President/CEO

0000950123-14-009148.txt : 20140814 0000950123-14-009148.hdr.sgml : 20140814 20140814165049 ACCESSION NUMBER: 0000950123-14-009148 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140814 DATE AS OF CHANGE: 20140814 EFFECTIVENESS DATE: 20140814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SANDLER ONEILL ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001040762 IRS NUMBER: 133906061 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07148 FILM NUMBER: 141043845 BUSINESS ADDRESS: STREET 1: 150 EAST 52ND STREET STREET 2: 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2124867300 MAIL ADDRESS: STREET 1: 150 EAST 52ND STREET STREET 2: 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001040762 XXXXXXXX 06-30-2014 06-30-2014 SANDLER ONEILL ASSET MANAGEMENT LLC

150 EAST 52ND STREET 30TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-07148 N Terry Maltese President/CEO (212) 486-7300 /s/ Terry Maltese New York NY 08-14-2014 0 175 767793 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F AJS Bancorp, Inc. COM 001503101 2074 170000 SH SOLE 170000 0 0 Astoria Financial Corporation COM 046265104 2354 175000 SH SOLE 175000 0 0 American International Group, Inc. COM 026874784 3548 65000 SH SOLE 65000 0 0 Alliance Bancorp, Inc. of Pennsylvania COM 01890A108 3185 196100 SH SOLE 196100 0 0 Ambac Financial Group, Inc. COM 023139884 12298 450300 SH SOLE 450300 0 0 Call - AMBC $16.67 Exp 4/30/2023 Warrant 023139116 1678 100000 SH SOLE 100000 0 0 American Homes 4 Rent CL A 02665T306 13196 743000 SH SOLE 743000 0 0 American River Bankshares COM 029326105 6066 694000 SH SOLE 694000 0 0 Access National Corporation COM 004337101 2047 135000 SH SOLE 135000 0 0 ASB Bancorp, Inc. COM 00213T109 2600 124000 SH SOLE 124000 0 0 BancFirst Corporation COM 05945F103 5788 93500 SH SOLE 93500 0 0 Bridge Capital Holdings COM 108030107 3813 157500 SH SOLE 157500 0 0 Bridge Bancorp, Inc. COM 108035106 4774 199000 SH SOLE 199000 0 0 Franklin Resources, Inc. COM 354613101 1076 18600 SH SOLE 18600 0 0 Blackrock Kelso Capital Corporation COM 092533108 91 10000 SH SOLE 10000 0 0 Bank Mutual Corporation COM 063750103 2523 435000 SH SOLE 435000 0 0 BankUnited, Inc. COM 06652K103 7928 236800 SH SOLE 236800 0 0 Bank of Marin Bancorp COM 063425102 5316 116600 SH SOLE 116600 0 0 Bank of Commerce Holdings COM 06424J103 506 80000 SH SOLE 80000 0 0 Bay Banks of Virginia, Inc. COM 072035108 2762 476200 SH SOLE 476200 0 0 Boston Private Financial Holdings, Inc. COM 101119105 7536 560700 SH SOLE 560700 0 0 Sierra Bancorp COM 82620P102 3440 217700 SH SOLE 217700 0 0 First Busey Corporation COM 319383105 3428 590000 SH SOLE 590000 0 0 Carroll Bancorp, Inc. COM 144702107 760 47169 SH SOLE 47169 0 0 Citigroup Inc. COM 172967424 4696 99700 SH SOLE 99700 0 0 Capital Bank Financial Corporation CL A COM 139794101 1820 77100 SH SOLE 77100 0 0 Chicopee Bancorp, Inc. COM 168565109 3944 232000 SH SOLE 232000 0 0 CNB Financial Corporation COM 126128107 1294 77000 SH SOLE 77000 0 0 Chemical Financial Corporation COM 163731102 7980 284200 SH SOLE 284200 0 0 Comerica Incorporated COM 200340107 7629 152100 SH SOLE 152100 0 0 Century Bancorp, Inc. CL A NON VTG 156432106 11369 321700 SH SOLE 321700 0 0 Colonial Financial Services, Inc. COM 19566B101 2330 184300 SH SOLE 184300 0 0 CoBiz Financial Inc. COM 190897108 8563 795100 SH SOLE 795100 0 0 Clifton Bancorp, Inc. COM 186873105 628 49600 SH SOLE 49600 0 0 CenterState Banks, Inc. COM 15201P109 4588 409600 SH SOLE 409600 0 0 Coastway Bancorp, Inc. COM 190632109 5317 486000 SH SOLE 486000 0 0 City National Corporation COM 178566105 10985 145000 SH SOLE 145000 0 0 Citizens & Northern Corporation COM 172922106 3037 155800 SH SOLE 155800 0 0 Citizens Community Bancorp Inc. COM 174903104 732 86100 SH SOLE 86100 0 0 DCB Financial Corp COM 233075100 2025 270000 SH SOLE 270000 0 0 D.R. Horton, Inc. COM 23331A109 1966 80000 SH SOLE 80000 0 0 DNB Financial Corporation COM 233237106 890 41900 SH SOLE 41900 0 0 ESSA Bancorp, Inc. COM 29667D104 1670 150000 SH SOLE 150000 0 0 Community Bankers Trust Corporation COM 203612106 141 32100 SH SOLE 32100 0 0 Evans Bancorp, Inc. COM 29911Q208 5716 246900 SH SOLE 246900 0 0 Evercore Partners Inc. Class A 29977A105 576 10000 SH SOLE 10000 0 0 East West Bancorp, Inc. COM 27579R104 801 22900 SH SOLE 22900 0 0 Eureka Financial Corporation COM 29855C108 1080 59000 SH SOLE 59000 0 0 Fairmount Bancorp Inc. COM 305468100 641 29156 SH SOLE 29156 0 0 Flagstar Bancorp, Inc. COM 337930705 1267 70000 SH SOLE 70000 0 0 First Business Financial Services, Inc. COM 319390100 1881 40000 SH SOLE 40000 0 0 First Community Corporation COM 319835104 4311 404800 SH SOLE 404800 0 0 First Citizens BancShares, Inc. CL A 31946M103 8796 35900 SH SOLE 35900 0 0 1st Century Bancshares, Inc. COM 31943X102 6821 899900 SH SOLE 899900 0 0 First Capital Bancorp, Inc. COM 319438107 72 16100 SH SOLE 16100 0 0 First Citizens Banc Corp, Inc. Series B Conv. Pfd. 6.50% PFD SER B 319459400 3291 109700 SH SOLE 109700 0 0 First Financial Bancorp. COM 320209109 8658 503100 SH SOLE 503100 0 0 Call - FFBC $12.90 Exp 12/23/2018 Warrant 320209117 77 13984 SH SOLE 13984 0 0 Financial Institutions, Inc. COM 317585404 1171 50000 SH SOLE 50000 0 0 First Midwest Bancorp, Inc. COM 320867104 17677 1038000 SH SOLE 1038000 0 0 FirstMerit Corporation COM 337915102 4142 209700 SH SOLE 209700 0 0 First Merchants Corporation COM 320817109 252 11900 SH SOLE 11900 0 0 First South Bancorp, Inc. COM 33646W100 160 20000 SH SOLE 20000 0 0 1st United Bancorp, Inc. COM 33740N105 3879 450000 SH SOLE 450000 0 0 Fox Chase Bancorp, Inc. COM 35137T108 7807 463021 SH SOLE 463021 0 0 Fraternity Community Bancorp, Inc. COM 35553P101 2023 134700 SH SOLE 134700 0 0 Guaranty Bancorp COM 40075T607 7228 520000 SH SOLE 520000 0 0 Georgetown Bancorp, Inc. COM 372591107 1989 123487 SH SOLE 123487 0 0 Hanmi Financial Corporation COM 410495204 1659 78700 SH SOLE 78700 0 0 Hamilton Bancorp Inc. COM 407015106 4274 330000 SH SOLE 330000 0 0 Hudson City Bancorp, Inc. COM 443683107 8962 911656 SH SOLE 911656 0 0 Heritage Oaks Bancorp COM 42724R107 3545 464600 SH SOLE 464600 0 0 HopFed Bancorp, Inc. COM 439734104 7896 679503 SH SOLE 679503 0 0 Home Federal Bancorp, Inc. of Louisiana COM 43708L108 1900 100000 SH SOLE 100000 0 0 HF Financial Corp. COM 404172108 9110 655900 SH SOLE 655900 0 0 Hingham Institution for Savings COM 433323102 2954 37200 SH SOLE 37200 0 0 HMN Financial, Inc. COM 40424G108 347 31500 SH SOLE 31500 0 0 HomeTrust Bancshares, Inc. COM 437872104 2384 151200 SH SOLE 151200 0 0 Heritage Commerce Corp COM 426927109 8488 1038900 SH SOLE 1038900 0 0 Hilltop Holdings Inc. COM 432748101 14882 700000 SH SOLE 700000 0 0 Heartland Financial USA, Inc. COM 42234Q102 1793 72500 SH SOLE 72500 0 0 Independent Bank Corporation COM 453838609 11658 905800 SH SOLE 905800 0 0 International Bancshares Corporation COM 459044103 675 25000 SH SOLE 25000 0 0 IF Bancorp, Inc. COM 44951J105 6359 385600 SH SOLE 385600 0 0 Investors Bancorp, Inc. COM 46146L101 11815 1069250 SH SOLE 1069250 0 0 Invesco Ltd. SHS G491BT108 7527 199400 SH SOLE 199400 0 0 Jacksonville Bancorp, Inc. COM 469249205 3283 312707 SH SOLE 312707 0 0 JPMorgan Chase & Co. COM 46625H100 9507 165000 SH SOLE 165000 0 0 Call - JPM $42.42 Exp 10/28/2018 Warrant 46634E114 1059 54800 SH SOLE 54800 0 0 Jacksonville Bancorp, Inc. (IL) COM 46924R106 1268 60000 SH SOLE 60000 0 0 KeyCorp COM 493267108 3941 275000 SH SOLE 275000 0 0 Louisiana Bancorp, Inc. COM 54619P104 2883 145300 SH SOLE 145300 0 0 Lazard Ltd SHS A G54050102 4898 95000 SH SOLE 95000 0 0 Lakeland Financial Corporation COM 511656100 4346 113900 SH SOLE 113900 0 0 Laporte Bancorp Inc. COM 516651106 4577 416100 SH SOLE 416100 0 0 MB Financial, Inc. COM 55264U108 2332 86200 SH SOLE 86200 0 0 Mercantile Bank Corporation COM 587376104 2631 115000 SH SOLE 115000 0 0 Meetinghouse Bancorp, Inc. COM 58514H109 697 58100 SH SOLE 58100 0 0 Moelis & Company CL A 60786M105 1008 30000 SH SOLE 30000 0 0 Metro Bancorp Inc. COM 59161R101 1251 54100 SH SOLE 54100 0 0 Malvern Bancorp, Inc. COM 561409103 6746 640675 SH SOLE 640675 0 0 MidWestOne Financial Group, Inc. COM 598511103 3958 165000 SH SOLE 165000 0 0 Morgan Stanley COM 617446448 14325 443100 SH SOLE 443100 0 0 MainSource Financial Group, Inc. COM 56062Y102 4977 288500 SH SOLE 288500 0 0 Call - MTB $73.86 Exp 12/23/2018 Warrant 55261F112 7989 159200 SH SOLE 159200 0 0 First NBC Bank Holding Company COM 32115D106 16497 492300 SH SOLE 492300 0 0 National Bank Holdings Corporation CL A 633707104 7019 352000 SH SOLE 352000 0 0 NBT Bancorp Inc. COM 628778102 4331 180300 SH SOLE 180300 0 0 NMI Holdings CL A 629209305 5114 487000 SH SOLE 487000 0 0 North Valley Bancorp COM 66304M204 1318 60500 SH SOLE 60500 0 0 National Penn Bancshares, Inc. COM 637138108 1955 184800 SH SOLE 184800 0 0 Northrim BanCorp, Inc. COM 666762109 4603 180000 SH SOLE 180000 0 0 OFG Bancorp COM 67103X102 5063 275000 SH SOLE 275000 0 0 Southwest Bancorp, Inc. COM 844767103 13315 780500 SH SOLE 780500 0 0 Old Line Bancshares, Inc. COM 67984M100 2049 130000 SH SOLE 130000 0 0 Opus Bank COM 684000102 1026 35307 SH SOLE 35307 0 0 Old Second Bancorp, Inc. COM 680277100 5591 1125000 SH SOLE 1125000 0 0 Oak Valley Bancorp. COM 671807105 645 65000 SH SOLE 65000 0 0 Polonia Bancorp, Inc. COM 73158Q109 3478 337000 SH SOLE 337000 0 0 Pathfinder Bancorp, Inc. COM 70320A103 506 34900 SH SOLE 34900 0 0 Prudential Bancorp, Inc. COM 74431A101 5557 482800 SH SOLE 482800 0 0 Poage Bankshares, Inc. COM 730206109 3245 220000 SH SOLE 220000 0 0 Peoples Bancorp of North Carolina COM 710577107 990 61900 SH SOLE 61900 0 0 Peoples Federal Bancshares, Inc. COM 711037101 4165 225600 SH SOLE 225600 0 0 Preferred Bank COM 740367404 3782 160000 SH SOLE 160000 0 0 Premier Financial Bancorp, Inc. COM 74050M105 1454 90400 SH SOLE 90400 0 0 Provident Financial Services, Inc. COM 74386T105 1212 70000 SH SOLE 70000 0 0 Palmetto Bancshares, Inc. COM 697062206 10535 732095 SH SOLE 732095 0 0 Provident Financial Holdings, Inc. COM 743868101 324 22300 SH SOLE 22300 0 0 Regions Financial Corporation COM 7591EP100 3717 350000 SH SOLE 350000 0 0 Riverview Bancorp, Inc. COM 769397100 3395 875000 SH SOLE 875000 0 0 Silvercrest Asset Management Group Inc. CL A 828359109 4475 260000 SH SOLE 260000 0 0 Sandy Spring Bancorp, Inc. COM 800363103 1644 66000 SH SOLE 66000 0 0 Seacoast Banking Corporation of Florida COM 811707801 5857 538800 SH SOLE 538800 0 0 Simmons First National Corporation CL A 828730200 3781 96000 SH SOLE 96000 0 0 Stonegate Bank COM 861811107 2167 86000 SH SOLE 86000 0 0 Stonegate Mortgage Corp COM 86181Q300 4408 316010 SH SOLE 316010 0 0 Shore Bancshares, Inc. COM 825107105 4442 493000 SH SOLE 493000 0 0 State Investors Bancorp, Inc. COM 857030100 3174 198400 SH SOLE 198400 0 0 SI Financial Group, Inc. COM 78425V104 5857 508898 SH SOLE 508898 0 0 Solar Capital Ltd. COM 83413U100 213 10000 SH SOLE 10000 0 0 Southern Missouri Bancorp, Inc. COM 843380106 7859 220205 SH SOLE 220205 0 0 Standard Financial Corp. COM 853393106 3830 196500 SH SOLE 196500 0 0 Sugar Creek Financial Corporation COM 86481Y102 300 32600 SH SOLE 32600 0 0 Sun Bancorp, Inc. COM 86663B102 4417 1101416 SH SOLE 1101416 0 0 Sunnyside Bancorp, Inc. COM 867475105 329 35000 SH SOLE 35000 0 0 Sunshine Financial Inc. COM 86782T109 1210 65400 SH SOLE 65400 0 0 Synovus Financial Corp. COM 87161C105 573 23500 SH SOLE 23500 0 0 Southcoast Financial Corporation COM 84129R100 411 56600 SH SOLE 56600 0 0 State Bank Financial Corporation COM 856190103 35765 2115000 SH SOLE 2115000 0 0 Call - STI $33.70 Exp 12/31/2018 Warrant 867914129 1380 130960 SH SOLE 130960 0 0 Sterling Bancorp COM 85917A100 2700 225000 SH SOLE 225000 0 0 State Street Corporation COM 857477103 7399 110000 SH SOLE 110000 0 0 Suffolk Bancorp COM 864739107 1504 67400 SH SOLE 67400 0 0 Susquehanna Bancshares, Inc. COM 869099101 2516 238300 SH SOLE 238300 0 0 Territorial Bancorp Inc. COM 88145X108 11380 545000 SH SOLE 545000 0 0 Triangle Capital Corporation COM 895848109 284 10000 SH SOLE 10000 0 0 United Security Bancshares COM 911460103 371 66652 SH SOLE 66652 0 0 United Community Bancorp COM 90984R101 3870 329100 SH SOLE 329100 0 0 United Community Banks, Inc. COM 90984P303 4114 251300 SH SOLE 251300 0 0 United Community Financial Corp. COM 909839102 18027 4365000 SH SOLE 4365000 0 0 U.S. Bancorp COM 902973304 3466 80000 SH SOLE 80000 0 0 Washington Federal, Inc. COM 938824109 2804 125000 SH SOLE 125000 0 0 West End Indiana Bancshares, Inc. COM 952678100 2506 130500 SH SOLE 130500 0 0 Wolverine Bancorp, Inc. COM 977880103 3637 160200 SH SOLE 160200 0 0 Walker & Dunlop, Inc. COM 93148P102 3175 225000 SH SOLE 225000 0 0 Wilshire Bancorp, Inc. COM 97186T108 3492 340000 SH SOLE 340000 0 0 Willis Lease Finance Corporation COM 970646105 2207 90000 SH SOLE 90000 0 0 Waterstone Financial Inc. COM 94188P101 7417 650000 SH SOLE 650000 0 0 WSFS Financial Corporation COM 929328102 6667 90500 SH SOLE 90500 0 0 West Bancorporation, Inc. CAP STK 95123P106 2056 135000 SH SOLE 135000 0 0 Wintrust Financial Corporation COM 97650W108 4140 90000 SH SOLE 90000 0 0 Xenith Bankshares, Inc. COM 98410X105 4751 750600 SH SOLE 750600 0 0 Zions Bancorporation COM 989701107 2063 70000 SH SOLE 70000 0 0 Call - ZION $36.27 Exp 11/14/2018 Warrant 989701131 5658 1768160 SH SOLE 1768160 0 0