HMN Financial, Inc. HMNF
Trading inactive
| Name of reporting person | Citizenship or organization | Sole voting power | Shared voting power | Sole dispositive power | Shared dispositive power | Amount beneficially owned | Percent of class | Accepted date |
|---|---|---|---|---|---|---|---|---|
| AllianceBernstein L.P. | Delaware | 439698 | 0 | 439698 | 0 | 439698 | 9.8 % | 14/02/2024 |
| M3 FUNDS, LLC | STATE OF DELAWARE, UNITED STATES OF AMERICA | 0 | 331107 | 0 | 331107 | 331107 | 7.38 % | 14/02/2024 |
| William C. Waller | UNITED STATES OF AMERICA | 0 | 331107 | 0 | 331107 | 331107 | 7.38 % | 14/02/2024 |
| Jason A. Stock | UNITED STATES OF AMERICA | 0 | 331107 | 0 | 331107 | 331107 | 7.38 % | 14/02/2024 |
| M3F, INC. | STATE OF UTAH, UNITED STATES OF AMERICA | 0 | 331107 | 0 | 331107 | 331107 | 7.38 % | 14/02/2024 |
| M3 PARTNERS, LP | STATE OF DELAWARE, UNITED STATES OF AMERICA | 0 | 331107 | 0 | 331107 | 331107 | 7.38 % | 14/02/2024 |
| AllianceBernstein L.P. | Delaware | 319475 | 0 | 319475 | 0 | 319475 | 7.1 % | 13/02/2023 |
| Matrix Trust Company as directed Trustee | UNITED STATES | 182418 | 329359 | 182418 | 329359 | 511777 | 11.2 % | 14/02/2022 |
| HMN FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN | MINNESOTA | 182418 | 329359 | 182418 | 329359 | 511777 | 11.2 % | 14/02/2022 |
| M3 FUNDS, LLC | STATE OF DELAWARE, UNITED STATES OF AMERICA | 0 | 343231 | 0 | 343231 | 343231 | 7.47 % | 14/02/2022 |
| William C. Waller | UNITED STATES OF AMERICA | 0 | 343231 | 0 | 343231 | 343231 | 7.47 % | 14/02/2022 |
| M3 PARTNERS, LP | STATE OF DELAWARE, UNITED STATES OF AMERICA | 0 | 343231 | 0 | 343231 | 343231 | 7.47 % | 14/02/2022 |
| Jason A. Stock | UNITED STATES OF AMERICA | 0 | 343231 | 0 | 343231 | 343231 | 7.47 % | 14/02/2022 |
| M3F, INC. | STATE OF UTAH, UNITED STATES OF AMERICA | 0 | 343231 | 0 | 343231 | 343231 | 7.47 % | 14/02/2022 |
| M3F, INC. | STATE OF UTAH, UNITED STATES OF AMERICA | 0 | 268056 | 0 | 268056 | 268056 | 5.64 % | 26/03/2021 |
| William C. Waller | UNITED STATES OF AMERICA | 0 | 268056 | 0 | 268056 | 268056 | 5.64 % | 26/03/2021 |
| M3 FUNDS, LLC | STATE OF DELAWARE, UNITED STATES OF AMERICA | 0 | 268056 | 0 | 268056 | 268056 | 5.64 % | 26/03/2021 |
| M3 PARTNERS, LP | STATE OF DELAWARE, UNITED STATES OF AMERICA | 0 | 268056 | 0 | 268056 | 268056 | 5.64 % | 26/03/2021 |
| M3F, INC. | STATE OF UTAH, UNITED STATES OF AMERICA | 0 | 268056 | 0 | 268056 | 268056 | 5.64 % | 26/03/2021 |
| Jason A. Stock | UNITED STATES OF AMERICA | 0 | 268056 | 0 | 268056 | 268056 | 5.64 % | 26/03/2021 |
| William C. Waller | UNITED STATES OF AMERICA | 0 | 268056 | 0 | 268056 | 268056 | 5.64 % | 26/03/2021 |
| M3 FUNDS, LLC | STATE OF DELAWARE, UNITED STATES OF AMERICA | 0 | 268056 | 0 | 268056 | 268056 | 5.64 % | 26/03/2021 |
| M3 PARTNERS, LP | STATE OF DELAWARE, UNITED STATES OF AMERICA | 0 | 268056 | 0 | 268056 | 268056 | 5.64 % | 26/03/2021 |
| Jason A. Stock | UNITED STATES OF AMERICA | 0 | 268056 | 0 | 268056 | 268056 | 5.64 % | 26/03/2021 |
| Fourthstone LLC | Missouri | 0 | 477523 | 0 | 477523 | 477523 | 9.87 % | 17/02/2021 |
| Fourthstone GP LLC | Missouri | 0 | 90191 | 0 | 90191 | 90191 | 1.86 % | 17/02/2021 |
| Fourthstone QP Opportunity Fund LP | Delaware | 0 | 82619 | 0 | 82619 | 82619 | 1.71 % | 17/02/2021 |
| Fourthstone Financials Fund LP | Delaware | 0 | 7572 | 0 | 7572 | 7572 | 0.16 % | 17/02/2021 |
| Fourthstone SmallCap Financials Fund LP | Delaware | 0 | 7572 | 0 | 7572 | 7572 | 0.16 % | 17/02/2021 |
| Fourthstone QP Opportunity Fund LP | Delaware | 0 | 82619 | 0 | 82619 | 82619 | 1.71 % | 17/02/2021 |
| Fourthstone GP LLC | Missouri | 0 | 90191 | 0 | 90191 | 90191 | 1.86 % | 17/02/2021 |
| Fourthstone Master Opportunity Fund Ltd | Cayman Islands | 0 | 373832 | 0 | 373832 | 373832 | 7.73 % | 17/02/2021 |
| Fourthstone LLC | Missouri | 0 | 477523 | 0 | 477523 | 477523 | 9.87 % | 17/02/2021 |
| Fourthstone Master Opportunity Fund Ltd | Cayman Islands | 0 | 373832 | 0 | 373832 | 373832 | 7.73 % | 17/02/2021 |
| Maltese Capital Management LLC | New York | 106108 | 106108 | 106108 | 2.19 % | 16/02/2021 | ||
| Terry Maltese | USA | 106108 | 106108 | 106108 | 2.19 % | 16/02/2021 | ||
| NO. OF ABOVE PERSONS Financial Hybrid Opportunity SPV I LLC | Delaware | 0 | 131560 | 0 | 131560 | 131560 | 2.72 % | 16/02/2021 |
| NO. OF ABOVE PERSONS Martin Friedman | United States | 0 | 286214 | 0 | 286214 | 286214 | 5.92 % | 16/02/2021 |
| NO. OF ABOVE PERSONS Financial Opportunity Fund LLC | Delaware | 0 | 63453 | 0 | 63453 | 63453 | 1.31 % | 16/02/2021 |
| NO. OF ABOVE PERSONS FJ Capital Management LLC | Delaware | 0 | 286214 | 0 | 286214 | 286214 | 5.92 % | 16/02/2021 |
| NO. OF ABOVE PERSONS Financial Hybrid Opportunity Fund LLC | Delaware | 0 | 88440 | 0 | 88440 | 88440 | 1.83 % | 16/02/2021 |
| Paul Magidson | United States of America | 0 | 0 | 0 | 0 | 0 | 0 % | 06/11/2020 |
| Castine Capital Management, LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 06/11/2020 |
| Castine Management GP, LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 06/11/2020 |
| Castine Partners II, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 06/11/2020 |
| Paul Magidson | United States of America | 0 | 0 | 0 | 0 | 0 | 0 % | 06/11/2020 |
| Castine Capital Management, LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 06/11/2020 |
| Castine Management GP, LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 06/11/2020 |
| Castine Partners II, L.P. | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 06/11/2020 |
| Terry Maltese | USA | 247618 | 247618 | 247618 | 5.11 % | 13/02/2020 | ||
| Maltese Capital Management LLC | New York | 247618 | 247618 | 247618 | 5.11 % | 13/02/2020 | ||
| Maltese Capital Management LLC | New York | 247618 | 247618 | 247618 | 5.11 % | 13/02/2020 | ||
| Terry Maltese | USA | 247618 | 247618 | 247618 | 5.11 % | 13/02/2020 | ||
| Castine Partners II, L.P. | Delaware | 0 | 274522 | 0 | 274522 | 274522 | 5.6 % | 06/02/2020 |
| Castine Capital Management, LLC | Delaware | 0 | 373099 | 0 | 373099 | 373099 | 7.7 % | 06/02/2020 |
| Paul Magidson | United States of America | 0 | 373099 | 0 | 373099 | 373099 | 7.7 % | 06/02/2020 |
| Castine Capital Management, LLC | Delaware | 0 | 373099 | 0 | 373099 | 373099 | 7.7 % | 06/02/2020 |
| Castine Management GP, LLC | Delaware | 0 | 274522 | 0 | 274522 | 274522 | 5.6 % | 06/02/2020 |
| Paul Magidson | United States of America | 0 | 373099 | 0 | 373099 | 373099 | 7.7 % | 06/02/2020 |
| Castine Partners II, L.P. | Delaware | 0 | 274522 | 0 | 274522 | 274522 | 5.6 % | 06/02/2020 |
| Castine Management GP, LLC | Delaware | 0 | 274522 | 0 | 274522 | 274522 | 5.6 % | 06/02/2020 |
| EJF Financial Services Fund, LP | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2019 |
| Emanuel J. Friedman | United States | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2019 |
| EJF Capital LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2019 |
| EJF Financial Services GP, LLC | Delaware | 0 | 0 | 0 | 0 | 0 | 0 % | 12/02/2019 |
| Maltese Capital Management LLC | New York | 256800 | 256800 | 256800 | 5.32 % | 12/02/2019 | ||
| Terry Maltese | USA | 256800 | 256800 | 256800 | 5.32 % | 12/02/2019 | ||
| Maltese Capital Management LLC | New York | 256800 | 256800 | 256800 | 5.32 % | 12/02/2019 | ||
| Maltese Capital Holdings, LLC | Delaware | 204038 | 204038 | 204038 | 4.23 % | 12/02/2019 | ||
| Maltese Capital Holdings, LLC | Delaware | 204038 | 204038 | 204038 | 4.23 % | 12/02/2019 | ||
| Terry Maltese | USA | 256800 | 256800 | 256800 | 5.32 % | 12/02/2019 | ||
| EJF Financial Services GP, LLC | Delaware | 0 | 352069 | 0 | 352069 | 352069 | 7.4 % | 14/02/2018 |
| EJF Capital LLC | Delaware | 0 | 352069 | 0 | 352069 | 352069 | 7.4 % | 14/02/2018 |
| Emanuel J. Friedman | United States | 0 | 352069 | 0 | 352069 | 352069 | 7.4 % | 14/02/2018 |
| EJF Financial Services Fund, LP | Delaware | 0 | 352069 | 0 | 352069 | 352069 | 7.4 % | 14/02/2018 |
| Maltese Capital Holdings, LLC | Delaware | 293392 | 293392 | 293392 | 6.2 % | 12/02/2018 | ||
| Maltese Capital Management LLC | New York | 347636 | 347636 | 347636 | 7.28 % | 12/02/2018 | ||
| Maltese Capital Holdings, LLC | Delaware | 293392 | 293392 | 293392 | 6.2 % | 12/02/2018 | ||
| Terry Maltese | USA | 347636 | 347636 | 347636 | 7.28 % | 12/02/2018 | ||
| Maltese Capital Management LLC | New York | 347636 | 347636 | 347636 | 7.28 % | 12/02/2018 | ||
| Terry Maltese | USA | 347636 | 347636 | 347636 | 7.28 % | 12/02/2018 | ||
| EJF Capital LLC | Delaware | 0 | 297113 | 0 | 297113 | 297113 | 6.2 % | 14/02/2017 |
| EJF Financial Services GP, LLC | Delaware | 0 | 297113 | 0 | 297113 | 297113 | 6.2 % | 14/02/2017 |
| EJF Financial Services Fund, LP | Delaware | 0 | 297113 | 0 | 297113 | 297113 | 6.2 % | 14/02/2017 |
| Emanuel J. Friedman | United States | 0 | 297113 | 0 | 297113 | 297113 | 6.2 % | 14/02/2017 |
| Maltese Capital Holdings, LLC | Delaware | 323384 | 323384 | 323384 | 6.84 % | 02/02/2017 | ||
| Terry Maltese | USA | 402578 | 402578 | 402578 | 8.45 % | 02/02/2017 | ||
| Maltese Capital Management LLC | New York | 402578 | 402578 | 402578 | 8.45 % | 02/02/2017 | ||
| Maltese Capital Holdings, LLC | Delaware | 323384 | 323384 | 323384 | 6.84 % | 02/02/2017 | ||
| Terry Maltese | USA | 402578 | 402578 | 402578 | 8.45 % | 02/02/2017 | ||
| Maltese Capital Management LLC | New York | 402578 | 402578 | 402578 | 8.45 % | 02/02/2017 | ||
| Maltese Capital Holdings, LLC | Delaware | 293392 | 293392 | 293392 | 6.2 % | 19/02/2016 | ||
| Terry Maltese | USA | 347636 | 347636 | 347636 | 7.3 % | 19/02/2016 | ||
| Maltese Capital Holdings, LLC | Delaware | 293392 | 293392 | 293392 | 6.2 % | 19/02/2016 | ||
| Maltese Capital Management LLC | New York | 347636 | 347636 | 347636 | 7.3 % | 19/02/2016 | ||
| Terry Maltese | USA | 347636 | 347636 | 347636 | 7.3 % | 19/02/2016 | ||
| Maltese Capital Management LLC | New York | 347636 | 347636 | 347636 | 7.3 % | 19/02/2016 | ||
| Arbiter Partners Capital Management LLC | Delaware | 277778 | 0 | 277778 | 277778 | 5.83 % | 18/02/2016 | |
| Arbiter Partners Capital Management LLC | Delaware | 277778 | 0 | 277778 | 277778 | 5.83 % | 18/02/2016 | |
| EJF Capital LLC | Delaware | 0 | 277777 | 0 | 277777 | 277777 | 5.8 % | 18/08/2015 |
| Emanuel J. Friedman | United States | 0 | 277777 | 0 | 277777 | 277777 | 5.8 % | 18/08/2015 |
| EJF Financial Services Fund, LP | Delaware | 0 | 277777 | 0 | 277777 | 277777 | 5.8 % | 18/08/2015 |
| EJF Financial Services GP, LLC | Delaware | 0 | 277777 | 0 | 277777 | 277777 | 5.8 % | 18/08/2015 |
| EJF Financial Services Fund, LP | Delaware | 0 | 277777 | 0 | 277777 | 277777 | 5.8 % | 18/08/2015 |
| EJF Capital LLC | Delaware | 0 | 277777 | 0 | 277777 | 277777 | 5.8 % | 18/08/2015 |
| EJF Financial Services GP, LLC | Delaware | 0 | 277777 | 0 | 277777 | 277777 | 5.8 % | 18/08/2015 |
| Emanuel J. Friedman | United States | 0 | 277777 | 0 | 277777 | 277777 | 5.8 % | 18/08/2015 |
| F | UNITED STATES | 377074 | 350539 | 377074 | 350539 | 727613 | 16.4 % | 30/01/2013 |
| HMN FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN | MINNESOTA | 377074 | 350539 | 377074 | 350539 | 727613 | 16.4 % | 30/01/2013 |
| F | UNITED STATES | 425769 | 335453 | 425769 | 335453 | 761222 | 17.7 % | 08/02/2011 |
| HMN FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN | MINNESOTA | 425769 | 335453 | 425769 | 335453 | 761222 | 17.7 % | 08/02/2011 |