%	1.20%	Added +173.8k	+173,847 162.2%
25	TAYLOR MORRISON HOME CORP COM TMHC	TMHC	386,436	$27.7m1.19%	1.19%	Reduced -53.1k	-53,087 -12.1%
26	ALLY FINL INC COM ALLY	ALLY	597,680	$27.5m1.18%	1.18%	Added +24.5k	+24,525 4.3%
27	BANNER CORP COM NEW BANR	BANR	411,033	$27.3m1.17%	1.17%	Added +2.2k	+2,169 0.5%
28	SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP MDY	MDY	38,082	$26.8m1.15%	1.15%	New
29	CITIZENS FINL GROUP INC COM CFG	CFG	380,337	$26.7m1.14%	1.14%	Reduced -155.9k	-155,872 -29.1%
30	BANK HAWAII CORP COM BOH	BOH	324,499	$26.4m1.13%	1.13%	Added +7.8k	+7,834 2.5%
31	HUNTINGTON BANCSHARES INC COM HBAN	HBAN	1,486,699	$26.4m1.13%	1.13%	Added +851.5k	+851,533 134.1%
32	CENTRAL PAC FINL CORP COM NEW CPF	CPF	670,238	$25.6m1.10%	1.10%	Reduced -61.3k	-61,295 -8.4%
33	F N B CORP COM FNB	FNB	1,262,019	$24.1m1.03%	1.03%	Reduced -627.0k	-626,985 -33.2%
34	SCHWAB CHARLES CORP COM SCHW	SCHW	250,998	$23.2m0.99%	0.99%	Reduced -218.7k	-218,703 -46.6%
35	BLACKROCK INC COM BLK	BLK	24,046	$23.1m0.99%	0.99%	Added +3.1k	+3,126 14.9%
36	LAZARD INC COM LAZ	LAZ	546,216	$22.9m0.98%	0.98%	Reduced -38.2k	-38,172 -6.5%
37	M/I HOMES INC COM MHO	MHO	136,364	$21.9m0.94%	0.94%	Reduced -742	-742 -0.5%
38	COMMUNITY FINANCIAL SYSTEM I COM CBU	CBU	321,017	$21.5m0.92%	0.92%	New
39	ORIGIN BANCORP INC COM OBK	OBK	418,193	$21.4m0.92%	0.92%	Added +14.2k	+14,238 3.5%
40	METROPOLITAN BK HLDG CORP COM MCB	MCB	210,367	$20.8m0.89%	0.89%	Unchanged
41	UMB FINL CORP COM UMBF	UMBF	144,257	$20.6m0.88%	0.88%	New
42	HERITAGE FINL CORP WASH COM HFWA	HFWA	689,010	$20.4m0.87%	0.87%	Reduced -9.9k	-9,894 -1.4%
43	PULTE GROUP INC COM PHM	PHM	135,730	$18.6m0.80%	0.80%	Unchanged
44	HANCOCK WHITNEY CORPORATION COM HWC	HWC	234,722	$17.5m0.75%	0.75%	Added +114.7k	+114,740 95.6%
45	VALLEY NATL BANCORP COM VLY	VLY	1,182,206	$17.3m0.74%	0.74%	Unchanged
46	BREAD FINANCIAL HOLDINGS INC COM BFH	BFH	158,693	$17.2m0.74%	0.74%	Unchanged
47	PENNYMAC FINL SVCS INC NEW COM PFSI	PFSI	192,334	$16.8m0.72%	0.72%	Reduced -269.0k	-269,018 -58.3%
48	RAYMOND JAMES FINL INC COM RJF	RJF	108,544	$16.5m0.71%	0.71%	Reduced -95.4k	-95,361 -46.8%
49	EQUITABLE HLDGS INC COM EQH	EQH	361,690	$15.9m0.68%	0.68%	Added +110.2k	+110,180 43.8%
50	FIDELITY NATIONAL FINANCIAL FNF GROUP COM FNF	FNF	334,183	$15.8m0.68%	0.68%	Unchanged
51	FIFTH THIRD BANCORP COM FITB	FITB	261,521	$14.7m0.63%	0.63%	Unchanged
52	PROGRESSIVE CORP COM PGR	PGR	66,458	$14.5m0.62%	0.62%	Added +11.7k	+11,693 21.4%
53	CBIZ INC COM CBZ	CBZ	451,259	$14.5m0.62%	0.62%	Added +246.6k	+246,597 120.5%
54	PNC FINL SVCS GROUP INC COM PNC	PNC	56,169	$13.8m0.59%	0.59%	Reduced -54.1k	-54,080 -49.0%
55	PEAPACK-GLADSTONE FINL CORP COM PGC	PGC	291,105	$13.8m0.59%	0.59%	Added +95.6k	+95,585 48.9%
56	MERCHANTS BANCORP IND COM MBIN	MBIN	273,747	$13.7m0.59%	0.59%	Unchanged
57	CAMDEN NATL CORP COM CAC	CAC	247,699	$13.4m0.58%	0.58%	Unchanged
58	SOUTH PLAINS FINANCIAL INC COM SPFI	SPFI	311,615	$13.4m0.58%	0.58%	Added +235.5k	+235,527 309.6%
59	CUSHMAN AND WAKEFIELD LTD COMMON SHARES CWK	CWK	998,750	$13.4m0.57%	0.57%	Reduced -48.7k	-48,742 -4.7%
60	AMERANT BANCORP INC CL A AMTB	AMTB	497,159	$12.7m0.54%	0.54%	New
61	PERELLA WEINBERG PARTNERS CLASS A COM PWP	PWP	788,737	$12.6m0.54%	0.54%	Unchanged
62	BANC OF CALIFORNIA INC COM BANC	BANC	576,403	$11.8m0.50%	0.50%	Added +325.2k	+325,201 129.5%
63	AFFILIATED MANAGERS GROUP IN COM AMG	AMG	34,501	$11.7m0.50%	0.50%	Added +22.2k	+22,197 180.4%
64	INDEPENDENT BK CORP MASS COM INDB	INDB	137,646	$11.5m0.49%	0.49%	Unchanged
65	EASTERN BANKSHARES INC COM EBC	EBC	502,120	$11.2m0.48%	0.48%	Reduced -413.3k	-413,318 -45.1%
66	STATE STR CORP COM STT	STT	65,396	$11.1m0.48%	0.48%	Reduced -5.4k	-5,369 -7.6%
67	WESTERN ALLIANCE BANCORP COM WAL	WAL	133,164	$10.9m0.47%	0.47%	Unchanged
68	UNITED BANKSHARES INC WEST V COM UBSI	UBSI	233,034	$10.7m0.46%	0.46%	Unchanged
69	VOYA FINANCIAL INC COM VOYA	VOYA	116,511	$10.5m0.45%	0.45%	Reduced -91.2k	-91,193 -43.9%
70	PROVIDENT FINL SVCS INC COM PFS	PFS	414,090	$9.8m0.42%	0.42%	Unchanged
71	LENNAR CORP CL A LEN	LEN	98,937	$9.0m0.38%	0.38%	Added +12.9k	+12,936 15.0%
72	USCB FINANCIAL HOLDINGS INC CLASS A COM USCB	USCB	436,892	$8.9m0.38%	0.38%	Unchanged
73	SMARTFINANCIAL INC COM NEW SMBK	SMBK	180,329	$8.5m0.36%	0.36%	Added +10.6k	+10,589 6.2%
74	ISHARES TR 20 YR TR BD ETF TLT	TLT	96,154	$8.3m0.36%	0.36%	Unchanged
75	ATLANTIC UN BANKSHARES CORP COM AUB	AUB	190,680	$8.1m0.35%	0.35%	Unchanged
76	FIRST BANCORP N C COM FBNC	FBNC	123,266	$7.9m0.34%	0.34%	Unchanged
77	SIERRA BANCORP COM BSRR	BSRR	184,089	$7.5m0.32%	0.32%	Added +44.4k	+44,413 31.8%
78	MVB FINL CORP COM MVBF	MVBF	257,731	$7.5m0.32%	0.32%	Added +140.6k	+140,615 120.1%
79	TRICO BANCSHARES COM TCBK	TCBK	137,981	$7.4m0.32%	0.32%	Unchanged
80	FLAGSTAR FINANCIAL INC COM NEW FLG	FLG	491,956	$7.3m0.31%	0.31%	Unchanged
81	STIFEL FINL CORP COM SF	SF	104,316	$7.3m0.31%	0.31%	New
82	SHORE BANCSHARES INC COM SHBI	SHBI	299,231	$6.9m0.29%	0.29%	New
83	WASHINGTON TR BANCORP INC COM WASH	WASH	183,998	$6.7m0.29%	0.29%	New
84	HOME BANCSHARES INC COM HOMB	HOMB	166,538	$4.8m0.20%	0.20%	Unchanged
85	CARTER BANKSHARES INC COM NEW CARE	CARE	131,609	$4.5m0.19%	0.19%	Reduced -96.1k	-96,106 -42.2%
86	NORTHEAST BK PORTLAND ME COM NBN	NBN	31,107	$4.1m0.18%	0.18%	Unchanged
87	TRUIST FINL CORP COM TFC	TFC	76,311	$3.8m0.16%	0.16%	Reduced -116.1k	-116,120 -60.3%
88	PRINCETON BANCORP INC COM BPRN	BPRN	97,529	$3.7m0.16%	0.16%	Added +5.8k	+5,841 6.4%
89	FIRST BUSEY CORP COM NEW BUSE	BUSE	117,192	$3.5m0.15%	0.15%	Unchanged
90	M & T BK CORP COM MTB	MTB	13,360	$3.2m0.14%	0.14%	Unchanged
91	APOLLO GLOBAL MGMT INC COM APO	APO	25,343	$3.0m0.13%	0.13%	Unchanged
92	CITIGROUP INC COM NEW C	C	19,920	$2.8m0.12%	0.12%	Unchanged
93	MOELIS & CO CL A MC	MC	38,242	$2.5m0.11%	0.11%	Reduced -22.7k	-22,726 -37.3%
94	LENDINGCLUB CORP COM NEW HAPN	HAPN	111,309	$2.3m0.10%	0.10%	Unchanged
95	WESBANCO INC COM WSBC	WSBC	58,859	$2.3m0.10%	0.10%	Unchanged
96	NATIONAL BK HLDGS CORP CL A NBHC	NBHC	46,956	$2.1m0.09%	0.09%	New
97	EAST WEST BANCORP INC COM EWBC	EWBC	15,249	$2.0m0.08%	0.08%	Unchanged
98	ALERUS FINL CORP COM ALRS	ALRS	60,240	$1.9m0.08%	0.08%	Unchanged
99	KB HOME COM KBH	KBH	29,532	$1.8m0.08%	0.08%	Unchanged
100	FB FINL CORP COM FBK	FBK	33,216	$1.8m0.08%	0.08%	New

Sold out since Q1 2026

Security	Ticker	Shares held before	Value then
COMMERCE BANCSHARES INC CBSH	CBSH	292,802	$14.4m292.8k shares
AMERIPRISE FINL INC AMP	AMP	29,254	$13.0m29.3k shares
COREBRIDGE FINL INC CRBG	CRBG	320,391	$7.6m320.4k shares
JONES LANG LASALLE INC JLL	JLL	10,388	$3.2m10.4k shares
KKR & CO INC KKR	KKR	25,666	$2.4m25.7k shares
CHEMUNG FINL CORP CHMG	CHMG	27,103	$1.5m27.1k shares
BURFORD CAP LTD BUR	BUR	118,200	$534.3k118.2k shares

Options (notional value)

Underlying	Ticker	Type	Shares controlled	Notional	Change
ISHARES TR TLT · Call	TLT	Call	1,326,300	$114.6m1.3m shares	Unchanged
SPDR SER TR KRE · Put	KRE	Put	426,500	$31.9m426.5k shares	Added
SPDR S&P MIDCAP 400 ETF TR MDY · Put	MDY	Put	43,800	$30.8m43.8k shares	Added

Trades reported as a company insider since 1 Apr 2026

Owning 10% or more of a company, or having someone on its board, makes this manager an insider there: it reports its trades in that company's shares on Form 4 within two business days. Open-market and private purchases and sales only.

Date	Company	Ticker	Trade	Shares	Value	Their holding
2026-09-01	REGIONAL MGMT CORP Director · See footnotes	RM	Sold	1,159	$36.7k1.2k shares	-5%
2026-08-13	DIME CMNTY BANCSHARES INC Director · See footnote	DCOM	Sold	7,170	$296.8k7.2k shares	-2%
2026-08-12	DIME CMNTY BANCSHARES INC Director · See footnote	DCOM	Sold	32,335	$1.3m32.3k shares	-7%
2026-08-11	DIME CMNTY BANCSHARES INC Director · See footnote	DCOM	Sold	8,674	$352.1k8.7k shares	-21%
2026-08-03	DIME CMNTY BANCSHARES INC Director · See footnote	DCOM	Sold	20,687	$851.7k20.7k shares	-39%
2026-07-31	DIME CMNTY BANCSHARES INC Director · See footnote	DCOM	Sold	53,000	$2.2m53.0k shares	-62%
2026-07-30	DIME CMNTY BANCSHARES INC Director · See footnote	DCOM	Sold	10,929	$445.8k10.9k shares	-24%
2026-06-18	DIME CMNTY BANCSHARES INC Director · See footnote	DCOM	Sold	32,751	$1.3m32.8k shares	-83%
2026-06-16	DIME CMNTY BANCSHARES INC Director · See Footnotes	DCOM	Sold	14,019	$550.8k14.0k shares	-67%
2026-06-15	DIME CMNTY BANCSHARES INC Director · See Footnotes	DCOM	Sold	14,513	$575.7k14.5k shares	-67%
2026-06-12	DIME CMNTY BANCSHARES INC Director · See Footnotes	DCOM	Sold	15,870	$636.1k15.9k shares	-68%