0001350173-12-000004.txt : 20120810 0001350173-12-000004.hdr.sgml : 20120810 20120810155542 ACCESSION NUMBER: 0001350173-12-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120810 DATE AS OF CHANGE: 20120810 EFFECTIVENESS DATE: 20120810 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KBW, Inc. CENTRAL INDEX KEY: 0001350173 IRS NUMBER: 134055775 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13958 FILM NUMBER: 121024581 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 kbwinc13f2q2012.txt KBW, INC. 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/2012 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 7th Avenue 4th Floor New York, NY 10019 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, NY August 10, 2012 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 93 Form 13F Information Table Value Total: $83,446 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ACE LTD SHS H0023R105 1103 15000 SH DEFINED 15000 AERCAP HOLDINGS NV SHS N00985106 323 28500 SH DEFINED 28500 ALLIANCE DATA SYSTEMS CORP COM 018581108 1313 10097 SH DEFINED 10097 ANWORTH MORTGAGE ASSET CP COM 037347101 1328 200000 SH DEFINED 200000 AXIS CAPITAL HOLDINGS INV SHS G0692U109 1577 48000 SH DEFINED 48000 BANCTRUST FINANCIAL GP COM 05978R107 31 10450 SH DEFINED 10450 BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 669 26600 SH DEFINED 26600 BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 546 40000 SH CALL DEFINED 40000 BBCN BANCORP INC COM 073295107 739 65283 SH DEFINED 65283 BEACON FED BANCORP INC COM 073582108 513 25589 SH DEFINED 25589 BGC PARTNERS INC CL A 05541T101 50 10000 SH DEFINED 10000 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 1731 125000 SH DEFINED 125000 CALAMOS ASSET MGMT INC CL A 12811R104 106 10000 SH DEFINED 10000 CATHAY GENERAL BANCORP COM 149150104 194 12005 SH DEFINED 12005 CIT GROUP INC COM NEW 125581801 584 16000 SH DEFINED 16000 CITIZENS REPUBLIC BANCORP IN COM NEW 174420307 1348 75000 SH DEFINED 75000 CITIZENS SOUTH BKG CP DEL COM 176682102 387 57492 SH DEFINED 57492 COLONY FINL INC COM 19624R106 1382 75294 SH DEFINED 75294 COLUMBIA BKG SYS INC COM 197236102 1009 56000 SH DEFINED 56000 COMMERCE BANCSHARES INC COM 200525103 531 13503 SH DEFINED 13503 COMMUNITY BANKERS TR CORP COM 203612106 335 157730 SH DEFINED 157730 COWEN GROUP INC NEW CL A 223622101 100 40000 SH DEFINED 40000 DISCOVER FINL SVCS COM 254709108 1079 30000 SH DEFINED 30000 EAST WEST BANCORP INC COM 27579R104 222 10200 SH DEFINED 10200 EASTERN VA BANKSHARES INC COM 277196101 781 200200 SH DEFINED 200200 ESSA BANCORP INC COM 29667D104 949 90000 SH DEFINED 90000 EVERBANK FINL CORP COM 29977G102 180 15042 SH DEFINED 15042 FELCOR LODGING TR INC PFD CV A $1.95 31430F200 378 15000 PRN DEFINED FIDELITY NATIONAL FINANCIAL CL A 31620R105 2514 135000 SH DEFINED 135000 FIFTH THIRD BANCORP COM 316773100 1903 137700 SH DEFINED 137700 FIRST CALIFORNIA FINANCIAL G COM NEW 319395109 602 89923 SH DEFINED 89923 FIRST CMNTY BANCSHARES INC N COM 31983A103 505 35000 SH DEFINED 35000 FIRST FINL BANKSHARES COM 32020R109 655 19000 SH DEFINED 19000 FIRST MARBLEHEAD CORP COM 320771108 51 48099 SH DEFINED 48099 FIRST MIDWEST BANCORP DEL COM 320867104 790 70000 SH DEFINED 70000 FIRST NIAGARA FINL GP INC COM 33582V108 2120 280000 SH DEFINED 280000 FIRST REP BK SAN FRANCISCO C COM 33616C100 814 25031 SH DEFINED 25031 FLUSHING FINL CORP COM 343873105 225 16001 SH DEFINED 16001 FOREST CITY ENTERPRISES INC CL A 345550107 1160 82200 SH DEFINED 82200 FOX CHASE BANCORP INC NEW COM 35137T108 519 34924 SH DEFINED 34924 FULTON FINL CORP PA COM 360271100 183 20000 SH DEFINED 20000 GENWORTH FINL INC COM CL A 37247D106 454 90000 SH DEFINED 90000 GLEACHER & CO INC COM 377341102 370 543478 SH DEFINED 543478 HAMPDEN BANCORP INC COM 40867E107 386 30518 SH DEFINED 30518 HARTFORD FINL SVCS GROUP INC COM 416515104 1069 65000 SH DEFINED 65000 HATTERAS FINL CORP COM 41902R103 878 30000 SH DEFINED 30000 HERITAGE OAKS BANCORP COM 42724R107 294 54804 SH DEFINED 54804 HERSHA HOSPITALITY TR SH BEN INT A 427825104 1209 248700 SH DEFINED 248700 HOME FED BANCORP INC MD COM 43710G105 204 20628 SH DEFINED 20628 INVESCO LTD SHS G491BT108 664 30000 SH DEFINED 30000 INVESCO MORTGAGE CAPITAL INC COM 46131B100 920 46474 SH DEFINED 46474 JEFFERSON BANCSHARES INC TEN COM 472375104 209 101743 SH DEFINED 101743 KEYCORP NEW COM 493267108 958 120000 SH DEFINED 120000 LEXINGTON REALTY TRUST COM 529043101 671 75032 SH DEFINED 75032 LINCOLN NATL CORP IND COM 534187109 1544 77000 SH DEFINED 77000 MAIDEN HOLDINGS LTD SHS G5753U112 232 27301 SH DEFINED 27301 MARSH & MCLENNAN COS INC COM 571748102 1993 60000 SH DEFINED 60000 MB FINANCIAL INC NEW COM 55264U108 1614 80000 SH DEFINED 80000 METLIFE INC COM 59156R108 2631 85500 SH DEFINED 85500 MONEYGRAM INTL INC COM NEW 60935Y208 545 35000 SH DEFINED 35000 NATIONSTAR MTG HLDGS INC COM 63861C109 642 29141 SH DEFINED 29141 NEW ENGLAND BANCSHARES INC C COM NEW 643863202 514 38799 SH DEFINED 38799 NORTHWEST BANCSHARES INC MD COM 667340103 116 10000 SH DEFINED 10000 OCH ZIFF CAP MGMT GROUP CL A 67551U105 834 115000 SH DEFINED 115000 ONEBEACON INSURANCE GROUP LT CL A G67742109 127 10000 SH DEFINED 10000 ORIENTAL FINL GROUP INC COM 68618W100 2426 233671 SH DEFINED 233671 PARK STERLING CORP COM 70086Y105 3437 747180 SH DEFINED 747180 PEOPLES UNITED FINANCIAL INC COM 712704105 3120 272500 SH DEFINED 272500 PHH CORP COM NEW 693320202 1540 95000 SH DEFINED 95000 PNC FINL SVCS GROUP INC COM 693475105 1862 31500 SH DEFINED 31500 POWERSHARES ETF TRUST II KBW HG YLD FIN 73936Q793 2364 100000 SH DEFINED 100000 PROASSURANCE CORP COM 74267C106 1318 14716 SH DEFINED 14716 PROSHARES TR SHT KBW REGBNK 74347X476 262 5700 SH DEFINED 5700 PROSPECT CAPITAL CORPORATION COM 74348T102 166 15000 SH DEFINED 15000 PRUDENTIAL FINL INC COM 744320102 2511 52000 SH DEFINED 52000 ROYAL BK SCOTLAND GROUP PLC ADR PREF SER N 780097770 670 35000 SH DEFINED 35000 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF T 780097713 63 2889 SH DEFINED 2889 SIERRA BANCORP COM 82620P102 336 31706 SH DEFINED 31706 SOUTHWEST BANCORP INC OKLA COM 844767103 825 90000 SH DEFINED 90000 STATE STR CORP COM 857477103 3635 90000 SH DEFINED 90000 STIFEL FINL CORP COM 860630102 1656 55000 SH DEFINED 55000 STRATEGIC HOTELS & RESORTS I COM 86272T106 552 91023 SH DEFINED 91023 SUSQUEHANNA BANCSHARES INC P COM 869099101 501 47000 SH DEFINED 47000 SWS GROUP INC COM 78503N107 321 56000 SH DEFINED 56000 SYNOVUS FINL CORP COM 87161C105 380 200000 SH DEFINED 200000 TCF FINL CORP COM 872275102 103 10000 SH DEFINED 10000 TWO HBRS INVT CORP COM 90187B101 1021 89000 SH DEFINED 89000 VALLEY NATL 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