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
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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