0000905148-12-000406.txt : 20120214 0000905148-12-000406.hdr.sgml : 20120214 20120214122223 ACCESSION NUMBER: 0000905148-12-000406 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARVER BANCORP INC CENTRAL INDEX KEY: 0001016178 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 133904174 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48913 FILM NUMBER: 12606190 BUSINESS ADDRESS: STREET 1: 75 W 125TH ST CITY: NEW YORK STATE: NY ZIP: 10027-4512 BUSINESS PHONE: 2128764747 MAIL ADDRESS: STREET 1: 75 W 125TH ST CITY: NEW YORK STATE: NY ZIP: 10027-4512 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KEEFE, BRUYETTE & WOODS, INC. CENTRAL INDEX KEY: 0001134859 IRS NUMBER: 131964616 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 787 SEVENTH AVENUE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 800-966-1559 MAIL ADDRESS: STREET 1: 787 SEVENTH AVENUE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: KEEFE, BRUYETTE & WOODS INC. DATE OF NAME CHANGE: 20090112 FORMER COMPANY: FORMER CONFORMED NAME: KEEFE BRUYETTE & WOOD INC DATE OF NAME CHANGE: 20010213 SC 13G/A 1 efc12-135_sc13ga.htm efc12-135_sc13ga.htm

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
 
 
SCHEDULE 13G
 
Under the Securities Exchange Act of 1934
(Amendment No. 4)*
 
     Carver Bancorp, Inc.   
(Name of Issuer)
 
    Common Stock, par value $0.01 per share   
 (Title of Class of Securities)
 
  146875604  
(CUSIP Number)
 
                         December 31, 2011                   
(Date of Event which Requires Filing of this Statement)
 
Check the  appropriate box to designate the rule pursuant to which this Schedule is filed:
 
[X]   Rule 13d-1(b)
 
[ ]   Rule 13d-1(c)
 
[ ]   Rule 13d-1(d)
 
* The remainder of this cover page shall be filled out for a reporting  person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the  Securities  Exchange  Act of 1934 ("Act") or otherwise  subject to the liabilities of that section of the Act but  shall be  subject  to all other  provisions  of the Act  (however,  see the Notes).
 
Continued on following pages
Page 1 of 5 Pages
 
 
 
 
 

 
SCHEDULE 13G
 
 CUSIP No.:    146875604
Page 2 of 5 Pages
 
1.
Names of Reporting Persons.
 
KEEFE, BRUYETTE & WOODS, INC.
2.
Check the Appropriate Box if a Member of a Group
 
(a) [  ]
(b) [  ]
3.
SEC Use Only
  
4.
Citizenship or Place of Organization
 
NEW YORK
  
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH 
REPORTING
PERSON
WITH:
5.  Sole Voting Power
0
6.  Shared Voting Power
0
7. Sole Dispositive Power
0
8.  Shared Dispositive Power
0
9.
Aggregate Amount Beneficially Owned by Each Reporting Person
 
0
10.
Check if the Aggregate Amount in Row (9) Excludes Certain Shares
 
[  ]
11.
Percent of Class Represented by Amount in Row (9)
 
0.0%
12.
Type of Reporting Person:
 
BD

 
 
 
 

 
 
Page 3 of 5 Pages
 
Item 1(a).
Name of Issuer
 
Carver Bancorp, Inc.  (the "Issuer")
 
Item 1(b).
Address of Issuer's Principal Executive Offices
 
75 West 125th Street, New York, New York  10027
 
Item 2(a).
Name of Person Filing
 
 
This Statement is filed on behalf of Keefe, Bruyette & Woods, Inc. (the  "Reporting Person")
 
Item 2(b).
Address of Principal Business Office or, if None, Residence
 
787 Seventh Avenue, 4th Floor, New York, New York  10019
 
Item 2(c).
Citizenship
 
New York
 
Item 2(d).
Title of Class of Securities
 
Common Stock, par value $0.01 (the "Shares")
 
Item 2(e).
CUSIP Number
 
146875604
 
Item 3.
If This Statement is Filed Pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c),
Check Whether the Person Filing is a:
 
 
(a) [X] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
 
Item 4.
Ownership.
 
Item 4(a).
Amount Beneficially Owned
 
  As of December 31, 2011, the Reporting Person may be deemed to be the beneficial owner of 0 Shares.
 

 
 
 
 
 


 


 
 
Page 4 of 5 Pages
 
 
  
Item 4(b).
Percent of Class
 
  The Reporting Person may be deemed the beneficial owner of 0.0% of Shares outstanding.
 
Item 4(c).                      
Number of Shares as to which such person has:
 
  Keefe, Bruyette & Woods, Inc.
 
 
(i) Sole power to vote or direct the vote:
   0
       
 
(ii) Shared power to vote or direct the vote:
    0
       
  (iii) Sole power to dispose or direct the disposition of:   0
       
  (iv) Shared power to dispose or direct the disposition of:  0
 
Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the Reporting Person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [X].
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person
 
This Item 6 is not applicable.
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
 
This Item 7 is not applicable.
 
Item 8.
Identification and Classification of Members of the Group
 
This Item 8 is not applicable.
 
Item 9.
Notice of Dissolution of Group
 
This Item 9 is not applicable.
 
Item 10.
Certification
 
  By signing  below I certify  that, to the best of my knowledge and belief,  the securities  referred to above were acquired and are held in  the ordinary  course  of  business  and were not  acquired  and are not held for the purpose  of or with the effect of changing  or  influencing  the control of the issuer of the  securities  and were not acquired and are not held in  connection with or as a participant in any transaction having that purpose or effect.
 

 

 
 
 
 
 
 
 
Page 5 of 5 Pages
 
 

SIGNATURE
 
After  reasonable  inquiry  and to the  best of my  knowledge  and belief,  I certify  that the  information  set forth in this  statement is true, complete and correct.
 
 
 
KEEFE, BRUYETTE & WOODS, INC.
  
       
 
By:
/s/ Mary Johnstone  
  Name: Mary Johnstone  
  Title:  Chief Compliance Officer  
       

 
 
 
February 14, 2012