-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ckz3PR7d5SQy4+S4dLU9prpuNGFLW2Fvr0neIdwRZVtLNuF2o5ulUvysMV6bDOkv fi/i95KbTqSI1I+rXuSRQg== 0000909789-99-000002.txt : 19990112 0000909789-99-000002.hdr.sgml : 19990112 ACCESSION NUMBER: 0000909789-99-000002 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990111 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST STATE BANCORPORATION CENTRAL INDEX KEY: 0000897861 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 850366665 STATE OF INCORPORATION: NM FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-44079 FILM NUMBER: 99504308 BUSINESS ADDRESS: STREET 1: 111 LOMAS AVE N W CITY: ALBUQUERQUE STATE: NM ZIP: 87102 BUSINESS PHONE: 5052417500 MAIL ADDRESS: STREET 1: PO BOX 3686 CITY: ALBUQUERQUE STATE: NM ZIP: 87190 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL STOCKS INC CENTRAL INDEX KEY: 0001041241 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 507 CAREW TOWER 441 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5132416166 MAIL ADDRESS: STREET 1: 5070 CAREW TOWER 441 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45202 SC 13D/A 1 SCHEDULE 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* First State Bancorporation ______________________________________________________________________________ (Name of Issuer) Common Stock, no par value ______________________________________________________________________________ (Title of Class of Securities) 336453105 ______________________________________________________________________________ (CUSIP Number) John M. Stein 507 Carew Tower 441 Vine Street Cincinnati, Ohio 45202 (513) 241-6166 ______________________________________________________________________________ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 4, 1999 ______________________________________________________________________________ (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. *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 disclosures provided in a prior cover page. The information required on 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). Page 1 of 4 Pages CUSIP No. 336453105 13D 2 of 4 pages ______________________________________________________________________________ 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Financial Stocks, Inc. 85-0366665 ______________________________________________________________________________ 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [x] ______________________________________________________________________________ 3) SEC Use Only ______________________________________________________________________________ 4) Source of Funds (See Instructions) WC ______________________________________________________________________________ 5) Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] ______________________________________________________________________________ 6) Citizenship or Place of Organization Ohio _______________________________________________________________ | | | | NUMBER OF SHARES | 7) Sole Voting Power 118,955 | | BENEFICIALLY OWNED |_________________________________________| | BY EACH REPORTING | 8) Shared Voting Power | | PERSON WITH |_________________________________________| | | 9) Sole Dispositive Power 118,955 | | |_________________________________________| | | 10) Shared Dispositive Power | |_______________________________________________________________| 11) Aggregate Amount Beneficially Owned by Each Reporting Person 118,955 ______________________________________________________________________________ 12) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] ______________________________________________________________________________ 13) Percent of Class Represented by Amount in Row (11) 3.45% ______________________________________________________________________________ 14) Type of Reporting Person (See Instructions) IA Item 1. Security and Issuer ___________________ This statement relates to the Common Stock, no par value ("Common Stock"), of First State Bancorporation (the "Issuer"). The name and address of the principal executive offices of the Issuer are as follows: First State Bancorporation 7900 Jefferson N.E. Albuquerque, New Mexico 87109 The person filing this statement is Financial Stocks, Inc., an Ohio corporation ("FSI"). FSI's business address is 507 Carew Tower, 441 Vine Street, Cincinnati, Ohio 45202. FSI is a registered investment advisor and acts as general partner of Financial Stocks Limited Partnership ("FSLP") and as an investment advisor for Rising Stars Offshore Fund L.P. ("Rising Stars"). This filing amends the Schedule 13D previously filed by FSI with respect to the Issuer. Item 5 of such Schedule 13D is hereby amended as follows: Item 5. Interest in Securities of the Issuer. ____________________________________ The following table sets forth information with respect to the shares of Common Stock of which FSI has or shares beneficial ownership: Percent of Record Owner Number of Shares Outstanding ____________ ________________ ___________ FSLP 118,955 (1) 3.45% (1) As general partner of FSLP, FSI has sole voting power and dispositive power with respect to these shares. The following table sets forth information with respect to all transactions with respect to the Common Stock in which FSI has engaged in the last 60 days. Date Shares Purchased Price Per Share ____ ________________ _______________ 12/1/98 1,000 $18.56(1) 12/2/98 1,970 19.69(1) 12/2/98 30 19.69(2) 1/4/99 50,000 19.88(2) (1) Sold for the account of Rising Stars. (2) Sold for the account of FSLP. All of such Shares were sold in open market transactions. 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. FINANCIAL STOCKS, INC. January 7, 1999 By: /s/ John Stein _______________ ____________________________ Date John Stein, President -----END PRIVACY-ENHANCED MESSAGE-----