-----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, Bw5GIXUJUc0UyIAMXjGLqiZPgULBNquoka9/c4yjQOr0RXXvUDBO2Jn3qhe2IXcc 3n5rlc5TNjxc6VeZWqgE+g== 0000950123-11-013860.txt : 20110214 0000950123-11-013860.hdr.sgml : 20110214 20110214190231 ACCESSION NUMBER: 0000950123-11-013860 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 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: 11610140 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 c12441e13fvhr.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, 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 February 11, 2011 - ------------------------------------- -------------------- ----------------- 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: 66 Form 13F Information Table Value Total: $214,163 (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 - ----------------------- ---------------- --------- -------- --------- --- ---- -------- --------------------- --------- ------ ---- AERCAP HOLDINGS NV SHS N00985106 $ 2,824 200,000 SH SOLE 200,000 0 0 AFFILIATED MANAGERS GROUP COM 008252108 $ 1,984 20,000 SH SOLE 20,000 0 0 AMERICAN FINANCIAL GROUP COM 025932104 $ 5,950 184,259 SH SOLE 184,259 0 0 AMERISERV FINL INC COM 03074A102 $ 3,334 2,110,000 SH DEFINED ELBROOK HOLDINGS, LLC 2,110,000 0 0 BANK OF AMERICA CORP COM 060505104 $ 11,339 850,000 SH SOLE 850,000 0 0 BCSB BANCORP INC COM 055367106 $ 1,922 170,107 SH SOLE 170,107 0 0 BCSB BANCORP INC COM 055367106 $ 131 11,582 SH DEFINED ELBROOK HOLDINGS, LLC 11,582 0 0 BERKSHIRE HILLS BANCORP INC COM 084680107 $ 431 19,494 SH DEFINED ELBROOK HOLDINGS, LLC 19,494 0 0 BLACKROCK INC COM 09247X101 $ 9,949 52,205 SH SOLE 52,205 0 0 BLACKSTONE GROUP COM UNIT LTD 09253U108 $ 6,368 450,000 SH SOLE 450,000 0 0 BOK FINANCIAL CORP COM NEW 05561Q201 $ 2,047 38,332 SH DEFINED ELBROOK HOLDINGS, LLC 38,332 0 0 BRYN MAWR TRUST COMPANY COM 117665109 $ 2,695 154,462 SH DEFINED ELBROOK HOLDINGS, LLC 154,462 0 0 CAPITAL ONE FINL CORP. W EXP 11/14/2018 14040H139 $ 4,513 282,766 SH SOLE 282,766 0 0 CAPITOL FED FINL COM 14057J101 $ 2,368 198,814 SH SOLE 198,814 0 0 CAPITOL FED FINL COM 14057J101 $ 789 66,286 SH DEFINED ELBROOK HOLDINGS, LLC 66,286 0 0 CHICOPEE BANCORP INC COM 168565109 $ 411 32,520 SH DEFINED ELBROOK HOLDINGS, LLC 32,520 0 0 CITIGROUP INC COM 172967101 $ 13,459 2,845,498 SH SOLE 2,845,498 0 0 CITIGROUP INC COM 172967101 $ 2,081 440,000 SH DEFINED ELBROOK HOLDINGS, LLC 440,000 0 0 COBIZ FINANCIAL INC COM 190897108 $ 365 59,962 SH DEFINED ELBROOK HOLDINGS, LLC 59,962 0 0 COLUMBIA BANKING SYSTEM INC COM 197236102 $ 921 43,750 SH DEFINED ELBROOK HOLDINGS, LLC 43,750 0 0 COMMONWEALTH BANKSHARES INC COM 202736104 $ 625 463,235 SH DEFINED ELBROOK HOLDINGS, LLC 463,235 0 0 COMMUNITY BANKERS TRUST CORP COM 203612106 $ 596 568,000 SH DEFINED ELBROOK HOLDINGS, LLC 568,000 0 0 DANVERS BANCORP INC COM 236442109 $ 470 26,578 SH DEFINED ELBROOK HOLDINGS, LLC 26,578 0 0 DORAL FINANCIAL CORP COM NEW 25811P886 $ 392 283,852 SH SOLE 283,852 0 0 DORAL FINANCIAL CORP COM NEW 25811P886 $ 3,450 2,500,000 SH DEFINED ELBROOK HOLDINGS, LLC 2,500,000 0 0 EAST WEST BANCORP INC COM 27579R104 $ 1,865 95,384 SH DEFINED ELBROOK HOLDINGS, LLC 95,384 0 0 FIRST FINANCIAL BANCORP OH COM 320209109 $ 1,571 85,000 SH DEFINED ELBROOK HOLDINGS, LLC 85,000 0 0 FIRST FRANKLIN CORP COM 320272107 $ 474 32,171 SH SOLE 32,171 0 0 FOX CHASE BANCORP INC NEW COM 35137T108 $ 2,939 248,000 SH SOLE 248,000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 $ 5,192 30,875 SH SOLE 30,875 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 $ 2,102 12,500 SH DEFINED ELBROOK HOLDINGS, LLC 12,500 0 0 GREAT SOUTHERN BANCORP INC COM 390905107 $ 408 17,282 SH DEFINED ELBROOK HOLDINGS, LLC 17,282 0 0 GULFPORT ENERGY CORP. COM NEW 402635304 $ 421 19,417 SH SOLE 19,417 0 0 JMP GROUP INC COM 46629U107 $ 1,017 133,333 SH SOLE 133,333 0 0 JPMORGAN CHASE & CO COM 46625H100 $ 212 5,000 SH SOLE 5,000 0 0 JPMORGAN CHASE & CO COM 46625H100 $ 2,163 51,000 SH DEFINED ELBROOK HOLDINGS, LLC 51,000 0 0 JP MORGAN CHASE & CO. W EXP 10/28/2018 46634E114 $ 4,071 281,708 SH SOLE 281,708 0 0 KKR FINANCIAL HLDGS INC COM 48248A306 $ 4,278 460,000 SH SOLE 460,000 0 0 KKR & CO LP COM UNITS 48248M102 $ 1,420 100,000 SH SOLE 100,000 0 0
LEUCADIA NATIONAL CORP COM 527288104 $ 2,672 91,569 SH SOLE 91,569 0 0 MACKINAC FINANCIAL CORP COM 554571109 $ 1,557 340,000 SH DEFINED ELBROOK HOLDINGS, LLC 340,000 0 0 MAIDEN HOLDINGS LTD SHS G5753U112 $ 9,432 1,200,000 SH DEFINED ELBROOK HOLDINGS, LLC 1,200,000 0 0 METLIFE INC COM 59156R108 $ 4,444 100,000 SH SOLE 100,000 0 0 MPG OFFICE TRUST COM 553274101 $ 2,063 750,000 SH SOLE 750,000 0 0 OMNIAMERICAN BANCORP INC COM 68216R107 $ 482 35,564 SH DEFINED ELBROOK HOLDINGS, LLC 35,564 0 0 ORIENTAL FINANCIAL GROUP INC COM 68618W100 $ 2,346 187,814 SH SOLE 187,814 0 0 ORIENTAL FINANCIAL GROUP INC COM 68618W100 $ 12,250 980,786 SH DEFINED ELBROOK HOLDINGS, LLC 980,786 0 0 ORITANI FINANCIAL CORP COM 68633D103 $ 2,567 209,718 SH SOLE 209,718 0 0 ORITANI FINANCIAL CORP COM 68633D103 $ 2,499 204,200 SH DEFINED ELBROOK HOLDINGS, LLC 204,200 0 0 PEOPLES FEDERAL BANCSHARES INC COM 711037101 $ 1,732 133,116 SH SOLE 133,116 0 0 PHH CORP COM NEW 693320202 $ 4,630 200,000 SH SOLE 200,000 0 0 PNC FINL SVCS GROUP INC W EXP 12/31/2018 693475121 $ 3,138 217,489 SH SOLE 217,489 0 0 POPULAR INC COM 733174106 $ 9,384 2,988,516 SH SOLE 2,988,516 0 0 POPULAR INC COM 733174106 $ 4,710 1,500,000 SH DEFINED ELBROOK HOLDINGS, LLC 1,500,000 0 0 PRUDENTIAL FINANCIAL INC COM 744320102 $ 4,697 80,000 SH SOLE 80,000 0 0 SEACUBE CONTAINER LEASING LT SHS G79978105 $ 7,030 500,000 SH SOLE 500,000 0 0 SOUTHERN NATIONAL BANCORP COM 843395104 $ 1,542 202,950 SH DEFINED ELBROOK HOLDINGS, LLC 202,950 0 0 TIDELANDS BANCSHARES INC COM 886374107 $ 312 300,000 SH DEFINED ELBROOK HOLDINGS, LLC 300,000 0 0 UMPQUA HOLDINGS CORP COM 904214103 $ 446 36,657 SH DEFINED ELBROOK HOLDINGS, LLC 36,657 0 0 UNITED FINANCIAL BANCORP INC COM 91030T109 $ 453 29,686 SH DEFINED ELBROOK HOLDINGS, LLC 29,686 0 0 VIEWPOINT FINANCIAL GROUP INC COM 92672A101 $ 3,256 278,504 SH SOLE 278,504 0 0 WASHINGTON BANKING CO COM 937303105 $ 7,221 526,670 SH DEFINED ELBROOK HOLDINGS, LLC 526,670 0 0 WELLS FARGO & CO COM 949746101 $ 9,762 315,000 SH SOLE 315,000 0 0 WELLS FARGO & CO COM 949746101 $ 2,169 70,000 SH DEFINED ELBROOK HOLDINGS, LLC 70,000 WELLS FARGO & CO PERP PFD CONV A 949746804 $ 4,803 4,800 SH SOLE 4,800 0 0 WEST COAST BANCORP COM 952145100 $ 1,018 360,995 SH DEFINED ELBROOK HOLDINGS, LLC 360,995 0 0
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