President/CEO

0000950123-14-012391.txt : 20141119 0000950123-14-012391.hdr.sgml : 20141119 20141118194829 ACCESSION NUMBER: 0000950123-14-012391 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141119 DATE AS OF CHANGE: 20141118 EFFECTIVENESS DATE: 20141119 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-07148 FILM NUMBER: 141233270 BUSINESS ADDRESS: STREET 1: 150 EAST 52ND STREET STREET 2: 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2124867300 MAIL ADDRESS: STREET 1: 150 EAST 52ND STREET STREET 2: 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001040762 XXXXXXXX 09-30-2014 09-30-2014 true 1 RESTATEMENT Sandler ONeill Asset Management LLC

150 East 52nd Street 30th Floor New York NY 10022

13F HOLDINGS REPORT 028-07148 N Terry Maltese President/CEO (212) 486 - 7300 /s/ Terry Maltese New York NY 11-18-2014 0 201 829680 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F 1st Century Bancshares, Inc. COM 31943X102 7077 960300 SH SOLE 960300 0 0 1st United Bancorp, Inc. COM 33740N105 3834 450000 SH SOLE 450000 0 0 Access National Corporation COM 004337101 2564 158000 SH SOLE 158000 0 0 AerCap Holdings NV SHS N00985106 8503 207900 SH SOLE 207900 0 0 Air Lease Corporation CLA 00912X302 2441 75100 SH SOLE 75100 0 0 AJS Bancorp, Inc. COM 001503101 2301 171100 SH SOLE 171100 0 0 Alliance Bancorp, Inc. of Pennsylvania COM 01890A108 3557 222300 SH SOLE 222300 0 0 Call - AMBC $16.67 Exp 4/30/2023 Warrant 023139116 1319 94911 SH SOLE 94911 0 0 American Express Company COM 025816109 2145 24500 SH SOLE 24500 0 0 American Homes 4 Rent CL A 02665T306 13571 803500 SH SOLE 803500 0 0 American River Bankshares COM 029326105 6090 665600 SH SOLE 665600 0 0 Astoria Financial Corporation COM 046265104 5002 403700 SH SOLE 403700 0 0 Avidbank Holdings, Inc. COM 05368J103 541 47209 SH SOLE 47209 0 0 BancFirst Corporation COM 05945F103 6125 97900 SH SOLE 97900 0 0 Bank of the Carolinas Corporation COM 06425J102 2224 22240896 SH SOLE 22240896 0 0 BancorpSouth, Inc. COM 059692103 1374 68200 SH SOLE 68200 0 0 Bank of Commerce Holdings COM 06424J103 496 80800 SH SOLE 80800 0 0 Bank of Marin Bancorp COM 063425102 5030 109600 SH SOLE 109600 0 0 BankUnited, Inc. COM 06652K103 9052 296900 SH SOLE 296900 0 0 Bay of Banks of Virginia; Inc. COM 072035108 2524 476200 SH SOLE 476200 0 0 BBCN Bancorp, Inc. COM 073295107 511 35000 SH SOLE 35000 0 0 BlackRock, Inc. COM 09247X101 821 2500 SH SOLE 2500 0 0 Blackstone Mortgage Trust, Inc. COM CL A 09257W100 4854 179100 SH SOLE 179100 0 0 Boston Private Financial Holdings, Inc. COM 101119105 6584 531400 SH SOLE 531400 0 0 Bridge Bancorp, Inc. COM 108035106 4075 172300 SH SOLE 172300 0 0 Bridge Capital Holdings COM 108030107 3338 146800 SH SOLE 146800 0 0 C1 Financial, Inc. COM 12591N109 12218 673900 SH SOLE 673900 0 0 Carroll Bancorp, Inc. COM 144702107 774 47169 SH SOLE 47169 0 0 Capital Bank Financial Corporation CL A COM 139794101 1841 77100 SH SOLE 77100 0 0 Cardinal Financial Corporation COM 14149F109 418 24500 SH SOLE 24500 0 0 CenterState Banks, Inc. COM 15201P109 4699 454000 SH SOLE 454000 0 0 Century Bancorp, Inc. CL A NON VTG 156432106 11324 327100 SH SOLE 327100 0 0 Century Communities, Inc. COM 156504300 2202 126900 SH SOLE 126900 0 0 Century Next Financial Corporation COM 156635104 667 39248 SH SOLE 39248 0 0 Chemical Financial Corporation COM 163731102 9944 369800 SH SOLE 369800 0 0 Chicopee Bancorp, Inc. COM 168565109 3137 210000 SH SOLE 210000 0 0 Citigroup Inc. COM 172967424 11530 222500 SH SOLE 222500 0 0 Citizens & Northern Corporation COM 172922106 1853 97500 SH SOLE 97500 0 0 Citizens Community Bancorp, Inc. COM 174903104 700 79100 SH SOLE 79100 0 0 Citizens Financial Group, Inc. COM 174610105 5052 215700 SH SOLE 215700 0 0 City National Corporation COM 178566105 11630 153700 SH SOLE 153700 0 0 CNB Financial Corporation COM 126128107 1270 80900 SH SOLE 80900 0 0 Coastway Bancorp, Inc. COM 190632109 5215 486000 SH SOLE 486000 0 0 CoBiz Financial Inc. COM 190897108 6914 618400 SH SOLE 618400 0 0 Colonial Financial Services, Inc. COM 19566B101 388 29200 SH SOLE 29200 0 0 Colony Financial, Inc. COM 19624R106 3919 175100 SH SOLE 175100 0 0 Comerica Incorporated COM 200340107 9279 186100 SH SOLE 186100 0 0 Commercewest Bank, N.A. COM 20084T103 2397 171200 SH SOLE 171200 0 0 Community Bankers Trust Corporation COM 203612106 140 32100 SH SOLE 32100 0 0 DCB Financial Corp. COM 233075100 1468 197325 SH SOLE 197325 0 0 Discover Financial Services COM 254709108 6426 99800 SH SOLE 99800 0 0 DNB Financial Corporation COM 233237106 1090 50810 SH SOLE 50810 0 0 E*TRADE Financial Corporation COM 269246401 3256 144116 SH SOLE 144116 0 0 East West Bancorp, Inc. COM 27579R104 1302 38300 SH SOLE 38300 0 0 ESSA Bancorp, Inc. COM 29667D104 2465 218100 SH SOLE 218100 0 0 Eureka Finacnial Corporation COM 29855C108 1038 56082 SH SOLE 56082 0 0 Evans Bancorp, Inc. COM 29911Q208 6708 291000 SH SOLE 291000 0 0 Fairmount Bancorp Inc. COM 305468100 639 29156 SH SOLE 29156 0 0 Fidelity National Financial, Inc. CL A 31620R105 3345 120600 SH SOLE 120600 0 0 Fidelity Southern Corporation COM 316394105 286 20900 SH SOLE 20900 0 0 Financial Institutions, Inc. COM 317585404 1093 48600 SH SOLE 48600 0 0 First Busey Corporation COM 319383105 3229 579800 SH SOLE 579800 0 0 First Business Financial Services, Inc. COM 319390100 1440 32800 SH SOLE 32800 0 0 First Capital Bancorp, Inc. COM 319438107 72 16100 SH SOLE 16100 0 0 First Citizens Banc Corp, Inc. Series B Conv. Pfd. 6.50% PFD SER B 319459400 3003 96800 SH SOLE 96800 0 0 Call - FFBC $12.90 Exp 12/23/2018 Warrant 320209117 79 15684 SH SOLE 15684 0 0 First Citizens BancShares, Inc. CL A 31946M103 10138 46800 SH SOLE 46800 0 0 First Community Corporation COM 319835104 5006 470500 SH SOLE 470500 0 0 First Financial Bancorp. COM 320209109 8016 506400 SH SOLE 506400 0 0 First Merchants Corporation COM 320817109 4877 241300 SH SOLE 241300 0 0 First Midwest Bancorp, Inc. COM 320867104 15125 940000 SH SOLE 940000 0 0 First NBC Bank Holding Company COM 32115D106 16594 506700 SH SOLE 506700 0 0 First South Bancorp, Inc. COM 33646W100 243 30000 SH SOLE 30000 0 0 Flagstar Bancorp, Inc. COM 337930705 3262 193800 SH SOLE 193800 0 0 Fox Chase Bancorp, Inc. COM 35137T108 7552 463021 SH SOLE 463021 0 0 Franklin Resources, Inc. COM 354613101 694 12700 SH SOLE 12700 0 0 Fraternity Community Bancorp, Inc. COM 35553P101 1994 134700 SH SOLE 134700 0 0 Georgetown Bancorp, Inc. COM 372591107 1976 122587 SH SOLE 122587 0 0 Green Bancorp, Inc. COM 39260X100 4780 278743 SH SOLE 278743 0 0 Greenhill & Co., Inc. COM 395259104 916 19700 SH SOLE 19700 0 0 Guaranty Bancorp COM 40075T607 7418 549100 SH SOLE 549100 0 0 Hamilton Bancorp Inc. COM 407015106 4456 335000 SH SOLE 335000 0 0 Hancock Holding Company COM 410120109 2859 89200 SH SOLE 89200 0 0 Hanmi Financial Corporation COM 410495204 2320 115100 SH SOLE 115100 0 0 Heartland Financial USA, Inc. COM 42234Q102 2786 116650 SH SOLE 116650 0 0 Heritage Commerce Corp COM 426927109 9168 1116700 SH SOLE 1116700 0 0 Heritage Oaks Bancorp COM 42724R107 3452 493200 SH SOLE 493200 0 0 HF Financial Corp. COM 404172108 8815 655900 SH SOLE 655900 0 0 Hibernia Bancorp, Inc. COM 42866N104 141 8127 SH SOLE 8127 0 0 Hilltop Holdings Inc. COM 432748101 12473 622100 SH SOLE 622100 0 0 Hingham Institution for Savings COM 433323102 2210 27098 SH SOLE 27098 0 0 HMN Financial, Inc. COM 40424G108 416 31500 SH SOLE 31500 0 0 Home Federal Bancorp, Inc. of Louisiana COM 43708L108 1540 80000 SH SOLE 80000 0 0 HomeTrust Bancshares, Inc. COM 437872104 3822 261600 SH SOLE 261600 0 0 HopFed Bancorp, Inc. COM 439734104 6508 565943 SH SOLE 565943 0 0 Hudson City Bancorp, Inc. COM 443683107 8599 884656 SH SOLE 884656 0 0 Hudson Valley Holding Corp. COM 444172100 339 18700 SH SOLE 18700 0 0 IBERIABANK Corporation COM 450828108 1419 22700 SH SOLE 22700 0 0 IF Bancorp, Inc. COM 44951J105 6501 385600 SH SOLE 385600 0 0 Independent Bank Corporation COM 453838609 15496 1300000 SH SOLE 1300000 0 0 Intervest Bancshares Corporation COM 460927106 451 47200 SH SOLE 47200 0 0 Invesco Ltd. SHS G491BT108 7122 180400 SH SOLE 180400 0 0 Investar Holding Corporation COM 46134L105 4267 320800 SH SOLE 320800 0 0 Investors Bancorp, Inc. COM 46146L101 694 68500 SH SOLE 68500 0 0 Jacksonville Bancorp, Inc. COM 469249205 3374 312707 SH SOLE 312707 0 0 Jacksonville Bancorp, Inc. (IL) COM 46924R106 1306 60000 SH SOLE 60000 0 0 JPMorgan Chase & Co. COM 46625H100 8602 142800 SH SOLE 142800 0 0 Call - JPM $42.42 Exp 10/28/2018 Warrant 46634E114 1207 60000 SH SOLE 60000 0 0 KeyCorp COM 493267108 651 48800 SH SOLE 48800 0 0 La Porte Bancorp, Inc. COM 516651106 3924 350000 SH SOLE 350000 0 0 Lakeland Financial Corporation COM 511656100 1830 48800 SH SOLE 48800 0 0 Lazard Ltd SHS A G54050102 4943 97500 SH SOLE 97500 0 0 Louisiana Bancorp, Inc. COM 54619P104 2885 145200 SH SOLE 145200 0 0 MainSource Financial Group, Inc. COM 56062Y102 4987 289100 SH SOLE 289100 0 0 Malvern Bancorp, Inc. COM 561409103 7297 640675 SH SOLE 640675 0 0 Mercantile Bank Corporation COM 587376104 1774 93100 SH SOLE 93100 0 0 Meetinghouse Bancorp, Inc. COM 58514H109 622 47500 SH SOLE 47500 0 0 Metro Bancorp Inc. COM 59161R101 1276 52600 SH SOLE 52600 0 0 MidWestOne Financial Group, Inc. COM 598511103 4271 185600 SH SOLE 185600 0 0 Minden Bancorp, Inc. COM 60255R106 378 19917 SH SOLE 19917 0 0 Morgan Stanley COM 617446448 3720 107600 SH SOLE 107600 0 0 Call - MTB $73.86 Exp 12/23/2018 Warrant 55261F112 7007 140000 SH SOLE 140000 0 0 National Bank Holdings Corporation CL A 633707104 6736 352300 SH SOLE 352300 0 0 National Penn Bancshares, Inc. COM 637138108 243 25000 SH SOLE 25000 0 0 NBT Bancorp Inc. COM 628778102 5213 231500 SH SOLE 231500 0 0 New Jersey Community Bank COM 64577U102 351 65000 SH SOLE 65000 0 0 NMI Holdings, Inc. CL A 629209305 4841 559600 SH SOLE 559600 0 0 Northrim BanCorp, Inc. COM 666762109 4242 160500 SH SOLE 160500 0 0 Oak Valley Bancorp. COM 671807105 672 67000 SH SOLE 67000 0 0 Old Line Bancshares, Inc. COM 67984M100 2584 166900 SH SOLE 166900 0 0 Old National Bancorp COM 680033107 890 68600 SH SOLE 68600 0 0 Old Second Bancorp, Inc. COM 680277100 5802 1206200 SH SOLE 1206200 0 0 OmniAmerican Bancorp, Inc. COM 68216R107 260 10000 SH SOLE 10000 0 0 Palmetto Bancshares, Inc. COM 697062206 11284 797995 SH SOLE 797995 0 0 Peoples Bancorp of North Carolina, Inc. COM 710577107 1077 63500 SH SOLE 63500 0 0 PHH Corporation COM 693320202 1695 75800 SH SOLE 75800 0 0 Poage Bankshares, Inc. COM 730206109 3084 205600 SH SOLE 205600 0 0 Polonia Bancorp, Inc. COM 73158Q109 3413 331000 SH SOLE 331000 0 0 Preferred Bank COM 740367404 3331 147900 SH SOLE 147900 0 0 Premier Financial Bancorp, Inc. COM 74050M105 1183 80800 SH SOLE 80800 0 0 Prosperity Bancshares, Inc. COM 743606105 2801 49000 SH SOLE 49000 0 0 Provident Financial Holdings, Inc. COM 743868101 947 64900 SH SOLE 64900 0 0 Provident Financial Services, Inc. COM 74386T105 4564 278800 SH SOLE 278800 0 0 Prudential Bancorp, Inc. COM 74431A101 5930 484900 SH SOLE 484900 0 0 QNB Corporation COM 74726N107 13 468 SH SOLE 468 0 0 Regions Financial Corporation COM 7591EP100 6060 603600 SH SOLE 603600 0 0 Riverview Bancorp, Inc. COM 769397100 3040 761800 SH SOLE 761800 0 0 Sandy Spring Bancorp, Inc. COM 800363103 1749 76400 SH SOLE 76400 0 0 Seacoast Banking Corporation of Florida COM 811707801 3946 361000 SH SOLE 361000 0 0 Shore Bancshares, Inc. COM 825107105 4934 548215 SH SOLE 548215 0 0 SI Financial Group, Inc. COM 78425V104 5821 520198 SH SOLE 520198 0 0 Sierra Bancorp COM 82620P102 3223 192300 SH SOLE 192300 0 0 Silver Bay Realty Trust Corp. COM 82735Q102 1190 73400 SH SOLE 73400 0 0 Silvercrest Asset Management Group Inc. CL A 828359109 3067 225200 SH SOLE 225200 0 0 Simmons First National Corporation CL A 828730200 4526 117500 SH SOLE 117500 0 0 South State Corporation COM 840441109 4185 74839 SH SOLE 74839 0 0 Southcoast Financial Corporation COM 84129R100 402 56600 SH SOLE 56600 0 0 Southern Missouri Bancorp, Inc. COM 843380106 7536 210020 SH SOLE 210020 0 0 Southwest Bancorp, Inc. COM 844767103 13956 851000 SH SOLE 851000 0 0 Standard Financial Corp. COM 853393106 4038 196500 SH SOLE 196500 0 0 State Bank Financial Corporation COM 856190103 34437 2120500 SH SOLE 2120500 0 0 State Investors Bancorp, Inc. COM 857030100 3202 200100 SH SOLE 200100 0 0 Stonegate Mortgage Corp COM 86181Q300 4344 334434 SH SOLE 334434 0 0 Suffolk Bancorp COM 864739107 1469 75700 SH SOLE 75700 0 0 Sugar Creek Financial Corpotation COM 86481Y102 308 32600 SH SOLE 32600 0 0 Sun Bancorp, Inc. COM 86663B201 8150 450000 SH SOLE 450000 0 0 Call - STI $33.70 Exp 12/31/2018 Warrant 867914129 1400 151356 SH SOLE 151356 0 0 Sunshine Bancorp, Inc. COM 86777J108 2881 243100 SH SOLE 243100 0 0 Sunshine Financial Inc. COM 86782T109 1190 65400 SH SOLE 65400 0 0 Sunnyside Bancorp, Inc. COM 867475105 347 35000 SH SOLE 35000 0 0 Susquehanna Bancshares, Inc. COM 869099101 2203 220300 SH SOLE 220300 0 0 Synovus Financial Corp. COM 87161C501 4281 181100 SH SOLE 181100 0 0 T. Rowe Price Group, Inc. COM 74144T108 384 4900 SH SOLE 4900 0 0 TD Ameritrade Holding Corporation COM 87236Y108 5933 177800 SH SOLE 177800 0 0 Territorial Bancorp Inc. COM 88145X108 11117 547900 SH SOLE 547900 0 0 The Charles Schwab Corporation COM 808513105 2968 101000 SH SOLE 101000 0 0 Umpqua Holdings Corporation COM 904214103 3467 210500 SH SOLE 210500 0 0 Union Bankshares Corp. COM 90539J109 2525 109300 SH SOLE 109300 0 0 United Community Bancorp COM 90984R101 3614 302400 SH SOLE 302400 0 0 United Community Banks, Inc. COM 90984P303 2469 150000 SH SOLE 150000 0 0 United Community Financial Corp. COM 909839102 16851 3600700 SH SOLE 3600700 0 0 United Financial Bancorp, Inc. COM 910304104 746 58800 SH SOLE 58800 0 0 United Security Bancshares COM 911460103 375 67316 SH SOLE 67316 0 0 ViewPoint Financial Group, Inc. COM 92672A101 3143 131300 SH SOLE 131300 0 0 Walker & Dunlop, Inc. COM 93148P102 3309 249000 SH SOLE 249000 0 0 Washington Federal, Inc. COM 938824109 3902 191662 SH SOLE 191662 0 0 Waterstone Financial Inc. COM 94188P101 4632 401000 SH SOLE 401000 0 0 Wells Fargo & Company COM 949746101 7796 150300 SH SOLE 150300 0 0 WesBanco, Inc. COM 950810101 1530 50000 SH SOLE 50000 0 0 West Bancorporation, Inc. CAP STK 95123P106 2136 151200 SH SOLE 151200 0 0 West End Indiana Bancshares, Inc. COM 952678100 2577 130500 SH SOLE 130500 0 0 Western Alliance Bancorporation COM 957638109 815 34109 SH SOLE 34109 0 0 Willis Lease Finance Corporation COM 970646105 1793 87400 SH SOLE 87400 0 0 Wilshire Bancorp, Inc. COM 97186T108 3745 405700 SH SOLE 405700 0 0 Wolverine Bancorp, Inc. COM 977880103 3954 174100 SH SOLE 174100 0 0 WSFS Financial Corporation COM 929328102 6600 92163 SH SOLE 92163 0 0 WSFS Financial Corporation 6.25% Pfd. Stock PFD 929328409 4865 183596 SH SOLE 183596 0 0 Xenith Bankshares, Inc. COM 98410X105 4356 688100 SH SOLE 688100 0 0 Zions Bancorporation COM 989701107 10831 372700 SH SOLE 372700 0 0 Call - ZION $36.27 Exp 11/14/2018 Warrant 989701131 5304 1768160 SH SOLE 1768160 0 0