-----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, D1B8Gt6WnTLC9rOvFnLrh2PoyFBuIZC+40UrxG42OJubwkCNSpdgKOyPwf7Srrt5 4v72JbwGzsbUg+Le7RJcxQ== 0000950152-08-003730.txt : 20080509 0000950152-08-003730.hdr.sgml : 20080509 20080509130343 ACCESSION NUMBER: 0000950152-08-003730 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080509 DATE AS OF CHANGE: 20080509 EFFECTIVENESS DATE: 20080509 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL STOCKS INC CENTRAL INDEX KEY: 0001041241 IRS NUMBER: 311437546 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06728 FILM NUMBER: 08817303 BUSINESS ADDRESS: STREET 1: 507 CAREW TOWER 441 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5132416166 MAIL ADDRESS: STREET 1: 5070 CAREW TOWER 441 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45202 13F-HR 1 l31540ae13fvhr.txt FINANCIAL STOCKS, INC. 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, 2008 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 May 9, 2008 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: 41 Form 13F Information Table Value Total: $99,408 (thousands) List of Other Included Managers: None
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------- -------------- --------- ----------- --------------------------- -------- -------- ---------------------- Inv. Oth Name of Issuer Title of Class CUSIP FMV (000's) SH or PRN SH\PRN PUT\ CALL Discr. Mgrs Sole Shared None - -------------------------- -------------- --------- ----------- ---------- ------ --------- -------- -------- ---------- ------ ---- BANCORP INC COM 05969A105 1942 160,146 SH Sole 160,146 AMBAC FINANCIAL GROUP INC COM 023139108 2300 400,000 SH Sole 400,000 ADVANTA CORP CL A 007942105 1076 180,000 SH Sole 180,000 BROOKFIELD ASSET MANAGEMENT INC CL A LTD VT SH 112585104 2079 77,500 SH Sole 77,500 BANKFINANCIAL CORP COM 06643P104 1112 69,890 SH Sole 69,890 BROOKLINE BANCORP INC COM 11373M107 1178 102,595 SH Sole 102,595 -- -- CME GROUP INC COM 12572Q105 3753 8,000 SH Sole 8,000 CONNECTICUT BANK & TRUST COM 207546102 576 95,994 SH Sole 95,994 CITIZENS COMMUNITY BANCORP COM 174903104 1570 188,436 SH Sole 188,436 DIME BANCORP INC NEW Warrants 25429Q110 74 210,000 SH Sole 210,000 DANVERS BANCORP INC COM 236442109 2513 250,000 SH Sole 250,000 MERIDIAN INTERSATE BANCORP COM 58964Q104 201 20,600 SH Sole 20,600 FTI CONSULTING INC COM 302941109 2842 40,000 SH Sole 40,000 -- -- FIRST FRANKLIN CORP COM 320272107 365 41,729 SH Sole 41,729 FIDELITY NATIONAL INFORMATION COM 31620M106 954 25,000 SH Sole 25,000 FIDELITY NATIONAL FINANCIAL CL A 31620R105 6406 349,485 SH Sole 349,485 HOME FEDERAL BANCORP COM 43710G105 4952 412,636 SH Sole 412,636 HILLTOP HOLDINGS INC COM 432748101 3120 300,000 SH Sole 300,000 THE ST. JOE COMPANY COM 790148100 2576 60,000 SH Sole 60,000 K FED BANCORP COM COM 48246S101 1,400 122,685 SH Sole 122,685 -- -- LEGACY BANCORP INC CL A 52463G105 850 60,850 SH Sole 60,850 MBIA INC COM 55262C100 2,750 225,000 SH Sole 225,000 VAIL RESORTS INC COM 91879Q109 1,449 30,000 SH Sole 30,000 MSCI INC CL A 55354G100 2,111 70,955 SH Sole 70,955 NYMEX HOLDINGS INC COM 62948N104 3,625 40,000 SH Sole 40,000 NESS TECHNOLOGIES INC COM 64104X108 1,441 151,879 SH Sole 151,879 PATRIOT NATIONAL BANCORP COM 70336F104 827 54,670 SH Sole 54,670 STEWART INFORMATION SVCS INC COM 860372101 1,260 45,000 SH Sole 45,000 UNITED FINANCIAL BANCORP INC COM 91030T109 2,516 227,115 SH Sole 227,115 WESTFIELD FINANCIAL INC COM 96008P104 1,565 160,228 SH Sole 160,228 WEYERHAEUSER CO COM 962166104 1,301 20,000 SH Sole 20,000 PEOPLES COMMUNITY BANCORP INC COM 71086E107 1,837 432,183 SH Sole 432,183 MACKINAC FINANCIAL COM 554571109 2,890 340,000 SH Sole 340,000 JMP GROUP INC COM 46629U107 933 133,333 SH Sole 133,333 AMERISERV FINANCIAL INC COM 03074A102 6,082 2,180,000 SH Sole 2,180,000 COMMONWEALTH BANKSHARES INC COM 202736104 7,494 440,802.58 SH Sole 440,802.58 SOUTHERN NATIONAL BANCORP OF VA COM 843395104 1,725 202,950 SH Sole 202,950 TIDELANDS BANCSHARES INC COM 886374107 2,997 300,000 SH Sole 300,000 GREAT FLORIDA BANK CL A 390528107 8,570 1,103,000 SH Sole 1,103,000 BNCCORP INC COM 055936108 3,906 312,500 SH Sole 312,500 FIRST KEYSTONE FINANCIAL COM 320655103 2,290 221,515 SH Sole 221,515
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