-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, R9WacCZd4QPGPiys/c4HMNK0Z7Ucdnyx8UqaWfkietn1XsJpzrFwL5mBVQWYYwKN Yzas7OqmIiydHKBPPgl0fQ== 0001193125-09-112540.txt : 20090515 0001193125-09-112540.hdr.sgml : 20090515 20090515111019 ACCESSION NUMBER: 0001193125-09-112540 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 EFFECTIVENESS DATE: 20090515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SANDLER ONEILL ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001040762 IRS NUMBER: 133906061 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07148 FILM NUMBER: 09830098 BUSINESS ADDRESS: STREET 1: 712 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2129741700 MAIL ADDRESS: STREET 1: 712 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 d13fhr.txt 13F HOLDINGS REPORT 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, 2009 Check here if Amendment [_]; Amendment Number: This amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Sandler O'Neill Asset Manageme Address: 780 3rd Ave, 5th Floor New York, NY 10017 13 File Number: 28-7148 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 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: TERRY MALTESE Title: PRESIDENT Phone: (212) 486-7300 Signature, Place and Date of Signing: TERRY MALTESE May 14, 2009 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [_] 13F NOTICE. [_] 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 101 Form 13F Information Table Value Total: 398386
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP x($1000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- -------- --------- -------- -------- -------- D 1ST CENTY BK NATL AS SN COM ST COMMON STOCK 31943X102 2345 700000 SH SOLE 700000 0 0 D AMCORE FINL INC COM STK COMMON STOCK 023912108 720 450000 SH SOLE 450000 0 0 D AMERICAN PHYSICIANS SVC GROUP COMMON STOCK 028882108 5078 264900 SH SOLE 264900 0 0 D AON CORP COM STK COMMON STOCK 037389103 18981 465000 SH SOLE 465000 0 0 D ARROW FINANCIAL CORP COMMON STOCK 042744102 2262 95500 SH SOLE 95500 0 0 D ASTORIA FINL CORP COM STK COMMON STOCK 046265104 458 49800 SH SOLE 49800 0 0 D BANCFIRST CORP COM STK COMMON STOCK 05945F103 8230 226100 SH SOLE 226100 0 0 D BANK HAWAII CORP COM STK COMMON STOCK 062540109 1580 47900 SH SOLE 47900 0 0 D BK OF MARIN BNCP COMMON STOCK 063425102 1129 52500 SH SOLE 52500 0 0 D BAR HBR BANKSHARES COM COMMON STOCK 066849100 2092 89800 SH SOLE 89800 0 0 D BOK FINANCIAL CORP COM STK COMMON STOCK 05561Q201 14052 407300 SH SOLE 407300 0 0 D BOSTON PRIVATE FINL HLDGS INC COMMON STOCK 101119105 2962 843800 SH SOLE 843800 0 0 D CADENCE FINL CORP COM STK COMMON STOCK 12738A101 431 97600 SH SOLE 97600 0 0 D CAPE FEAR BANK COMMON STOCK 139380109 158 287963 SH SOLE 287963 0 0 D CAPITAL BANK CORP COM STK COMMON STOCK 139793103 1368 300000 SH SOLE 300000 0 0 D CAPITAL ONE FINL CORP COM COMMON STOCK 14040H105 4896 400000 SH SOLE 400000 0 0 D CARDINAL FINL CORP COM STK COMMON STOCK 14149F109 1151 200600 SH SOLE 200600 0 0 D CENTURY BANCORP INC MASS COM S COMMON STOCK 156432106 4943 368850 SH SOLE 368850 0 0 D CHICOPEE BANCORP COMMON STOCK 168565109 1309 110000 SH SOLE 110000 0 0 D CITIGROUP INC COM STK OPTIONS - PUTS 99OBT6ZP5 1681 584600 SH PUT SOLE 584600 0 0 D CITIZENS REPUBLIC BANCORP INC COMMON STOCK 174420109 115 74100 SH SOLE 74100 0 0 D CITY NATIONAL CORP CA COM STK COMMON STOCK 178566105 8719 258200 SH SOLE 258200 0 0 D COLONIAL BANCGROUP I NC COM ST COMMON STOCK 195493309 179 199100 SH SOLE 199100 0 0 D COLUMBIA BKG SYS INC COM STK COMMON STOCK 197236102 1163 181700 SH SOLE 181700 0 0 D COMERICA INC COM STK COMMON STOCK 200340107 6958 380000 SH SOLE 380000 0 0 D COMMERCE BANCSHARES INC COM ST COMMON STOCK 200525103 6897 190000 SH SOLE 190000 0 0 D CONNECTICUT BK&TR CO HART NEW COMMON STOCK 207546102 820 258000 SH SOLE 258000 0 0 D DANVERS BANCORP INC COM COMMON STOCK 236442109 413 29900 SH SOLE 29900 0 0 D DISCOVER FINANCIAL S ERVICES COMMON STOCK 254709108 3657 579600 SH SOLE 579600 0 0 D ENCORE BNCSHRS COMMON STOCK 29255V201 1671 188400 SH SOLE 188400 0 0 D EUROBANCSHARES INC COM STK COMMON STOCK 298716101 537 778500 SH SOLE 778500 0 0 D FIFTH THIRD BANCORP COM STK COMMON STOCK 316773100 2628 900000 SH SOLE 900000 0 0 D FIFTH THIRD BANK PFD PRFD STK (CONVRT 316773209 3090 75000 SH SOLE 75000 0 0 D FINANCIAL SELECT SEC TOR SPDR US ETF'S - US TR 81369Y605 5698 646800 SH SOLE 646800 0 0 D FIRST DEFIANCE FINAN CIAL CORP COMMON STOCK 32006W106 1363 224200 SH SOLE 224200 0 0 D FIRST FINANCIAL BANC ORP OHIO COMMON STOCK 320209109 2651 278200 SH SOLE 278200 0 0 D FIRST HORIZON NATL CORP COMMON STOCK 320517105 9323 868100 SH SOLE 868100 0 0 D FIRST M & F CORPORAT ION COM S COMMON STOCK 320744105 1537 251100 SH SOLE 251100 0 0 D FIRST MIDWEST BANCOR P INC DEL COMMON STOCK 320867104 12260 1427200 SH SOLE 1427200 0 0 D FIRST PACTRUST BANCORP INC COM COMMON STOCK 33589V101 659 97700 SH SOLE 97700 0 0 D FIRST SECURITYGROUP INC COMMON STOCK 336312103 4654 1380900 SH SOLE 1380900 0 0 D FIRSTMERIT CORP COM STK COMMON STOCK 337915102 5915 325000 SH SOLE 325000 0 0 D FRANKLIN RES INC COM STK COMMON STOCK 354613101 1341 24900 SH SOLE 24900 0 0 D GUARANTY BANCORP DEL COM COMMON STOCK 40075T102 306 174800 SH SOLE 174800 0 0 D HAMPDEN BANCORP INC COM STK COMMON STOCK 40867E107 1755 185100 SH SOLE 185100 0 0 D HAWTHORN BANCSHARES INC COM COMMON STOCK 420476103 942 80200 SH SOLE 80200 0 0 D HERITAGE OAKS BANCOR P COM STK COMMON STOCK 42724R107 1555 374700 SH SOLE 374700 0 0 D HINGHAM INSTN SVGS MASS COM COMMON STOCK 433323102 2981 108400 SH SOLE 108400 0 0 D HOME BANCORP INC COMMON STOCK 43689E107 1869 192500 SH SOLE 192500 0 0 D HUNTINGTON BANCSHARE INC PFC PRFD STK (CONVRT 446150401 7415 22135 SH SOLE 22135 0 0 D INDIANA COMMUNITY BANCORP COM COMMON STOCK 454674102 1901 146200 SH SOLE 146200 0 0 D INTERNATIONAL BANCSH ARES CORP COMMON STOCK 459044103 389 49900 SH SOLE 49900 0 0 D INVESCO LTD COM STK COMMON STOCK G491BT108 3119 225000 SH SOLE 225000 0 0 D ISB FINL CORP IOWA COM STK COMMON STOCK 598511103 2884 308500 SH SOLE 308500 0 0 D JPMORGAN CHASE & CO COM COMMON STOCK 46625H100 19271 725000 SH SOLE 725000 0 0 D KEYCORP NY COM STK COMMON STOCK 493267108 14680 1865300 SH SOLE 1865300 0 0 D LEGACY BANCORP INC COM STK COMMON STOCK 52463G105 1726 180400 SH SOLE 180400 0 0 D LEGG MASON INC COM STK COMMON STOCK 524901105 555 34900 SH SOLE 34900 0 0 D LOUISIANA BANCORP INC COM COMMON STOCK 54619P104 3299 257700 SH SOLE 257700 0 0 D MARSH & MCLENNAN COS INC COM COMMON STOCK 571748102 15823 781400 SH SOLE 781400 0 0 D MB FINANCIAL INC COMMON STOCK 55264U108 6010 441900 SH SOLE 441900 0 0 D MERCHANTS BANCSHARES INC COM COMMON STOCK 588448100 3304 178600 SH SOLE 178600 0 0 D NATL CITY CORP SR UNS GLOBAL C CONVRT BONDS 635405AW3 930 1000000 PR SOLE 1000000 0 0 D NEWPORT BANCORP INC COM COMMON STOCK 651754103 2632 238200 SH SOLE 238200 0 0 D NORTHERN TRUST CORP COM STK COMMON STOCK 665859104 2991 50000 SH SOLE 50000 0 0 D OLD NATIONAL BANCORP EVANSVIL COMMON STOCK 680033107 192 17200 SH SOLE 17200 0 0 D ORIENTAL FINANCIAL G ROUP INC COMMON STOCK 68618W100 269 55100 SH SOLE 55100 0 0 D PACIFIC PREMIER BANC ORP COM S COMMON STOCK 69478X105 644 148700 SH SOLE 148700 0 0 D PACIFIC ST BANCORP COM STK COMMON STOCK 694864109 243 125800 SH SOLE 125800 0 0 D PACWEST BANCORP COM STK COMMON STOCK 695263103 2579 180000 SH SOLE 180000 0 0 D PREFERRED BANK COM STK COMMON STOCK 740367107 2358 450000 SH SOLE 450000 0 0 D PROVIDENT FINL SVS INC COM COMMON STOCK 74386T105 236 21800 SH SOLE 21800 0 0 D REGIONS FINANCIAL CORP NEW COMMON STOCK 7591EP100 2550 598600 SH SOLE 598600 0 0 D RODMAN & RENSHAW CAP GROUP INC COMMON STOCK 77487R100 300 969100 SH SOLE 969100 0 0 D SAVANNAH BANCORP INC COM STK COMMON STOCK 804748101 2318 330700 SH SOLE 330700 0 0 D SMITHTOWN BANCORP INC COM COMMON STOCK 832449102 2820 250000 SH SOLE 250000 0 0 D SOMERSET HILLS BANCO RP BERNA COMMON STOCK 834728107 1281 207900 SH SOLE 207900 0 0 D SOUTH FINL GROUP INC COM STK COMMON STOCK 837841105 99 89700 SH SOLE 89700 0 0 D SOUTHCOAST FINANCIAL CORP COM COMMON STOCK 84129R100 893 156700 SH SOLE 156700 0 0 D SOUTHERN NATL BANCOR OF VA COMMON STOCK 843395104 1806 278200 SH SOLE 278200 0 0 D SOUTHWEST BANCORP IN C OKLA CO COMMON STOCK 844767103 234 24900 SH SOLE 24900 0 0 D STATE BANCORP INC N Y COM STK COMMON STOCK 855716106 4615 599400 SH SOLE 599400 0 0 D STERLING BANCSHARES INC COM ST COMMON STOCK 858907108 1635 250000 SH SOLE 250000 0 0 D SUNTRUST BKS INC COM STK COMMON STOCK 867914103 14792 1260000 SH SOLE 1260000 0 0 D SUPERIOR BANCORP COM STK COMMON STOCK 86806M205 1529 384250 SH SOLE 384250 0 0 D SVB FINANCIAL GROUP COM STK COMMON STOCK 78486Q101 11706 585000 SH SOLE 585000 0 0
D SYNOVUS FINL CORP COM COMMON STOCK 87161C105 3852 1185100 SH SOLE 1185100 0 0 D TCF FINL CORP COM STK COMMON STOCK 872275102 15758 1340000 SH SOLE 1340000 0 0 D TEXAS CAP BANCSHARES INC COM COMMON STOCK 88224Q107 23749 2109200 SH SOLE 2109200 0 0 D UNITED COMMUNITY BAN KS INC CO COMMON STOCK 90984P105 240 57664 SH SOLE 57664 0 0 D UNITED WESTN BANCORP COM STK COMMON STOCK 913201109 477 97700 SH SOLE 97700 0 0 D US BANCORP COM COMMON STOCK 902973304 19703 1348600 SH SOLE 1348600 0 0 D WELLS FARGO & CO 7.5% SER L PFRD STK 949746804 1916 4000 SH SOLE 4000 0 0 D WELLS FARGO COMPANY COMMON STOCK 949746101 3900 273900 SH SOLE 273900 0 0 D WHITE RIVER CAPT COMMON STOCK 96445P105 1879 313100 SH SOLE 313100 0 0 D WHITNEY HLDG CORP COM STK COMMON STOCK 966612103 1999 174600 SH SOLE 174600 0 0 D WILLIS GROUP HOLDING S LTD BE COMMON STOCK G96655108 1100 50000 SH SOLE 50000 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 1717 162300 SH SOLE 162300 0 0 D WILMINGTON TRUST COR P COM STK COMMON STOCK 971807102 967 99800 SH SOLE 99800 0 0 D WINTRUST FINL CORP COM STK COMMON STOCK 97650W108 12390 1007300 SH SOLE 1007300 0 0 D ZIONS BANCORPORATION COM STK COMMON STOCK 989701107 1229 125000 SH SOLE 125000 0 0 S REPORT SUMMARY 101 DATA RECORDS 398386 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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