-----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, Nrjm5nVuchLmgMTT5W9DQtfpxz8MJOKiESSiGmXbY5IVZ+HweF6qPv6l0v0sQ7WM IiK59GfpHbbCf9QdThlg8A== 0000882377-04-002330.txt : 20041112 0000882377-04-002330.hdr.sgml : 20041111 20041112163936 ACCESSION NUMBER: 0000882377-04-002330 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20041112 DATE AS OF CHANGE: 20041112 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MATRIX BANCORP INC CENTRAL INDEX KEY: 0000944725 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 841233716 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-47981 FILM NUMBER: 041139907 MAIL ADDRESS: STREET 1: 700 17TH STREET STREET 2: SUITE 2100 CITY: DENVER STATE: CO ZIP: 80202 FORMER COMPANY: FORMER CONFORMED NAME: MATRIX CAPITAL CORP /CO/ DATE OF NAME CHANGE: 19960711 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL STOCKS INC CENTRAL INDEX KEY: 0001041241 IRS NUMBER: 311437546 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D 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 1 d283838.txt FINANCIAL STOCKS INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 2) Under the Securities Exchange Act of 1934 MATRIX BANCORP INC (Name of Issuer) COMMON STOCK $.0001 PAR VALUE (Title of Class of Securities) 576819106 (CUSIP Number) CHARLES F. CROOG, ESQ. FINANCIAL STOCKS, INC 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) November 9, 2004 (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 the Schedule 13D, and is filing this schedule because of Rule13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the Schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 11 Pages) *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 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). CUSIP No. 576819106 SCHEDULE 13D Page 2 of 11 Pages 1 NAME OF REPORTING PERSON Financial Stocks L.P. SS. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Voluntary) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 0 BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - -------------------------------------------------------------------------------- 8 SHARED VOTING POWER 415,073 (See Item 5) - -------------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 415,073 (See Item 5) - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 415,073 (See Item 5) - -------------------------------------------------------------------------------- 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) 6.4% (See Item 5) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (see instructions) PN CUSIP No. 576819106 SCHEDULE 13D Page 3 of 11 Pages 1 NAME OF REPORTING PERSON Financial Stocks, Inc. SS. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Voluntary) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 0 BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - -------------------------------------------------------------------------------- 8 SHARED VOTING POWER 415,073 (See Item 5) - -------------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 415,073 (See Item 5) - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 415,073 (See Item 5) - -------------------------------------------------------------------------------- 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) 6.4% (See Item 5) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (see instructions) CO CUSIP No. 576819106 SCHEDULE 13D Page 4 of 11 Pages 1 NAME OF REPORTING PERSON John M. Stein SS. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Voluntary) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 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 United States of America - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 0 BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - -------------------------------------------------------------------------------- 8 SHARED VOTING POWER 502,688 (See Item 5) - -------------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 502,688 (See Item 5) - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 502,688 (See Item 5) - -------------------------------------------------------------------------------- 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) 7.7% (See Item 5) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (see instructions) IN CUSIP No. 576819106 SCHEDULE 13D Page 5 of 11 Pages 1 NAME OF REPORTING PERSON Steven N. Stein SS. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Voluntary) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 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 United States of America - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 0 BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - -------------------------------------------------------------------------------- 8 SHARED VOTING POWER 502,688 (See Item 5) - -------------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 502,688 (See Item 5) - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 502,688 (See Item 5) - -------------------------------------------------------------------------------- 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) 7.7% (See Item 5) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (see instructions) IN CUSIP No. 576819106 SCHEDULE 13D Page 6 of 11 Pages STATEMENT FOR SCHEDULE 13D This Amendment No. 2 to Schedule 13D relates to common stock of Matrix Bancorp, Inc. ("Matrix"). This Amendment No. 2 amends Amendment No. 1 to Schedule 13D ("Amendment No. 1") filed with the Securities and Exchange Commission on March 31, 1998 by Financial Stocks, Inc. as follows: Item 2. Identity and Background This Schedule 13D is filed by Financial Stocks L.P., Financial Stocks, Inc., John M. Stein and Steven N. Stein (the "Joint Filers"). A Joint Filing Agreement is attached hereto as Exhibit 1. Financial Stocks L.P. is an investment partnership organized in Ohio. The address of its principal office is 507 Carew Tower, 441 Vine Street, Cincinnati, Ohio 45202. Its sole general partner is Financial Stocks, Inc. Financial Stocks, Inc. is incorporated in Ohio. Its principal business is serving as an investment advisor. The address of its principal office is 507 Carew Tower, 441 Vine Street, Cincinnati, Ohio 45202. Financial Stocks, Inc. is controlled by John M. Stein and Steven N. Stein. John M. Stein is a U.S. citizen. His principal business is serving as President of Financial Stocks, Inc. The address of his principal business and its principal office is 507 Carew Tower, 441 Vine Street, Cincinnati, Ohio 45202. Steven N. Stein is a U.S. citizen. His principal business is serving as Chairman and Chief Executive Officer of Financial Stocks, Inc. The address of his principal business and its principal office is 507 Carew Tower, 441 Vine Street, Cincinnati, Ohio 45202. The names of directors and executive officers of Financial Stocks, Inc., and their respective addresses, citizenship and present principal occupations or employment, as well as the names, principal businesses and addresses of any corporations or other organizations in which such employment is conducted, are set forth in Schedule I hereto, which Schedule is incorporated herein by reference. During the last five years, neither the Joint Filers nor, to the best of the Joint Filers' knowledge, any of the persons listed in Schedule I hereto, has been convicted in a criminal proceeding or been a party in a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which proceeding the company or such person was subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. CUSIP No. 576819106 SCHEDULE 13D Page 7 of 11 Pages Item 3. Source and Amount of Funds or Other Consideration The purchases of common stock of Matrix were funded from the working capital of Financial Stocks L.P. and Financial Stocks Master Fund, Ltd. Item 5. Interest in Securities of the Issuer Financial Stocks L.P. directly owns 415,073 shares, or approximately 6.4% of the 6,520,181 shares of common stock of Matrix outstanding, as reported in its most recent Quarterly Report on Form 10Q. Financial Stocks L.P. is controlled by Financial Stocks, Inc., which is controlled by John M. Stein and Steven N. Stein. Therefore, Financial Stocks, Inc., John M. Stein and Steven N. Stein share with Financial Stocks L.P. the power to vote and dispose of such shares, and, accordingly, may be deemed the beneficial owners of such shares. The foregoing should not be construed in and of itself as an admission by Financial Stocks, Inc., John M. Stein or Steven N. Stein as to the beneficial ownership of the shares owned by Financial Stocks L.P. A Joint Filing Agreement is attached hereto as Exhibit 1. John M. Stein and Steven N. Stein also may be deemed to share the power to vote and dispose of 87,615 shares of Matrix common stock directly owned by Financial Stocks Master Fund, Ltd, through their control of Elbrook Holdings, LLC, which is the investment manager of Financial Stocks Master Fund, Ltd. The total number of shares of Matrix common stock for which John M. Stein and Steven N. Stein may be deemed to share the power to vote and dispose of is 502,688, or 7.7% of the total number of shares outstanding. The foregoing should not be construed in and of itself as an admission by John M. Stein or Steven N. Stein as to the beneficial ownership of the shares owned by Financial Stocks Master Fund, Ltd. None of the individuals listed in Schedule I own any shares of Matrix common stock. The following table sets forth a description of the transactions effected by Financial Stocks Master Fund, Ltd and attributable to John M. Stein and Steven N. Stein in the class of securities reported herein in the past 60 days, all of which were effected in open market transactions. Date Number of Shares Price Per Share - ---- ---------------- --------------- 9/13/04 3,014 $13.35120 9/14/04 600 $13.26333 9/16/04 1500 $13.00333 9/17/04 2,300 $12.90348 9/22/04 1,300 $12.42236 9/23/04 100 $13.01000 9/27/04 4700 $12.99511 11/05/04 5,601 $12.54482 CUSIP No. 576819106 SCHEDULE 13D Page 8 of 11 Pages 11/09/04 1,400 $12.69571 11/10/04 4,500 $12.68000 11/11/04 7,900 $12.67000 Item 7. Material to be Filed as Exhibits A Joint Filing Agreement is filed as Exhibit 1. CUSIP No. 576819106 SCHEDULE 13D Page 9 of 11 Pages SIGNATURES After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true and complete. Dated: November 12, 2004 FINANCIAL STOCKS L.P. By: Financial Stocks, Inc. ---------------------------- General Partner By: /s/ John M. Stein ------------------------ John M. Stein President FINANCIAL STOCKS, INC. By: /s/ John M. Stein --------------------------- John M. Stein President /s/ John M. Stein ------------------------------------ JOHN M. STEIN /s/ Steven N. Stein ------------------------------------ STEVEN N. STEIN CUSIP No. 576819106 SCHEDULE 13D Page 10 of 11 Pages SCHEDULE I FINANCIAL STOCKS, INC. DIRECTORS AND EXECUTIVE OFFICERS The names, addresses and present principal occupation of directors and executive officers of Financial Stocks, Inc. are set forth below. Unless otherwise indicated the principal business address for each of the individuals listed below is 507 Carew Tower, 441 Vine Street, Cincinnati, Ohio 45202. All of the individuals are U.S. citizens. - ---------------------------- ------------------------- ------------------------- NAME PRESENT PRINCIPAL ADDRESS OCCUPATION - ---------------------------- ------------------------- ------------------------- John M. Stein President of Financial Stocks, Inc. - ---------------------------- ------------------------- ------------------------- Steven N. Stein Chairman and CEO of Financial Stocks, Inc. - ---------------------------- ------------------------- ------------------------- Philip Schultz EVP of Financial Stocks, Inc. - ---------------------------- ------------------------- ------------------------- Stanley Vigran Retired - ---------------------------- ------------------------- ------------------------- Alexander D. Warm Real Estate Development/ Belvedere Corp. Construction 500 Carew Tower 441 Vine Street Cincinnati, OH 45202 - ---------------------------- ------------------------- ------------------------- CUSIP No. 576819106 SCHEDULE 13D Page 11 of 11 Pages EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that the Schedule 13D to which this Joint Filing Agreement is being filed as an exhibit shall be a joint statement filed on behalf of each of the undersigned. Dated: November 12, 2004 FINANCIAL STOCKS L.P. By: Financial Stocks, Inc. ---------------------------- General Partner By: /s/ John M. Stein ------------------------ John M. Stein President FINANCIAL STOCKS, INC. By: /s/ John M. Stein --------------------------- John M. Stein President /s/ John M. Stein ------------------------------------ JOHN M. STEIN /s/ Steven N. Stein ------------------------------------ STEVEN N. STEIN -----END PRIVACY-ENHANCED MESSAGE-----