-----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, B1HEusUduend84ynrYVmEpMBwqpAalnWE2E2M0m5A7OxKblp7YRJ/olf/B7bwFUI mA9GFm3s8+Ab3lPHDdCC5A== 0000950123-10-103140.txt : 20101109 0000950123-10-103140.hdr.sgml : 20101109 20101109143918 ACCESSION NUMBER: 0000950123-10-103140 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101109 DATE AS OF CHANGE: 20101109 EFFECTIVENESS DATE: 20101109 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: 101175755 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 c08078e13fvhr.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: September 30, 2010 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: John M. Stein Cincinnati, Ohio November 8, 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: 1 Form 13F Information Table Entry Total: 72 Form 13F Information Table Value Total: $190,640 (thousands) List of Other Included Managers: Elbrook Holdings, LLC -2-
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------- ---------------- --------- -------- ------------------ -------- --------------------- --------------------- FMV SH\ PUT\ Inv. Name of Issuer Title of Class CUSIP (000's) SH or PRN PRN CALL Discr. Oth Mgrs Sole Shared None - ---------------------- ---------------- --------- -------- --------- --- ---- -------- --------------------- --------- ------ ---- ALLIED IRISH BANKS PLC SPON ADR ORD 019228402 $ 1,420 1,000,000 SH SOLE 1,000,000 0 0 AMERICAN FINANCIAL GROUP COM 025932104 $ 5,745 187,856 SH SOLE 187,856 0 0 AMERIS BANCORP COM 03076K108 $ 1,764 188,610 SH SOLE 188,610 0 0 AMERIS BANCORP COM 03076K108 $ 2,818 301,428 SH DEFINED ELBROOK HOLDINGS, LLC 301,428 0 0 AMERISERV FINL INC COM 03074A102 $ 3,524 2,110,000 SH DEFINED ELBROOK HOLDINGS, LLC 2,110,000 0 0 BANK OF AMERICA CORP COM 060505104 $ 9,919 757,036 SH SOLE 757,036 0 0 BANNER CORP COM 06652V109 $ 3,020 1,398,122 SH SOLE 1,398,122 0 0 BANNER CORP COM 06652V109 $ 3,240 1,500,000 SH DEFINED ELBROOK HOLDINGS, LLC 1,500,000 0 0 BB&T CORP COM 054937107 $ 2,408 100,000 SH SOLE 100,000 0 0 BCSB BANCORP INC COM 055367106 $ 1,616 170,107 SH SOLE 170,107 0 0 BCSB BANCORP INC COM 055367106 $ 110 11,582 SH DEFINED ELBROOK HOLDINGS, LLC 11,582 0 0 BERKSHIRE HILLS BANCORP INC COM 084680107 $ 370 19,494 SH DEFINED ELBROOK HOLDINGS, LLC 19,494 0 0 BLACKSTONE GROUP LP COM UNIT LTD 09253U108 $ 5,076 400,000 SH SOLE 400,000 0 0 BOK FINANCIAL CORP COM NEW 05561Q201 $ 1,730 38,332 SH DEFINED ELBROOK HOLDINGS, LLC 38,332 0 0 BRYN MAWR BK CORP COM 117665109 $ 2,660 154,462 SH DEFINED ELBROOK HOLDINGS, LLC 154,462 0 0 CAPLEASE FUNDING INC COM 140288101 $ 2,318 414,718 SH SOLE 414,718 0 0 CAPITAL ONE FINL CORP. W EXP 11/14/2018 14040H139 $ 3,987 282,766 SH SOLE 282,766 0 0 CHICOPEE BANCORP INC COM 168565109 $ 367 32,520 SH DEFINED ELBROOK HOLDINGS, LLC 32,520 0 0 CIT GROUP INC COM NEW 125581801 $ 7,725 189,252 SH SOLE 189,252 0 0 CITIGROUP INC COM 172967101 $11,343 2,901,070 SH SOLE 2,901,070 0 0 CITIZENS REPUBLIC BANCORP COM 174420109 $ 90 100,000 SH SOLE 100,000 0 0 COBIZ FINANCIAL INC COM 190897108 $ 333 59,962 SH DEFINED ELBROOK HOLDINGS, LLC 59,962 0 0 COLUMBIA BANKING SYSTEM INC COM 197236102 $ 860 43,750 SH DEFINED ELBROOK HOLDINGS, LLC 43,750 0 0 COMMONWEALTH BANKSHARES INC COM 202736104 $ 1,089 463,235 SH DEFINED ELBROOK HOLDINGS, LLC 463,235 0 0 COMMUNITY BANKERS TRUST CORP COM 203612106 $ 562 568,000 SH DEFINED ELBROOK HOLDINGS, LLC 568,000 0 0 DANVERS BANCORP INC COM 236442109 $ 407 26,578 SH DEFINED ELBROOK HOLDINGS, LLC 26,578 0 0 DORAL FINANCIAL CORP COM NEW 25811P886 $ 471 283,852 SH SOLE 283,852 0 0 DORAL FINANCIAL CORP COM NEW 25811P886 $ 4,150 2,500,000 SH DEFINED ELBROOK HOLDINGS, LLC 2,500,000 0 0 EAST WEST BANCORP INC COM 27579R104 $ 1,553 95,384 SH DEFINED ELBROOK HOLDINGS, LLC 95,384 0 0 FIRST FINANCIAL BANCORP OH COM 320209109 $ 1,418 85,000 SH DEFINED ELBROOK HOLDINGS, LLC 85,000 0 0 FIRST FRANKLIN CORP COM 320272107 $ 234 32,171 SH SOLE 32,171 0 0 1ST UNITED BANCORP INC COM 33740N105 $ 1,216 189,139 SH SOLE 189,139 0 0 1ST UNITED BANCORP INC COM 33740N105 $ 124 19,217 SH DEFINED ELBROOK HOLDINGS, LLC 19,217 0 0 FOX CHASE BANCORP INC NEW COM 35137T108 $ 3,307 349,530 SH SOLE 349,530 0 0 GREAT SOUTHERN BANCORP INC COM 390905107 $ 376 17,282 SH DEFINED ELBROOK HOLDINGS, LLC 17,282 0 0 GULFPORT ENERGY CORP. COM NEW 402635304 $ 443 32,000 SH SOLE 32,000 0 0 HOME FEDERAL BANCORP INC COM 43710G105 $ 1,131 92,952 SH SOLE 92,952 0 0 HOME FEDERAL BANCORP INC COM 43710G105 $ 1,373 112,797 SH DEFINED ELBROOK HOLDINGS, LLC 112,797 0 0 JMP GROUP INC COM 46629U107 $ 813 133,333 SH SOLE 133,333 0 0 JP MORGAN CHASE & CO. W EXP 10/28/2018 46634E114 $ 3,288 281,708 SH SOLE 281,708 0 0 KKR & CO LP COM UNITS 48248M102 $ 1,060 100,000 SH SOLE 100,000 0 0 KRISPY KREME DOUGHNUTS, INC COM 501014104 $ 46 10,000 SH SOLE 10,000 0 0 LEUCADIA NATIONAL CORP COM 527288104 $ 2,163 91,569 SH SOLE 91,569 0 0 MACKINAC FINANCIAL CORP COM 554571109 $ 1,734 340,000 SH DEFINED ELBROOK HOLDINGS, LLC 340,000 0 0 MAIDEN HOLDINGS LTD SHS G5753U112 $ 9,132 1,200,000 SH DEFINED ELBROOK HOLDINGS, LLC 1,200,000 0 0
MB FINANCIAL INC COM 55264U108 $ 2,636 162,500 SH DEFINED ELBROOK HOLDINGS, LLC 162,500 0 0 MERCANTILE BANK CORP COM 587376104 $ 225 50,000 SH SOLE 50,000 0 0 MERCANTILE BANK CORP COM 587376104 $ 18 3,913 SH DEFINED ELBROOK HOLDINGS, LLC 3,913 0 0 MORGAN STANLEY COM NEW 617446448 $ 4,601 186,416 SH SOLE 186,416 0 0 OLD NAT'L BANCORP IND COM 680033107 $ 1,980 188,524 SH SOLE 188,524 0 0 OLD NAT'L BANCORP IND COM 680033107 $ 800 76,220 SH DEFINED ELBROOK HOLDINGS, LLC 76,220 0 0 OMNIAMERICAN BANCORP INC COM 68216R107 $ 401 35,564 SH DEFINED ELBROOK HOLDINGS, LLC 35,564 0 0 ORIENTAL FINANCIAL GROUP INC COM 68618W100 $ 2,498 187,814 SH SOLE 187,814 0 0 ORIENTAL FINANCIAL GROUP INC COM 68618W100 $14,175 1,065,786 SH DEFINED ELBROOK HOLDINGS, LLC 1,065,786 0 0 ORITANI FINANCIAL CORP COM 68633D103 $ 2,093 209,718 SH SOLE 209,718 0 0 ORITANI FINANCIAL CORP COM 68633D103 $ 2,038 204,200 SH DEFINED ELBROOK HOLDINGS, LLC 204,200 0 0 PEOPLES FEDERAL BANCSHARES INC COM 711037101 $ 1,431 133,116 SH SOLE 133,116 0 0 PNC FINL SVCS GROUP INC W EXP 12/31/2018 693475121 $ 2,308 217,489 SH SOLE 217,489 0 0 POPULAR INC COM 733174106 $ 8,836 3,046,881 SH SOLE 3,046,881 0 0 POPULAR INC COM 733174106 $ 4,350 1,500,000 SH DEFINED ELBROOK HOLDINGS, LLC 1,500,000 0 0 SOUTHERN NATIONAL BANCORP COM 843395104 $ 1,459 202,950 SH DEFINED ELBROOK HOLDINGS, LLC 202,950 0 0 SUNTRUST BANKS INC COM 867914103 $ 3,875 150,000 SH SOLE 150,000 0 0 THE ST. JOE COMPANY COM 790148100 $ 3,497 140,595 SH SOLE 140,595 0 0 TIDELANDS BANCSHARES INC COM 886374107 $ 376 300,000 SH DEFINED ELBROOK HOLDINGS, LLC 300,000 0 0 UMPQUA HOLDINGS CORP COM 904214103 $ 416 36,657 SH DEFINED ELBROOK HOLDINGS, LLC 36,657 0 0 UNITED FINANCIAL BANCORP INC COM 91030T109 $ 401 29,686 SH DEFINED ELBROOK HOLDINGS, LLC 29,686 0 0 VIEWPOINT FINANCIAL GROUP INC COM 92672A101 $ 2,576 278,504 SH SOLE 278,504 0 0 WASHINGTON BANKING CO COM 937303105 $ 7,300 526,670 SH DEFINED ELBROOK HOLDINGS, LLC 526,670 0 0 WELLS FARGO & CO COM 949746101 $ 6,995 278,504 SH SOLE 278,504 0 0 WELLS FARGO & CO PERP PFD CONV A 949746804 $ 4,829 4,800 SH SOLE 4,800 0 0 WEST COAST BANCORP COM 952145100 $ 823 360,995 SH DEFINED ELBROOK HOLDINGS, LLC 360,995 0 0 ZIONS BANCORPORATION COM 989701107 $ 1,175 55,000 SH SOLE 55,000 0 0
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