0001193125-12-031844.txt : 20120131
0001193125-12-031844.hdr.sgml : 20120131
20120131145753
ACCESSION NUMBER: 0001193125-12-031844
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120131
DATE AS OF CHANGE: 20120131
EFFECTIVENESS DATE: 20120131
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: 12558828
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
d291698d13fhr.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, 2011
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 January 27, 2012
-------------- ----------------- -----------------
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
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 60
Form 13F Information Table Value Total: $142,740 (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
-------- -------- --------- ----------- ------------------------- ----------- -------------- ---------------------
Title
Name of Issuer of Class CUSIP FMV (000's) SH or PRN SH\PRN PUT\CALL Inv. Discr. Oth Mgrs Sole Shared None
-------------- -------- --------- ----------- --------- ------ -------- ----------- -------------- --------- ------ ----
AMERICAN CAPITAL
LTD COM 02503Y103 $ 3,814 566,696 SH SOLE 566,696 0 0
AMERICAN CAPITAL ELBROOK
LTD COM 02503Y103 $ 984 146,263 SH DEFINED HOLDINGS, LLC 146,263 0 0
AMERICAN FINANCIAL
GROUP COM 025932104 $ 6,281 170,252 SH SOLE 170,252 0 0
AMERICAN FINANCIAL ELBROOK
GROUP COM 025932104 $ 1,621 43,942 SH DEFINED HOLDINGS, LLC 43,942 0 0
AMERISERV FINL INC ELBROOK
COM 03074A102 $ 4,017 2,060,000 SH DEFINED HOLDINGS, LLC 2,060,000 0 0
BANK OF AMERICA COM 060505104 $ 6,603 1,187,585 SH SOLE 1,187,585 0 0
BANK OF AMERICA ELBROOK
COM 060505104 $ 1,705 306,592 SH DEFINED HOLDINGS, LLC 306,592 0 0
BANNER CORP COM
NEW 06652V208 $ 624 36,411 SH SOLE 36,411 0 0
BANNER CORP COM ELBROOK
NEW 06652V208 $ 161 9,398 SH DEFINED HOLDINGS, LLC 9,398 0 0
BCSB BANCORP INC COM 055367106 $ 1,642 152,764 SH SOLE 152,764 0 0
BCSB BANCORP INC ELBROOK
COM 055367106 $ 151 14,050 SH DEFINED HOLDINGS, LLC 14,050 0 0
BLACKSTONE GROUP COM
UNIT
LTD 09253U108 $ 2,102 150,000 SH SOLE 150,000 0 0
BNC BANCORP ELBROOK
COM 05566T101 $ 859 312,500 SH DEFINED HOLDINGS, LLC 312,500 0 0
CAPE BANCORP INC COM 139209100 $ 471 60,004 SH SOLE 60,004 0 0
CAPE BANCORP INC ELBROOK
COM 139209100 $ 122 15,487 SH DEFINED HOLDINGS, LLC 15,487 0 0
CITIGROUP INC. COM
NEW 172967424 $ 9,315 354,057 SH SOLE 354,057 0 0
CITIGROUP INC. COM ELBROOK
NEW 172967424 $ 2,405 91,398 SH DEFINED HOLDINGS, LLC 91,398 0 0
CITIZENS REPUBLIC COM
BANCORP INC NEW 174420307 $ 994 87,203 SH SOLE 87,203 0 0
CITIZENS REPUBLIC COM ELBROOK
BANCORP INC NEW 174420307 $ 257 22,507 SH DEFINED HOLDINGS, LLC 22,507 0 0
COMMUNITY BANKERS ELBROOK
TRUST CORP COM 203612106 $ 653 568,000 SH DEFINED HOLDINGS, LLC 568,000 0 0
DISCOVER FINANCIAL COM 254709108 $ 3,740 155,842 SH SOLE 155,842 0 0
DISCOVER FINANCIAL ELBROOK
COM 254709108 $ 965 40,222 SH DEFINED HOLDINGS, LLC 40,222 0 0
DORAL FINANCIAL COM ELBROOK
CORP NEW 25811P886 $ 1,721 1,800,000 SH DEFINED HOLDINGS, LLC 1,800,000 0 0
GOLDMAN SACHS COM 38141G104 $ 7,112 78,645 SH SOLE 78,645 0 0
GOLDMAN SACHS ELBROOK
COM 38141G104 $ 1,836 20,298 SH DEFINED HOLDINGS, LLC 20,298 0 0
GUARANTY BANCORP COM 40075T102 $ 274 186,634 SH SOLE 186,634 0 0
GUARANTY BANCORP ELBROOK
COM 40075T102 $ 71 48,170 SH DEFINED HOLDINGS, LLC 48,170 0 0
HANMI FINANCIAL COM 410495105 $ 3,964 535,691 SH SOLE 535,691 0 0
HANMI FINANCIAL ELBROOK
COM 410495105 $ 1,023 138,260 SH DEFINED HOLDINGS, LLC 138,260 0 0
JONES LANG LASALLE COM 48020Q107 $ 1,703 27,800 SH SOLE 27,800 0 0
JONES LANG LASALLE ELBROOK
COM 48020Q107 $ 440 7,186 SH DEFINED HOLDINGS, LLC 7,186 0 0
JP MORGAN CHASE COM 46625H100 $10,450 315,782 SH SOLE 315,782 0 0
JP MORGAN CHASE ELBROOK
COM 46625H100 $ 2,711 81,519 SH DEFINED HOLDINGS, LLC 81,519 0 0
JMP GROUP INC ELBROOK
COM 46629U107 $ 953 133,333 SH DEFINED HOLDINGS, LLC 133,333 0 0
KKR & CO LP COM
UNITS 48248M102 $ 2,053 160,000 SH SOLE 160,000 0 0
MACKINAC FINANCIAL ELBROOK
CORP COM 554571109 $ 1,843 340,000 SH DEFINED HOLDINGS, LLC 340,000 0 0
MAIDEN HOLDINGS ELBROOK
LTD SHS G5753U112 $10,162 1,159,999 SH DEFINED HOLDINGS, LLC 1,159,999 0 0
MPG OFFICE TRUST INC COM 553274101 $ 1,415 710,908 SH SOLE 710,908 0 0
MPG OFFICE TRUST INC ELBROOK
COM 553274101 $ 365 183,483 SH DEFINED HOLDINGS, LLC 183,483 0 0
ORIENTAL FINANCIAL ELBROOK
GROUP INC COM 68618W100 $ 8,872 732,600 SH DEFINED HOLDINGS, LLC 732,600 0 0
PENNYMAC MTG INVT
TR COM 70931T103 $ 2,998 180,366 SH SOLE 180,366 0 0
PENNYMAC MTG INVT ELBROOK
TR COM 70931T103 $ 774 46,552 SH DEFINED HOLDINGS, LLC 46,552 0 0
PEOPLES FEDERAL
BANCSHARES INC COM 711037101 $ 1,808 126,845 SH SOLE 126,845 0 0
PEOPLES FEDERAL ELBROOK
BANCSHARES INC COM 711037101 $ 467 32,738 SH DEFINED HOLDINGS, LLC 32,738 0 0
SEACOAST BANKING
CORP COM 811707306 $ 506 332,846 SH SOLE 332,846 0 0
SEACOAST BANKING ELBROOK
CORP COM 811707306 $ 131 85,906 SH DEFINED HOLDINGS, LLC 85,906 0 0
SOUTHERN NATIONAL BANCORP ELBROOK
COM 843395104 $1,238 202,950 SH DEFINED HOLDINGS, LLC 202,950 0 0
STERLING BANCORP COM 859158107 $1,001 115,867 SH SOLE 115,867 0 0
STERLING BANCORP ELBROOK
COM 859158107 $ 258 29,905 SH DEFINED HOLDINGS, LLC 29,905 0 0
UNUMPROVIDENT CORP COM 91529Y106 $5,021 238,290 SH SOLE 238,290 0 0
UNUMPROVIDENT CORP ELBROOK
COM 91529Y106 $1,299 61,633 SH DEFINED HOLDINGS, LLC 61,633 0 0
WASHINGTON BANKING CO ELBROOK
COM 937303105 $5,801 487,090 SH DEFINED HOLDINGS, LLC 487,090 0 0
WEBSTER FINANCIAL CORP COM 947890109 $1,712 83,961 SH SOLE 83,961 0 0
WEBSTER FINANCIAL CORP ELBROOK
COM 947890109 $ 442 21,670 SH DEFINED HOLDINGS, LLC 21,670 0 0
WELLS FARGO & CO COM 949746101 $7,617 276,392 SH SOLE 276,392 0 0
WELLS FARGO & CO ELBROOK
COM 949746101 $1,967 71,389 SH DEFINED HOLDINGS, LLC 71,389 0 0
WEST COAST BANCORP COM
NEW 952145209 $ 816 52,306 SH SOLE 52,306 0 0
WEST COAST BANCORP COM ELBROOK
NEW 952145209 $ 211 13,500 SH DEFINED HOLDINGS, LLC 13,500 0 0
WESTERN ALLIANCE BANCORP COM 957638109 $1,766 283,491 SH SOLE 283,491 0 0
WESTERN ALLIANCE BANCORP ELBROOK
COM 957638109 $ 457 73,297 SH DEFINED HOLDINGS, LLC 73,297 0 0