-----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, KpqSEfsp1KdrJKc3O3CFxFqpdToWTCe+KFhleg6Lt5hKy8NUDs4xduvHukrFZRg/ eCfk4+Oq+KZNUA6ho9ab8g== 0000950123-10-012356.txt : 20100212 0000950123-10-012356.hdr.sgml : 20100212 20100212165544 ACCESSION NUMBER: 0000950123-10-012356 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FSI GROUP, LLC CENTRAL INDEX KEY: 0001041241 IRS NUMBER: 311437546 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06728 FILM NUMBER: 10600539 BUSINESS ADDRESS: STREET 1: 441 VINE STREET STREET 2: SUITE 1300 CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5132416166 MAIL ADDRESS: STREET 1: 441 VINE STREET STREET 2: SUITE 1300 CITY: CINCINNATI STATE: OH ZIP: 45202 FORMER COMPANY: FORMER CONFORMED NAME: FINANCIAL STOCKS INC DATE OF NAME CHANGE: 19970618 13F-HR 1 c96127e13fvhr.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: December 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: FSI Group, LLC Address: 441 Vine Street Suite 1300 Cincinnati, Ohio 45202 13F File Number: 28-6728 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: John M. Stein Title: President Phone: (513) 746-2200 Signature, Place, and Date of Signing: /s/ John M. Stein Cincinnati, Ohio February 12, 2010 - ------------------------------------- ------------------ ------------------- 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).) List of Other Managers Reporting for this Manager: N/A -1- FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: -0- Form 13F Information Table Entry Total: 46 Form 13F Information Table Value Total: $149,491 ---------- (thousands) List of Other Included Managers: None -2-
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ --------- --------- ----------- ------------------------- ----------- -------- --------------------- Title of Name of Issuer Class CUSIP FMV (000's) SH or PRN SH\PRN PUT\CALL Inv. Discr. Oth Mgrs Sole Shared None - ------------------------------ --------- --------- ----------- --------- ------ -------- ----------- -------- --------- ------ ---- AMERISERV FINANCIAL INC COM 03074A102 $ 3,524 2,110,000 SH Sole 2,110,000 BANK OF AMERICA CORP COM 60505104 $ 7,921 525,989 SH Sole 525,989 BCSB BANCORP COM 055367106 $1,522.46 170,107 SH Sole 170,107 CITIZENS REPUBLIC BANCORP COM 174420109 $ 983 1,424,480 SH Sole 1,424,480 CITIZENS COMMUNITY BANCORP COM 174903104 $ 128 37,763 SH Sole 37,763 CITY NATIONAL CORP COM 178566105 $ 45,158 99,031 SH Sole 99,031 CME GROUP COM 12572Q105 $ 3,081 9,172 SH Sole 9,172 COMERICA INC. COM 200340107 $ 59,140 200,00 SH Sole 200,00 COMMONWEALTH BANCSHARES COM 202736104 $ 787 463,235 SH Sole 463,235 COMMUNITY BANKERS TRUST COM 203612106 $ 1,852 568,000 SH Sole 568,000 FBR CAPITAL MARKETS COM 30247C301 $ 61,190 990,127 SH Sole 990,127 FIRST CITIZEN NC CL A 31946M103 $ 3,151 19,210 SH Sole 19,210 FIRST FINANCIAL BANCORP COM 320209109 $ 4,196 288,157 SH Sole 288,157 FIRST FRANKLIN CORP COM 320272107 $ 322 40,274 SH Sole 40,274 FIRST KEYSTONE FINANCIAL COM 320655103 $ 2,614 221,515 SH Sole 221,515 FIRST MIDWEST BANCORP COM 320867104 $ 2,157 198,062 SH Sole 198,062 FIRST NIAGARA FINANCIAL COM 33582V108 $ 3,340 240,131 SH Sole 240,131 FIFTH THIRD BANCORP COM 316773100 $ 3,440 352,825 SH Sole 352,825 1ST UNITED BANCORP COM 33740N105 $ 1,428 200,000 SH Sole 200,000 GENWORTH FINANCIAL COM CL A 37247D106 $ 3,542 312,049 SH Sole 312,049 GREAT FLORIDA CLASS A CL A 390528107 $ 772 1,103,000 SH Sole 1,103,000 GULFPORT ENERGY CORP. COM NEW 402635304 $ 528 46,150 SH Sole 46,150 INTERCONTINENTALEXCHANGE, INC. COM 45865V100 $ 2,157 19,210 SH Sole 19,210 INTERNATIONAL ROYALTY CORP COM 460277106 $ 143 20,000 SH Sole 20,000 JMP GROUP INC COM 46629U107 $ 1,296 133,333 SH Sole 133,333 LAKELAND FINANCIAL CORP. COM 511656100 $ 854 49,515 SH Sole 49,515 LINCOLN NATIONAL COM 534187109 $ 7,792 313,171 SH Sole 313,171 LEUCADIA NATIONAL CO COM 527288104 $ 2,303 96,825 SH Sole 96,825 NARA BANCORP COM 63080P105 $ 3,969 350,000 SH Sole 350,000 NORTHERN TRUST CORP COM 665859104 $ 3,373 64,370 SH Sole 64,370 NORTHWEST BANCORP COM 667340103 $ 7,019 622,819 SH Sole 622,819 MACKINAC FINANCIAL CORP COM 554571109 $ 1,578 340,000 SH Sole 340,000 MAIDEN HOLDINGS LTD SHS G5753U112 $ 8,784 1,200,000 SH Sole 1,200,000 MB FINANCIAL COM 55264U108 $ 39,038 198,062 SH Sole 198,062 MF GLOBAL LTD SHS 55277J108 $ 2,402 345,603 SH Sole 345,603 POPULAR INC COM 733174106 $ 22,391 990,773 SH Sole 990,773 PROTECTIVE LIFE CORP COM 743674103 $ 4,184 252,784 SH Sole 252,784 PRUDENTIAL FINANCIAL COM 744320102 $ 3,919 78,764 SH Sole 78,764 REGIONS FINANCIAL COM 7591EP100 $ 6,855 1,295,852 SH Sole 1,295,852 SOUTHERN NATIONAL BANCORP COM 843395104 $ 1,461 202,950 SH Sole 202,950 STATE STREET CORP COM 857477103 $ 3,234 74,273 SH Sole 74,273 TIDELANDS BANCSHARES COM 886374107 $ 1,110 300,000 SH Sole 300,000 TRUSTMARK CORP COM 898402102 $ 3,460 153,498 SH Sole 153,498 UMPQUA HOLDINGS CORP COM 904214103 $ 5,057 377,092 SH Sole 377,092 WASHINGTON BANKING CO COM 937303105 $ 5,970 500,000 SH Sole 500,000 WELLS FARGO PERP PFD CONV A 949746804 $ 4,590 5,000 SH Sole 5,000
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