-----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, BwGBrYkmx+0JbuEgjUhca+610RYXRBXmdGqitxcmi4hbAkpwGac/v5A5+Qn+kM2k OPMwi1M59FrDbvIja9+NLQ== 0001193125-09-172561.txt : 20090812 0001193125-09-172561.hdr.sgml : 20090812 20090812105617 ACCESSION NUMBER: 0001193125-09-172561 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090812 DATE AS OF CHANGE: 20090812 EFFECTIVENESS DATE: 20090812 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: 091005624 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 SCHEDULE 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: June 30, 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 Management 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 August 12, 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: 99 Form 13F Information Table Value Total: 504139 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 2839 711600 SH SOLE 711600 0 0 D AMERICAN PHYSICIANS SVC GROUP COMMON STOCK 028882108 6011 264900 SH SOLE 264900 0 0 D AON CORP COM STK COMMON STOCK 037389103 20840 550300 SH SOLE 550300 0 0 D ARROW FINANCIAL CORP COMMON STOCK 042744102 2579 95500 SH SOLE 95500 0 0 D BANCFIRST CORP COM STK COMMON STOCK 05945F103 6128 177200 SH SOLE 177200 0 0 D BANCORP RHODE ISLAND INC COM COMMON STOCK 059690107 2168 110000 SH SOLE 110000 0 0 D BANK NEW YORK MELLON CORP COM COMMON STOCK 064058100 3576 122000 SH SOLE 122000 0 0 D BANK OF AMERICA CORP COM STK COMMON STOCK 060505104 16170 1225000 SH SOLE 1225000 0 0 D BK OF MARIN BNCP COMMON STOCK 063425102 674 25000 SH SOLE 25000 0 0 D BAR HARBOR BANKSHARES COM COMMON STOCK 066849100 2505 81200 SH SOLE 81200 0 0 D BOSTON PRIVATE FINL HLDGS INC COMMON STOCK 101119105 3739 834700 SH SOLE 834700 0 0 D CADENCE FINL CORP COM STK COMMON STOCK 12738A101 204 91500 SH SOLE 91500 0 0 D CAPITAL BANK CORP COM STK COMMON STOCK 139793103 1419 298800 SH SOLE 298800 0 0 D CAPITAL ONE FINL CORP COM COMMON STOCK 14040H105 10233 467700 SH SOLE 467700 0 0 D CARDINAL FINL CORP COM STK COMMON STOCK 14149F109 2201 281100 SH SOLE 281100 0 0 D CENTURY BANCORP INC MASS COM S COMMON STOCK 156432106 6770 367150 SH SOLE 367150 0 0 D CHICOPEE BANCORP COMMON STOCK 168565109 1534 118300 SH SOLE 118300 0 0 D CITIZENS REPUBLIC BANCORP INC COMMON STOCK 174420109 53 74100 SH SOLE 74100 0 0 D CITY NATIONAL CORP CA COM STK COMMON STOCK 178566105 12154 330000 SH SOLE 330000 0 0 D COLUMBIA BKG SYS INC COM STK COMMON STOCK 197236102 2310 225800 SH SOLE 225800 0 0 D COMERICA INC COM STK COMMON STOCK 200340107 6345 300000 SH SOLE 300000 0 0 D COMMERCE BANCSHARES INC COM ST COMMON STOCK 200525103 13687 430000 SH SOLE 430000 0 0 D CONNECTICUT BK & TR CO HARTFO COMMON STOCK 207546102 1486 288600 SH SOLE 288600 0 0 D DANVERS BANCORP INC COM COMMON STOCK 236442109 175 13000 SH SOLE 13000 0 0 D DISCOVER FINANCIAL S ERVICES COMMON STOCK 254709108 770 75000 SH SOLE 75000 0 0 D ENCORE BNCSHRS COMMON STOCK 29255V201 1395 193200 SH SOLE 193200 0 0 D EUROBANCSHARES INC COM STK COMMON STOCK 298716101 1230 600000 SH SOLE 600000 0 0 D F N B CORP PA COM COMMON STOCK 302520101 6450 1042000 SH SOLE 1042000 0 0 D FIDELITY NATIONAL FINANCIAL CL COMMON STOCK 31620R105 4844 358000 SH SOLE 358000 0 0 D FIFTH THIRD BANCORP COM STK COMMON STOCK 316773100 6549 922374 SH SOLE 922374 0 0 D FINANCIAL SELECT SEC TOR SPDR US ETF'S - US TR 81369Y605 11950 1000000 SH SOLE 1000000 0 0 D FIRST DEFIANCE FINAN CIAL CORP COMMON STOCK 32006W106 1097 84400 SH SOLE 84400 0 0 D FIRST FINANCIAL BANC ORP OHIO COMMON STOCK 320209109 10117 1343600 SH SOLE 1343600 0 0 D FIRST FRANKLIN CORP COM COMMON STOCK 320272107 488 75000 SH SOLE 75000 0 0 D FIRST HORIZON NATL CORP COMMON STOCK 320517105 5021 418400 SH SOLE 418400 0 0 D FIRST M & F CORPORAT ION COM S COMMON STOCK 320744105 955 234700 SH SOLE 234700 0 0 D FIRST MIDWEST BANCOR P INC DEL COMMON STOCK 320867104 11594 1586100 SH SOLE 1586100 0 0 D FIRST PACTRUST BANCORP INC COM COMMON STOCK 33589V101 620 90400 SH SOLE 90400 0 0 D FIRST PLACE FINANCIA L CORP D COMMON STOCK 33610T109 311 100000 SH SOLE 100000 0 0 D FIRST SECURITYGROUP INC COMMON STOCK 336312103 5289 1391800 SH SOLE 1391800 0 0 D FRANKLIN RES INC COM COMMON STOCK 354613101 1793 24900 SH SOLE 24900 0 0 D GUARANTY BANCORP DEL COM COMMON STOCK 40075T102 334 174800 SH SOLE 174800 0 0 D HAMPDEN BANCORP INC COM STK COMMON STOCK 40867E107 2081 210200 SH SOLE 210200 0 0 D HAWTHORN BANCSHARES INC COM COMMON STOCK 420476103 824 83200 SH SOLE 83200 0 0 D HERITAGE FINL CORP WASH COM COMMON STOCK 42722X106 446 38600 SH SOLE 38600 0 0 D HINGHAM INSTN SVGS MASS COM COMMON STOCK 433323102 3266 108700 SH SOLE 108700 0 0 D HOME BANCORP INC COMMON STOCK 43689E107 1791 150000 SH SOLE 150000 0 0 D HUNTINGTON BANCSHARE INC PFC PRFD STK (CONVRT 446150401 3430 4635 SH SOLE 4635 0 0 D INDEPENDENT BK CORP MASS COM S COMMON STOCK 453836108 1478 75000 SH SOLE 75000 0 0 D INDIANA COMMUNITY BANCORP COM COMMON STOCK 454674102 1903 146800 SH SOLE 146800 0 0 D INVESCO LTD COM STK COMMON STOCK G491BT108 4312 242000 SH SOLE 242000 0 0 D JPMORGAN CHASE & CO COM COMMON STOCK 46625H100 26435 775000 SH SOLE 775000 0 0 D KEYCORP NY COM STK COMMON STOCK 493267108 5764 1100000 SH SOLE 1100000 0 0 D LAZARD LTD COM COMMON STOCK G54050102 9751 362215 SH SOLE 362215 0 0 D LEGACY BANCORP INC COM STK COMMON STOCK 52463G105 3027 272700 SH SOLE 272700 0 0 D LOUISIANA BANCORP INC COM COMMON STOCK 54619P104 3522 263800 SH SOLE 263800 0 0 D MARSH & MCLENNAN COS INC COM COMMON STOCK 571748102 12581 625000 SH SOLE 625000 0 0 D MARSHALL & IISLEY CORP COMMON STOCK 571837103 1957 407800 SH SOLE 407800 0 0 D MB FINANCIAL INC COMMON STOCK 55264U108 7810 766400 SH SOLE 766400 0 0 D MERCHANTS BANCSHARES INC COM COMMON STOCK 588448100 2894 129500 SH SOLE 129500 0 0 D MIDWESTONE FINL GROUP INC NEW COMMON STOCK 598511103 2459 314800 SH SOLE 314800 0 0 D MORGAN STANLEY COM STK COMMON STOCK 617446448 5987 210000 SH SOLE 210000 0 0 D MUTUALFIRST FINANCIA L INC COM COMMON STOCK 62845B104 1210 135000 SH SOLE 135000 0 0 D NATL CITY CORP SR UNS GLOBAL C CONVRT BONDS 635405AW3 982 1000000 PRN SOLE 1000000 0 0 D NEWPORT BANCORP INC COM COMMON STOCK 651754103 2929 243900 SH SOLE 243900 0 0 D NORTH VALLEY BANCORP COM COMMON STOCK 66304M105 895 180000 SH SOLE 180000 0 0 D NORTHERN TRUST CORP COM STK COMMON STOCK 665859104 2684 50000 SH SOLE 50000 0 0 D NORTHRIM BANCORP INC COMMON STOCK 666762109 1136 81600 SH SOLE 81600 0 0 D PACIFIC PREMIER BANC ORP COM S COMMON STOCK 69478X105 739 153900 SH SOLE 153900 0 0 D PACIFIC ST BANCORP COM STK COMMON STOCK 694864109 156 125800 SH SOLE 125800 0 0 D PACWEST BANCORP COM STK COMMON STOCK 695263103 3164 240400 SH SOLE 240400 0 0 D PINNACLE FINL PARTNERS INC COM COMMON STOCK 72346Q104 3996 300000 SH SOLE 300000 0 0 D PREFERRED BANK COM STK COMMON STOCK 740367107 1400 368300 SH SOLE 368300 0 0 D REGIONS FINANCIAL CORP NEW COMMON STOCK 7591EP100 4897 1212100 SH SOLE 1212100 0 0 D RODMAN & RENSHAW CAP GROUP INC COMMON STOCK 77487R100 1008 969100 SH SOLE 969100 0 0 D SAVANNAH BANCORP INC COM STK COMMON STOCK 804748101 2067 310800 SH SOLE 310800 0 0 D SMITHTOWN BANCORP IN C COM STK COMMON STOCK 832449102 10232 800000 SH SOLE 800000 0 0 D SOMERSET HILLS BANCO RP BERNA COMMON STOCK 834728107 1559 207900 SH SOLE 207900 0 0 D SOUTH FINL GROUP INC COM STK COMMON STOCK 837841105 8092 6800000 SH SOLE 6800000 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 2281 278200 SH SOLE 278200 0 0 D SPDR KBW REGIONAL BANKING ETF US ETF'S - US TR 78464A698 16416 900000 SH SOLE 900000 0 0 D STATE BANCORP INC N Y COM STK COMMON STOCK 855716106 4701 621800 SH SOLE 621800 0 0 D STERLING BANCSHARES INC COM COMMON STOCK 858907108 1899 300000 SH SOLE 300000 0 0 D SUNTRUST BKS INC COM STK COMMON STOCK 867914103 22301 1355700 SH SOLE 1355700 0 0 D SUPERIOR BANCORP COM STK COMMON STOCK 86806M205 853 326850 SH SOLE 326850 0 0 D SVB FINANCIAL GROUP COM STK COMMON STOCK 78486Q101 21776 800000 SH SOLE 800000 0 0 D SYNOVUS FINL CORP COM COMMON STOCK 87161C105 1495 500000 SH SOLE 500000 0 0 D TCF FINL CORP COM STK COMMON STOCK 872275102 7354 550000 SH SOLE 550000 0 0 D TEXAS CAP BANCSHARES INC COM COMMON STOCK 88224Q107 22797 1473600 SH SOLE 1473600 0 0 D TRICO BANCSHARES COM STK COMMON STOCK 896095106 245 15800 SH SOLE 15800 0 0 D UNITED COMMUNITY BAN KS INC CO COMMON STOCK 90984P105 173 28900 SH SOLE 28900 0 0 D US BANCORP COM COMMON STOCK 902973304 28419 1585900 SH SOLE 1585900 0 0 D WELLS FARGO & CO COMMON STOCK 949746101 3018 124400 SH SOLE 124400 0 0 D WELLS FARGO & CO 7.5% SER L PFRD STK 949746804 7457 9500 SH SOLE 9500 0 0 D WHITE RIVER CAPT COMMON STOCK 96445P105 2834 313100 SH SOLE 313100 0 0 D WHITNEY HLDG CORP COM STK COMMON STOCK 966612103 1374 150000 SH SOLE 150000 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 2129 162300 SH SOLE 162300 0 0 D WINTRUST FINL CORP COM STK COMMON STOCK 97650W108 10240 636800 SH SOLE 636800 0 0 S REPORT SUMMARY 99 DATA RECORDS 504139 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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