0000905148-11-001501.txt : 20110815
0000905148-11-001501.hdr.sgml : 20110815
20110815121234
ACCESSION NUMBER: 0000905148-11-001501
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110815
DATE AS OF CHANGE: 20110815
EFFECTIVENESS DATE: 20110815
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: KBW, Inc.
CENTRAL INDEX KEY: 0001350173
IRS NUMBER: 134055775
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-13958
FILM NUMBER: 111034446
BUSINESS ADDRESS:
STREET 1: 787 SEVENTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-887-7777
MAIL ADDRESS:
STREET 1: 787 SEVENTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10019
13F-HR
1
efc11-494_fm13fhr.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 30, 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: KBW, Inc.
Address: 787 Seventh Avenue
4th Floor
New York, NY 10019
Form 13F File Number: 028-13958
---------
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: Mitchell Kleinman
Title: Secretary and General Counsel
Phone: (212) 887-6788
Signature, Place and Date of Signing:
/s/ Mitchell Kleinman New York, New York August 15, 2011
------------------------------- ---------------------- ---------------
[Signature] [City, State] [Date]
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).)
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
-------------------
Form 13F Information Table Entry Total: 203
-------------------
Form 13F Information Table Value Total: $299,617
-------------------
(in thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
No. Form 13F File Number Name
1 028-13960 Keefe, Bruyette & Woods, Inc.
KBW, INC.
FORM 13F INFORMATION TABLE
Quarter Ended June 30, 2011
---------------------------------------------------------------------------------------------------------------------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
-------- --------- --- ---- ---------- -------- -----------------------
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
---------------------------- ---------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ------
ABINGTON BANCORP INC COM 00350L109 304 29,100 SH DEFINED 1 29,100
ACE LTD SHS H0023R105 2,067 31,400 SH DEFINED 1 31,400
AERCAP HOLDINGS NV SHS N00985106 1,431 110,000 SH DEFINED 1 110,000
AFLAC INC COM 001055102 2,642 56,600 SH DEFINED 1 56,600
AFLAC INC COM 001055102 4,668 100,000 SH DEFINED 100,000
ALLIANCE DATA SYSTEMS CORP COM 018581108 235 2,500 SH DEFINED 1 2,500
ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 736 20,000 SH DEFINED 1 20,000
ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 2,870 78,000 SH DEFINED 78,000
AMERICAN CAPITAL AGENCY CORP COM 02503X105 1,878 64,500 SH DEFINED 64,500
AMERICAN EQTY INVT LIFE HLD COM 025676206 1,246 98,000 SH DEFINED 1 98,000
AMERICAN EXPRESS CO COM 025816109 2,327 45,000 SH DEFINED 45,000
AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 275 27,000 SH DEFINED 27,000
ANCHOR BANCORP WA COM 032838104 214 23,286 SH DEFINED 1 23,286
ANNALY CAP MGMT INC COM 035710409 361 20,000 SH PUT DEFINED 1 20,000
ANNALY CAP MGMT INC NOTE 4.000% 2/1 035710AA0 1,532 1,300,000 PRN DEFINED NONE
ANNALY CAP MGMT INC NOTE 4.000% 2/1 035710AA0 2,380 2,000,000 PRN DEFINED 1 NONE
AON CORP COM 037389103 2,627 51,200 SH DEFINED 1 51,200
ARMOUR RESIDENTIAL REIT INC *W EXP 11/07/201 042315119 14 351,600 SH DEFINED 351,600
ASSET ACCEP CAP CORP COM 04543P100 53 13,000 SH DEFINED 1 13,000
ASSOCIATED BANC CORP COM 045487105 463 33,326 SH DEFINED 1 33,326
AXIS CAPITAL HOLDINGS SHS G0692U109 1,858 60,000 SH DEFINED 1 60,000
BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 881 75,000 SH DEFINED 1 75,000
BANCORP RHODE ISLAND INC COM 059690107 1,546 34,103 SH DEFINED 1 34,103
BANK HAWAII CORP COM 062540109 358 7,686 SH DEFINED 1 7,686
BANK OF AMERICA CORPORATION *W EXP 01/16/201 060505146 316 57,000 SH DEFINED 57,000
BANK OF AMERICA CORPORATION COM 060505104 685 62,500 SH CALL DEFINED 62,500
BANK OF AMERICA CORPORATION COM 060505104 3,332 304,000 SH DEFINED 304,000
BANK OF MARIN BANCORP COM 063425102 362 10,234 SH DEFINED 1 10,234
BANK OF NEW YORK MELLON CORP COM 064058100 1,281 50,000 SH DEFINED 50,000
BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 846 40,000 SH DEFINED 1 40,000
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2,244 29,000 SH DEFINED 1 29,000
BERKSHIRE HILLS BANCORP INC COM 084680107 224 10,000 SH DEFINED 1 10,000
BLACKROCK INC COM 09247X101 1,918 10,000 SH DEFINED 1 10,000
BLACKSTONE GROUP L P COM UNIT LTD 09253U108 662 40,000 SH DEFINED 1 40,000
BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 1,725 52,000 SH DEFINED 52,000
BROOKLINE BANCORP INC DEL COM 11373M107 295 31,800 SH DEFINED 1 31,800
BRYN MAWR BK CORP COM 117665109 3,235 159,738 SH DEFINED 1 159,738
CALAMOS ASSET MGMT INC CL A 12811R104 1,670 115,000 SH DEFINED 1 115,000
CAPE BANCORP INC COM 139209100 1,547 154,700 SH DEFINED 154,700
CAPITAL ONE FINL CORP *W EXP 11/14/201 14040H139 548 25,900 SH DEFINED 1 25,900
CAPITAL ONE FINL CORP COM 14040H105 2,377 46,000 SH DEFINED 1 46,000
CAPITALSOURCE INC COM 14055X102 355 55,000 SH DEFINED 1 55,000
CAPLEASE INC COM 140288101 98 19,900 SH DEFINED 1 19,900
CARVER BANCORP INC COM 146875109 114 142,500 SH DEFINED 1 142,500
CENTER FINL CORP CALIF COM 15146E102 738 116,169 SH DEFINED 1 116,169
CENTERSTATE BANKS INC COM 15201P109 250 36,165 SH DEFINED 1 36,165
CHARTER FINL CORP WEST PT GA COM 16122M100 120 12,136 SH DEFINED 1 12,136
CIT GROUP INC COM NEW 125581801 2,656 60,000 SH DEFINED 1 60,000
CIT GROUP INC COM NEW 125581801 2,656 60,000 SH DEFINED 60,000
CITIGROUP INC COM NEW 172967424 7,828 188,000 SH CALL DEFINED 188,000
CITIGROUP INC COM NEW 172967424 3,123 75,000 SH DEFINED 75,000
CITIGROUP INC COM NEW 172967424 4,164 100,000 SH DEFINED 1 100,000
CITIGROUP INC *W EXP 10/28/201 172967234 190 1,650,000 SH DEFINED 1 1,650,000
CITIGROUP INC *W EXP 01/04/201 172967226 1,549 2,242,734 SH DEFINED 1 2,242,734
CITIZENS REPUBLIC BANCORP IN COM 174420109 138 200,000 SH DEFINED 1 200,000
CITIZENS SOUTH BKG CP DEL COM 176682102 227 54,657 SH DEFINED 1 54,657
CNA FINL CORP COM 126117100 349 12,000 SH DEFINED 1 12,000
COLONY FINL INC COM 19624R106 4,158 230,101 SH DEFINED 1 230,101
COLUMBIA BKG SYS INC COM 197236102 2,514 146,000 SH DEFINED 1 146,000
COMERICA INC COM 200340107 605 17,500 SH DEFINED 1 17,500
COMERICA INC COM 200340107 1,037 30,000 SH CALL DEFINED 30,000
COMMUNITY BANKERS TR CORP COM 203612106 1,264 936,000 SH DEFINED 936,000
COMMUNITY CAP CORP S C COM 20363C102 445 139,163 SH DEFINED 1 139,163
COWEN GROUP INC NEW CL A 223622101 573 152,309 SH DEFINED 1 152,309
COWEN GROUP INC NEW CL A 223622101 1,263 336,000 SH DEFINED 336,000
CREDIT SUISSE GROUP SPONSORED ADR 225401108 613 15,708 SH DEFINED 1 15,708
CRESCENT FINL CORP COM 225744101 761 188,000 SH DEFINED 188,000
CURRENCYSHARES CDN DLR TR CDN DOLLAR SHS 23129X105 2,268 22,000 SH DEFINED 1 22,000
CVB FINL CORP COM 126600105 1,353 146,252 SH DEFINED 1 146,252
CYPRESS SHARPRIDGE INVTS INC COM 23281A307 1,076 84,000 SH DEFINED 84,000
DANVERS BANCORP INC COM 236442109 786 36,105 SH DEFINED 1 36,105
EAST WEST BANCORP INC COM 27579R104 1,840 91,021 SH DEFINED 1 91,021
EASTERN VA BANKSHARES INC COM 277196101 720 215,000 SH DEFINED 1 215,000
EMPLOYERS HOLDINGS INC COM 292218104 1,107 66,000 SH DEFINED 1 66,000
ENTERPRISE FINL SVCS CORP COM 293712105 1,157 85,500 SH DEFINED 85,500
FBR & CO COM 30247C301 204 60,000 SH DEFINED 1 60,000
FELCOR LODGING TR INC PFD CV A $1.95 31430F200 587 22,486 SH DEFINED 1 22,486
FIFTH THIRD BANCORP COM 316773100 2,231 175,000 SH DEFINED 175,000
FIFTH THIRD BANCORP COM 316773100 6,474 507,800 SH DEFINED 1 507,800
FIRST BANCORP P R COM NEW 318672706 86 19,999 SH DEFINED 1 19,999
FIRST CALIFORNIA FINANCIAL G COM NEW 319395109 707 198,042 SH DEFINED 1 198,042
FIRST CALIFORNIA FINANCIAL G COM NEW 319395109 1,937 542,647 SH DEFINED 542,647
FIRST COMWLTH FINL CORP PA COM 319829107 1,527 266,000 SH DEFINED 1 266,000
FIRST DEFIANCE FINL CORP COM 32006W106 1,939 132,000 SH DEFINED 132,000
FIRST FINL HLDGS INC COM 320239106 269 30,000 SH DEFINED 1 30,000
FIRST MARBLEHEAD CORP COM 320771108 212 120,000 SH DEFINED 1 120,000
FIRST PL FINL CORP COM 33610T109 92 80,000 SH DEFINED 1 80,000
FIRSTMERIT CORP COM 337915102 487 29,500 SH DEFINED 1 29,500
FLUSHING FINL CORP COM 343873105 1,678 129,056 SH DEFINED 1 129,056
FORTRESS INVESTMENT GROUP LL CL A 34958B106 2,049 425,000 SH DEFINED 425,000
FORTRESS INVESTMENT GROUP LL CL A 34958B106 2,332 483,800 SH DEFINED 1 483,800
GENWORTH FINL INC COM CL A 37247D106 1,049 102,000 SH DEFINED 1 102,000
GOLDMAN SACHS GROUP INC COM 38141G104 1,810 13,600 SH DEFINED 1 13,600
GOLDMAN SACHS GROUP INC COM 38141G104 1,996 15,000 SH CALL DEFINED 1 15,000
GS FINL CORP COM 362274102 240 11,550 SH DEFINED 1 11,550
HAMPDEN BANCORP INC COM 40867E107 1,013 76,336 SH DEFINED 1 76,336
HANOVER INS GROUP INC COM 410867105 640 16,975 SH DEFINED 1 16,975
HERALD NATL BK NEW YORK COM 42703Q104 70 17,676 SH DEFINED 1 17,676
HERITAGE COMMERCE CORP COM 426927109 139 27,212 SH DEFINED 1 27,212
HERITAGE FINL CORP WASH COM 42722X106 1,332 103,000 SH DEFINED 103,000
HFF INC CL A 40418F108 1,038 68,783 SH DEFINED 68,783
HORACE MANN EDUCATORS CORP N COM 440327104 718 46,000 SH DEFINED 1 46,000
HUDSON CITY BANCORP COM 443683107 123 15,000 SH DEFINED 1 15,000
IMPERIAL HLDGS INC COM 452834104 2,601 256,000 SH DEFINED 256,000
JANUS CAP GROUP INC COM 47102X105 1,076 114,000 SH DEFINED 1 114,000
JEFFERSON BANCSHARES INC TEN COM 472375104 90 27,683 SH DEFINED 1 27,683
JPMORGAN CHASE & CO COM 46625H100 860 21,000 SH DEFINED 1 21,000
JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 337 25,000 SH DEFINED 25,000
JPMORGAN CHASE & CO COM 46625H100 4,094 100,000 SH DEFINED 100,000
KAISER FED FINL GROUP INC COM 483056107 804 65,300 SH DEFINED 65,300
KAISER FED FINL GROUP INC COM 483056107 806 65,421 SH DEFINED 1 65,421
KENNEDY-WILSON HLDGS INC COM 489398107 4,490 366,500 SH DEFINED 1 366,500
KEYCORP NEW COM 493267108 6,156 739,000 SH DEFINED 1 739,000
KINGSWAY FINL SVCS INC COM 496904103 890 873,000 SH DEFINED 873,000
KKR & CO L P DEL COM UNITS 48248M102 3,264 200,000 SH DEFINED 200,000
KKR & CO L P DEL COM UNITS 48248M102 3,509 215,000 SH DEFINED 1 215,000
KKR FINANCIAL HLDGS LLC COM 48248A306 1,137 115,900 SH DEFINED 115,900
KNIGHT CAP GROUP INC CL A COM 499005106 705 64,000 SH DEFINED 1 64,000
LINCOLN NATL CORP IND COM 534187109 840 29,500 SH DEFINED 1 29,500
M & T BK CORP COM 55261F104 2,199 25,005 SH DEFINED 1 25,005
M & T BK CORP COM 55261F104 4,398 50,000 SH DEFINED 50,000
MARSHALL & ILSLEY CORP NEW COM 571837103 874 109,600 SH DEFINED 1 109,600
METLIFE INC COM 59156R108 702 16,000 SH DEFINED 1 16,000
METLIFE INC COM 59156R108 3,290 75,000 SH DEFINED 75,000
MONTPELIER RE HOLDINGS LTD SHS G62185106 727 40,400 SH DEFINED 1 40,400
NARA BANCORP INC COM 63080P105 1,220 150,000 SH DEFINED 150,000
NARA BANCORP INC COM 63080P105 1,240 152,500 SH DEFINED 1 152,500
NELNET INC CL A 64031N108 3,958 179,400 SH DEFINED 1 179,400
NEW ENGLAND BANCSHARES INC C COM NEW 643863202 636 65,603 SH DEFINED 1 65,603
NEW ENGLAND BANCSHARES INC C COM NEW 643863202 1,067 110,000 SH DEFINED 110,000
NEW YORK CMNTY BANCORP INC COM 649445103 576 38,411 SH DEFINED 1 38,411
NEWSTAR FINANCIAL INC COM 65251F105 187 17,500 SH DEFINED 1 17,500
NEWSTAR FINANCIAL INC COM 65251F105 1,787 167,300 SH DEFINED 167,300
NORTHERN TR CORP COM 665859104 919 20,000 SH DEFINED 1 20,000
NYSE EURONEXT COM 629491101 514 15,000 SH DEFINED 1 15,000
OCH ZIFF CAP MGMT GROUP CL A 67551U105 1,673 120,600 SH DEFINED 1 120,600
OCWEN FINL CORP COM NEW 675746309 1,914 150,000 SH DEFINED 1 150,000
OPTIONSXPRESS HLDGS INC COM 684010101 731 43,810 SH DEFINED 1 43,810
ORIENTAL FINL GROUP INC COM 68618W100 568 44,093 SH DEFINED 1 44,093
ORIENTAL FINL GROUP INC COM 68618W100 1,508 116,981 SH DEFINED 116,981
ORITANI FINL CORP DEL COM 68633D103 2,687 210,084 SH DEFINED 1 210,084
PARK STERLING CORP COM 70086Y105 1,885 380,000 SH DEFINED 380,000
PARK STERLING CORP COM 70086Y105 4,950 998,000 SH DEFINED 1 998,000
PARTNERRE LTD COM G6852T105 689 10,000 SH CALL DEFINED 10,000
PENNANTPARK INVT CORP COM 708062104 135 12,000 SH DEFINED 1 12,000
PENNYMAC MTG INVT TR COM 70931T103 663 40,000 SH DEFINED 40,000
PHH CORP COM NEW 693320202 2,155 105,000 SH DEFINED 1 105,000
PLATINUM UNDERWRITER HLDGS L COM G7127P100 2,387 71,800 SH DEFINED 1 71,800
PNC FINL SVCS GROUP INC *W EXP 12/31/201 693475121 447 36,000 SH DEFINED 36,000
PNC FINL SVCS GROUP INC COM 693475105 2,981 50,000 SH DEFINED 50,000
PNC FINL SVCS GROUP INC COM 693475105 3,398 57,000 SH DEFINED 1 57,000
PNC FINL SVCS GROUP INC *W EXP 12/31/201 693475121 848 68,278 SH DEFINED 1 68,278
POPULAR INC COM 733174106 31 11,090 SH DEFINED 1 11,090
PRICE T ROWE GROUP INC COM 74144T108 2,715 45,000 SH DEFINED 45,000
PRIMERICA INC COM 74164M108 2,509 114,191 SH DEFINED 114,191
PRIVATEBANCORP INC COM 742962103 1,028 74,500 SH DEFINED 1 74,500
PROSHARES TR PSHS ULTSH 20YRS 74347R297 690 20,000 SH DEFINED 1 20,000
PROSHARES TR SHT KBW REGBNK 74347X476 5,834 100,000 SH DEFINED 1 100,000
PROSPECT CAPITAL CORPORATION COM 74348T102 152 15,000 SH DEFINED 1 15,000
PROTECTIVE LIFE CORP COM 743674103 800 34,600 SH DEFINED 1 34,600
PRUDENTIAL FINL INC COM 744320102 1,895 29,800 SH DEFINED 1 29,800
PRUDENTIAL FINL INC COM 744320102 4,133 65,000 SH DEFINED 65,000
RADIAN GROUP INC COM 750236101 212 50,000 SH DEFINED 50,000
REGIONS FINANCIAL CORP NEW COM 7591EP100 62 10,000 SH DEFINED 1 10,000
REGIONS FINANCIAL CORP NEW COM 7591EP100 1,550 250,000 SH DEFINED 250,000
ROCKVILLE FINL INC NEW COM 774188106 612 61,824 SH DEFINED 1 61,824
ROCKVILLE FINL INC NEW COM 774188106 1,040 105,000 SH DEFINED 105,000
SAFETY INS GROUP INC COM 78648T100 252 6,000 SH DEFINED 1 6,000
SEACOAST BKG CORP FLA COM 811707306 97 64,693 SH DEFINED 1 64,693
SIERRA BANCORP COM 82620P102 1,099 97,042 SH DEFINED 97,042
SIGNATURE BK NEW YORK N Y COM 82669G104 735 12,844 SH DEFINED 1 12,844
SLM CORP COM 78442P106 874 52,000 SH CALL DEFINED 52,000
SLM CORP COM 78442P106 3,614 215,000 SH DEFINED 215,000
SOLAR SR CAP LTD COM 83416M105 2,420 134,800 SH DEFINED 134,800
SPDR S&P 500 ETF TR TR UNIT 78462F103 3,827 29,000 SH PUT DEFINED 29,000
STARWOOD PPTY TR INC COM 85571B105 267 13,000 SH DEFINED 1 13,000
STATE BANCORP INC N.Y COM 855716106 726 54,429 SH DEFINED 1 54,429
STATE BK FINL CORP COM 856190103 180 11,000 SH DEFINED 1 11,000
STATE BK FINL CORP COM 856190103 2,326 142,100 SH DEFINED 142,100
STATE STR CORP COM 857477103 1,127 25,000 SH DEFINED 25,000
STERLING BANCORP COM 859158107 103 10,881 SH DEFINED 1 10,881
STERLING BANCSHARES INC COM 858907108 1,031 126,302 SH DEFINED 1 126,302
SUSQUEHANNA BANCSHARES INC P COM 869099101 1,986 248,241 SH DEFINED 1 248,241
TAL INTL GROUP INC COM 874083108 276 8,000 SH DEFINED 1 8,000
TOWER BANCORP INC COM 891709107 238 8,690 SH DEFINED 8,690
TOWER BANCORP INC COM 891709107 3,406 124,292 SH DEFINED 1 124,292
TRANSATLANTIC HLDGS INC COM 893521104 1,421 29,000 SH DEFINED 1 29,000
TWO HBRS INVT CORP COM 90187B101 1,097 102,000 SH DEFINED 102,000
UMPQUA HLDGS CORP COM 904214103 1,127 97,400 SH DEFINED 1 97,400
UNITED BANKSHARES INC WEST V COM 909907107 355 14,500 SH DEFINED 1 14,500
UNUM GROUP COM 91529Y106 2,680 105,200 SH DEFINED 1 105,200
US BANCORP DEL COM NEW 902973304 5,459 214,000 SH DEFINED 1 214,000
VALLEY NATL BANCORP *W EXP 11/14/201 919794131 156 64,800 SH DEFINED 1 64,800
VISA INC COM CL A 92826C839 843 10,000 SH DEFINED 10,000
VISA INC COM CL A 92826C839 4,213 50,000 SH CALL DEFINED 1 50,000
WADDELL & REED FINL INC CL A 930059100 763 21,000 SH DEFINED 1 21,000
WALKER & DUNLOP INC COM 93148P102 624 46,900 SH DEFINED 1 46,900
WALKER & DUNLOP INC COM 93148P102 2,647 199,000 SH DEFINED 199,000
WELLS FARGO & CO NEW COM 949746101 2,105 75,000 SH DEFINED 75,000
WEST COAST BANCORP ORE NEW COM NEW 952145209 1,887 112,619 SH DEFINED 1 112,619
WESTERN LIBERTY BANCORP COM 961443108 2,316 767,000 SH DEFINED 767,000
WESTFIELD FINANCIAL INC NEW COM 96008P104 962 118,500 SH DEFINED 118,500
ZIONS BANCORPORATION *W EXP 05/22/202 989701115 236 34,000 SH DEFINED 34,000