UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: MARCH 31, 2013
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Check here if Amendment [ ]; Amendment Number:
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This Amendment (Check only one): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Castle Creek Capital Partners IV, LP
Address: c/o Castle Creek Capital LLC
6110 El Tordo
Rancho Santa Fe, CA 92067
Form 13F File Number: 028-15339
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.*
Person Signing this Report on Behalf of Reporting Manager:
Name: William J. Ruh
Title: Managing Principal
Phone: (858) 756-8300
Signature, Place and Date of Signing:
/s/ William J. Ruh Rancho Santa Fe, CA May 14, 2013
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[Signature] [City, State] [Date]
* The Reporting Manager does not have formal investment discretion with respect
to all of the securities in the indicated rows, but may be deemed to be part of
a group exercising such investment discretion. Such group, if any, would include
the managers identified in the column captioned "Other Managers" relating to a
given issuer. The filing of this report shall not be deemed an admission, for
purposes of Section 13(f), 13(d), 13(g), or 16(a) under the Securities Exchange
Act of 1934, as amended (the "Exchange Act"), and the rules thereunder, or for
any other purpose, that the Reporting Manager or any Other Included Manager
exercises investment discretion or is a member of such a group with respect to
such securities. Reference is made to reports filed under Sections 13(d), 13(g),
and 16(a) for additional information with respect to such beneficial ownership
and/or pecuniary interest of the Reporting Manager, any Other Included Manager
and related entities.
Report Type (Check only one):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and
all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this
reporting manager are reported in this report and a portion are reported
by other reporting manager(s).)
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 8
Form 13F Information Table Value Total: $133,354 (in thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
No. Form 13F File Number Name
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1. 028-15366 Castle Creek Capital IV LLC
Castle Creek Capital Partners IV, LP
FORM 13F INFORMATION TABLE
Quarter Ended March 31, 2013
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
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VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
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FIRST BANCORP N C COM 318910106 13,002 963,794 SH OTHER 1 0 963,794 0
FIRST MERCHANTS CORP COM 320817109 21,557 1,394,747 SH OTHER 1 0 1,394,747 0
GUARANTY BANCORP DEL COM 40075T102 25,713 12,244,247 SH OTHER 1 0 12,244,247 0
HERITAGE COMMERCE CORP COM 426927109 8,805 1,308,300 SH OTHER 1 0 1,308,300 0
HERITAGE OAKS BANCORP COM 42724R107 14,154 2,483,100 SH OTHER 1 0 2,483,100 0
INTERMOUNTAIN CMNTY BANCORP COM NEW 45881M308 26,103 2,037,684 SH OTHER 1 0 2,037,684 0
WASHINGTONFIRST BANKSHARES I COM 940730104 3,485 298,900 SH OTHER 1 0 298,900 0
WEST COAST BANCORP ORE NEW COM 952145209 20,517 845,000 SH OTHER 1 0 845,000 0