0001193125-13-222322.txt : 20130515 0001193125-13-222322.hdr.sgml : 20130515 20130515160610 ACCESSION NUMBER: 0001193125-13-222322 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130515 DATE AS OF CHANGE: 20130515 EFFECTIVENESS DATE: 20130515 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: 13846988 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 1 d539237d13fhr.txt FORM 13F-HR 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 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, LLC Address: 150 East 52nd Street, 30th Floor New York, NY 10022 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/CEO Phone: (212) 486-7300 Signature, Place and Date of Signing: TERRY MALTESE May 15, 2013 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: 152 Form 13F Information Table Value Total: 905998 Page 2 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 4724 842100 SH SOLE 842100 0 0 D 1ST UNITED BANCORP INC. (FL) C COMMON STOCK 33740N105 8304 1285500 SH SOLE 1285500 0 0 D ACCESS NATL CORP COM STK COMMON STOCK 004337101 1995 119200 SH SOLE 119200 0 0 D AERCAP HOLDINGS NV COM STK COMMON STOCK N00985106 11356 735000 SH SOLE 735000 0 0 D ALLIANCE BANCORP INC OF PA COMMON STOCK 01890A108 2870 215000 SH SOLE 215000 0 0 D AMERICAN INTERNATIONAL GRP INC COMMON STOCK 026874784 2912 75000 SH SOLE 75000 0 0 D AMERICAN RIVER BANKSHARES COM COMMON STOCK 029326105 6744 898000 SH SOLE 898000 0 0 D AON PLC COM STK COMMON STOCK G0408V102 1538 25000 SH SOLE 25000 0 0 D ARTHUR J. GALLAGHER & CO COM COMMON STOCK 363576109 14459 350000 SH SOLE 350000 0 0 D ASB BANCORP INC COM STK COMMON STOCK 00213T109 2610 153600 SH SOLE 153600 0 0 D ATHENS BANCSHARES CORP COM STK COMMON STOCK 047042106 1363 74900 SH SOLE 74900 0 0 D BANCFIRST CORP COM STK COMMON STOCK 05945F103 10600 254200 SH SOLE 254200 0 0 D BANK MUTUAL CORP COM STK COMMON STOCK 063750103 3821 691000 SH SOLE 691000 0 0 D BANK OF AMERICA CORP COM STK COMMON STOCK 060505104 9586 787000 SH SOLE 787000 0 0 D BANKUNITED INC COM STK COMMON STOCK 06652K103 5765 225000 SH SOLE 225000 0 0 D BAR HARBOR BANKSHARES COM STK COMMON STOCK 066849100 2347 64200 SH SOLE 64200 0 0 D BLACKROCK INC COM STK COMMON STOCK 09247X101 4059 15800 SH SOLE 15800 0 0 D BOSTON PRIVATE FINL HLDGS INC COMMON STOCK 101119105 785 79500 SH SOLE 79500 0 0 D BRIDGE BANCORP INC COM STK COMMON STOCK 108035106 4902 227900 SH SOLE 227900 0 0 D BRIDGE CAPITAL HOLDINGS COMMON STOCK 108030107 4805 315300 SH SOLE 315300 0 0 D BROWN & BROWN INC COM STK COMMON STOCK 115236101 3044 95000 SH SOLE 95000 0 0 D CAMCO FINANCIAL CORP COM STK COMMON STOCK 132618109 311 89600 SH SOLE 89600 0 0 D CAPITAL BANK FINL CORPORATION COMMON STOCk 139794101 2246 131110 SH SOLE 131110 0 0 D CAPITAL ONE FINANCIAL CORP COM COMMON STOCK 14040H105 23557 428700 SH SOLE 428700 0 0 D CARDINAL FINANCIAL CORP COM ST COMMON STOCK 14149F109 584 32100 SH SOLE 32100 0 0 D CENTURY BANCORP INC COM STK COMMON STOCK 156432106 7644 225414 SH SOLE 225414 0 0 D CHICOPEE BANCORP INC COM STK COMMON STOCK 168565109 4563 270000 SH SOLE 270000 0 0 D CITIGROUP INC COM STK COMMON STOCK 172967424 21279 481000 SH SOLE 481000 0 0 D CITIZENS & NORTHN CO RP COM ST COMMON STOCK 172922106 1601 82100 SH SOLE 82100 0 0 D CITY NATIONAL CORP CA COM STK COMMON STOCK 178566105 7906 134200 SH SOLE 134200 0 0 D COBIZ FINANCIAL INC COM STK COMMON STOCK 190897108 2136 264300 SH SOLE 264300 0 0 D COLONIAL FINL SERVICES INC COMMON STOCK 19566B101 1033 76200 SH SOLE 76200 0 0 D COMERICA INC COM STK COMMON STOCK 200340107 19417 540100 SH SOLE 540100 0 0 D CONNECTONE BANCORP INC COM ST COMMON STOCK 20786U101 5000 160000 SH SOLE 160000 0 0 D COWEN GROUP INC COM STK COMMON STOCK 223622101 1974 700000 SH SOLE 700000 0 0 D DISCOVER FINANCIAL SERVICES COMMON STOCK 254709108 10313 230000 SH SOLE 230000 0 0 D EAGLE BANCORP MONTANA INC COM COMMON STOCK 26942G100 3285 300000 SH SOLE 300000 0 0 D ESSA BANCORP INC COM STK COMMON STOCK 29667D104 2183 201400 SH SOLE 201400 0 0 D EVANS BANCORP INC COM STK COMMON STOCK 29911Q208 6370 352500 SH SOLE 352500 0 0 D EVERCORE PARTNERS INC CLASS A COMMON STOCK 29977A105 2288 55000 SH SOLE 55000 0 0 D FARMERS NATIONAL BANC CORP COM COMMON STOCK 309627107 339 53800 SH SOLE 53800 0 0 D FEDFIRST FINANCIAL CORP COM ST COMMON STOCK 31429C101 2258 127200 SH SOLE 127200 0 0 D FIDELITY NTNL FNCL INC CL A COMMON STOCK 31620R105 1274 50500 SH SOLE 50500 0 0 D FIFTH THIRD BANCORP COM STK COMMON STOCK 316773100 3691 226300 SH SOLE 226300 0 0 D FIRST BANCORP COM STK COMMON STOCK 318910106 337 25000 SH SOLE 25000 0 0 D FIRST BANCORP INC COM STK COMMON STOCK 31866P102 2702 150000 SH SOLE 150000 0 0 D FIRST BUSEY CORPORATION COM ST COMMON STOCK 319383105 756 165500 SH SOLE 165500 0 0 D FIRST CITIZENS BANCSHARES INC COMMON STOCK 31946M103 18818 103000 SH SOLE 103000 0 0 D FIRST COMMUNITY CORP COM STK COMMON STOCK 319835104 4037 450600 SH SOLE 450600 0 0 D FIRST DEFIANCE FINANCIAL CORP COMMON STOCK 32006W106 1208 51800 SH SOLE 51800 0 0 D FIRST FINANCIAL BANCORP OHIO COMMON STOCK 320209109 12307 766800 SH SOLE 766800 0 0 D FIRST INTRSTTE BNCSYSTEM CL A COMMON STOCK 32055Y201 752 40000 SH SOLE 40000 0 0 D FIRST MIDWEST BANCORP INC DEL COMMON STOCK 320867104 13704 1031900 SH SOLE 1031900 0 0 D FIRSTMERIT CORPORATION COM STK COMMON STOCK 337915102 6037 365000 SH SOLE 365000 0 0 D FLAGSTAR BANCORP INC COM STK COMMON STOCK 337930705 4876 350000 SH SOLE 350000 0 0 D FLUSHING FINANCIAL CORP COM ST COMMON STOCK 343873105 2402 141800 SH SOLE 141800 0 0 D FORTEGRA FINL CORP COM STK COMMON STOCK 34954W104 447 51000 SH SOLE 51000 0 0 D FOX CHASE BANCORP INC COM STK COMMON STOCK 35137T108 8783 520000 SH SOLE 520000 0 0 D GEORGETOWN BANCORP INC COM STK COMMON STOCK 372591107 1910 138887 SH SOLE 138887 0 0 D GLACIER BANCORP INC COM STK COMMON STOCK 37637Q105 2467 130000 SH SOLE 130000 0 0 D GUARANTY BANCORP COM STK COMMON STOCK 40075T102 1528 727684 SH SOLE 727684 0 0 D HAMILTON BANCORP INC COM STK COMMON STOCK 407015106 5015 365000 SH SOLE 365000 0 0 D HAMPTON ROADS BANCSHARES INC COMMON STOCK 409321502 389 297000 SH SOLE 297000 0 0 D HEARTLAND FINANCIAL USA INC COMMON STOCK 42234Q102 897 35500 SH SOLE 35500 0 0 D HERITAGE COMMERCE CORP COM STK COMMON STOCK 426927109 774 115000 SH SOLE 115000 0 0 D HERITAGE FINANCIAL CORPORATIO COMMON STOCK 42722X106 6780 467600 SH SOLE 467600 0 0 D HERITAGE OAKS BANCORP COM STK COMMON STOCK 42724R107 10271 1802000 SH SOLE 1802000 0 0 D HF FINANCIAL CORP COM STK COMMON STOCK 404172108 8986 655900 SH SOLE 655900 0 0 D HINGHAM INSTITUTION FOR SVGS COMMON STOCK 433323102 2788 40000 SH SOLE 40000 0 0 D HOME FEDERAL BANCORP INC LA C COMMON STOCK 43708L108 2130 120000 SH SOLE 120000 0 0 D HOMETRUST BANCSHARES INC COM COMMON STOCK 437872104 3331 210800 SH SOLE 210800 0 0 D HOPFED BANCORP INC COM STK COMMON STOCK 439734104 7890 734602 SH SOLE 734602 0 0 D HUNTINGTON BANCSHARES INC COM COMMON STOCK 446150104 4717 640000 SH SOLE 640000 0 0 D IF BANCORP INC COM STK COMMON STOCK 44951J105 6646 435800 SH SOLE 435800 0 0 D INDEPENDENT BANK CORPORATION COMMON STOCK 453838609 1481 175000 SH SOLE 175000 0 0 D INVESCO LTD SHS COMMON STOCK G491BT108 5922 204500 SH SOLE 204500 0 0 D JACKSONVILLE BANCORP INC FLA COMMON STOCK 469249106 2500 5000000 SH SOLE 5000000 0 0 D JACKSONVILLE BANCORP INC IL COMMON STOCK 46924R106 911 48100 SH SOLE 48100 0 0 D JP MORGAN CHASE & CO COM STK COMMON STOCK 46625H100 9492 200000 SH SOLE 200000 0 0 D KEYCORP NY COM STK COMMON STOCK 493267108 9960 1000000 SH SOLE 1000000 0 0 D LAKELAND FINANCIAL CORP COM ST COMMON STOCK 511656100 2052 76900 SH SOLE 76900 0 0 D LAPORTE BANCORP INC COM STK COMMON STOCK 516651106 5944 600400 SH SOLE 600400 0 0 D LAZARD LTD SHS A SHS A G54050102 9393 275214 SH SOLE 275214 0 0 D LNB BANCORP INC COM STK COMMON STOCK 502100100 5175 622763 SH SOLE 622763 0 0 D LOUISIANA BANCORP INC COM COMMON STOCK 54619P104 3431 201000 SH SOLE 201000 0 0 D LPL FINANCIAL HLDNGS INC COM COMMON STOCK 50212V100 5603 173783 SH SOLE 173783 0 0 D MAINSOURCE FINANCIAL GROUP INC COMMON STOCK 56062Y102 2187 155756 SH SOLE 155756 0 0 D MALVERN BANCORP INC COM STK COMMON STOCK 561409103 7863 645000 SH SOLE 645000 0 0 D MARSH & MCLENNAN COMPANIES INC COMMON STOCK 571748102 6645 175000 SH SOLE 175000 0 0 D MB FINANCIAL INC COM STK COMMON STOCK 55264U108 14688 607700 SH SOLE 607700 0 0 D MERIDIAN INTERSTATE BNCRP INC COMMON STOCK 58964Q104 7734 412500 SH SOLE 412500 0 0 D METLIFE INC COM STK COMMON STOCK 59156R108 16695 439100 SH SOLE 439100 0 0 D MIDWESTONE FINANCIAL GRP INC COMMON STOCK 598511103 4991 209600 SH SOLE 209600 0 0 D MORGAN STANLEY COM STK COMMON STOCK 617446448 29326 1334200 SH SOLE 1334200 0 0 D M&T BK CORP WRNT EXP 12/28/18 WARRANTS 55261F112 10842 352575 SH SOLE 352575 0 0 D MUTUALFIRST FINANCIA L INC COM COMMON STOCK 62845B104 5497 383100 SH SOLE 383100 0 0 D NATIONAL BANK HOLDINGS CLASS A COMMON STOCK 633707104 4220 230600 SH SOLE 230600 0 0 D NATIONSTAR MORTGAGE HLDGS INC COMMON STOCK 63861C109 5797 157113 SH SOLE 157113 0 0 D NEWPORT BANCORP INC COM STK COMMON STOCK 651754103 5989 344200 SH SOLE 344200 0 0 D NORTH VALLEY BANCORP COM STK COMMON STOCK 66304M204 9062 512000 SH SOLE 512000 0 0 D NORTHRIM BANCORP INC COMMON STOCK 666762109 5853 260500 SH SOLE 260500 0 0 D OBA FINANCIAL SERVIC ES INC COMMON STOCK 67424G101 4041 212700 SH SOLE 212700 0 0 D OCEANFIRST FINL CORP COM STK COMMON STOCK 675234108 10408 721800 SH SOLE 721800 0 0 D OCWEN FINANCIAL CORPORATION COMMON STOCK 675746309 4343 114528 SH SOLE 114528 0 0 D OLD LINE BANCSHARES INC COMMON STOCK 67984M100 763 61422 SH SOLE 61422 0 0 D OMNIAMERICAN BANCORP INC COMMON STOCK 68216R107 20139 796620 SH SOLE 796620 0 0 D ONEIDA FINANCIAL CORP COM STK COMMON STOCK 682479100 1510 118800 SH SOLE 118800 0 0 D PACIFIC PREMIER BANCORP COM S COMMON STOCK 69478X105 8548 650000 SH SOLE 650000 0 0 D PALMETTO BANCSHARES INC COM ST COMMON STOCK 697062206 11371 980295 SH SOLE 980295 0 0 D PARK STERLING BK CHARLOTTE NC COMMON STOCK 70086Y105 7495 1328900 SH SOLE 1328900 0 0 D PEOPLES FED BANCSHARES INC COMMON STOCK 711037101 4966 260000 SH SOLE 260000 0 0 D POAGE BANKSHARES INC COM STK COMMON STOCK 730206109 4844 324000 SH SOLE 324000 0 0 D POLONIA BANCORP INC COMMON STOCK 73158Q109 2236 250100 SH SOLE 250100 0 0 D PREFERRED BANK COM STK COMMON STOCK 740367404 11557 732400 SH SOLE 732400 0 0 D PREMIER FINANCIAL BANCORP INC COMMON STOCK 74050M105 1356 115000 SH SOLE 115000 0 0 D PROVIDENT FINL SERVICES INC COMMON STOCK 74386T105 836 54735 SH SOLE 54735 0 0 D PROVIDENT NEW YORK BANCORP COM COMMON STOCK 744028101 344 37900 SH SOLE 37900 0 0 D RIVERVIEW BANCORP INC COM STK COMMON STOCK 769397100 3789 1435200 SH SOLE 1435200 0 0 D SEACOAST BKG CORP FLA COMMON COMMON STOCK 811707306 4918 2353085 SH SOLE 2353085 0 0 D SI FINL GROUP INC COM STK COMMON STOCK 78425V104 4361 360700 SH SOLE 360700 0 0 D SIERRA BANCORP COM STK COMMON STOCK 82620P102 3393 258000 SH SOLE 258000 0 0 D SIMMONS FIRST NTNL CORP CL A COMMON STOCK 828730200 16655 657800 SH SOLE 657800 0 0 D SOMERSET HILLS BANCORP BERNA COMMON STOCK 834728107 2908 250000 SH SOLE 250000 0 0 D SOUTHERN MISSOURI BANCORP INC COMMON STOCK 843380106 5783 220300 SH SOLE 220300 0 0 D SOUTHWEST BANCORP INC COM STK COMMON STOCK 844767103 8384 667500 SH SOLE 667500 0 0 D STANDARD FINANCIAL CORP COMMON STOCK 853393106 6232 319600 SH SOLE 319600 0 0 D STATE BANK FINL CORP COM STK COMMON STOCK 856190103 37165 2270300 SH SOLE 2270300 0 0 D STATE INVESTORS BANCORP INC CO COMMON STOCK 857030100 3613 250000 SH SOLE 250000 0 0 D STERLING BANCORP COM STK COMMON STOCK 859158107 1940 190900 SH SOLE 190900 0 0 D STERLING FINANCIAL CORP COM COMMON STOCK 859319303 12634 582500 SH SOLE 582500 0 0 D SUFFOLK BANCORP COM STK COMMON STOCK 864739107 577 40500 SH SOLE 40500 0 0 D SUNTRUST BANKS INC COM STK COMMON STOCK 867914103 15845 550000 SH SOLE 550000 0 0 D SUNTRUST BANKS INC WRNT EXP WARRANTS 867914129 1538 192270 SH SOLE 192270 0 0 D SYNOVUS FINANCIAL CORP COM STK COMMON STOCK 87161C105 4214 1521300 SH SOLE 1521300 0 0 D TAYLOR CAPITAL GROUP INC COM COMMON STOCK 876851106 2651 165800 SH SOLE 165800 0 0 D TERRITORIAL BANCORP INC COM ST COMMON STOCK 88145X108 9750 410000 SH SOLE 410000 0 0 D TEXAS CAPITAL BANCSHARES INC C COMMON STOCK 88224Q107 9158 226400 SH SOLE 226400 0 0 D TORONTO-DOMINION BANK COM STK COMMON STOCK 891160509 5246 63000 SH SOLE 63000 0 0 D UNION FIRST MRKT BNKSHRS CORP COMMON STOCK 90662P104 606 31000 SH SOLE 31000 0 0 D UNITED COMMUNITY BANCORP COM COMMON STOCK 90984R101 2160 220200 SH SOLE 220200 0 0 D UNITED CMNTY FINL CORP OHIO C COMMON STOCK 909839102 4073 1049757 SH SOLE 1049757 0 0 D US BANCORP INC COM STK COMMON STOCK 902973304 3902 115000 SH SOLE 115000 0 0 D WALKER & DUNLOP INC COMMON STOCK 93148P102 2005 111600 SH SOLE 111600 0 0 D WELLS FARGO COMPANY COMMON STOCK 949746101 5549 150000 SH SOLE 150000 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 2274 150400 SH SOLE 150400 0 0 D WILSHIRE BANCORP INC COM STK COMMON STOCK 97186T108 9153 1350000 SH SOLE 1350000 0 0 D WINTRUST FINL CORP COM STK COMMON STOCK 97650W108 10682 288400 SH SOLE 288400 0 0 D WOLVERINE BANCORP INC COMMON STOCK 977880103 2471 134300 SH SOLE 134300 0 0 D XENITH BANKSHARES INC COMMON STOCK 98410X105 5232 1010000 SH SOLE 1010000 0 0 D YADKIN VALLEY FINL CORPORATION COMMON STOCK 984314104 6787 1692615 SH SOLE 1692615 0 0 D ZIONS BANCORPORATION COM STK COMMON STOCK 989701107 7197 288000 SH SOLE 288000 0 0 D ZIONS BANCORP WRNT EXP 11/14 WARRANTS 989701131 5657 2049500 SH SOLE 2049500 0 0 S REPORT SUMMARY 152 DATA RECORDS 905998 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED