13F-HR 1 f13f_021402.txt FORM 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: December 31, 2001. 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: Keefe Managers, Inc. Address: 375 Park Avenue New York, NY 10152 Form 13F File Number: 28-3478 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: Harry V. Keefe, Jr. Title: CEO Phone: 212-754-2000 Signature, Place and Date of Signing: /s/ Harry V. Keefe, Jr. New York, NY February 14, 2002 Report Type (Check only one): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE Keefe Managers, Inc. 28-3478 Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 75 Form 13F Information Table Value Total: $123,965 (thousands) List of Other Included Managers: No. 13F File Number Name 01 N/A RAINBOW MANAGERS (New York) FORM 13F INFORMATION TABLE Keefe Mangers, Inc. 28-3478
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COL 6 COLUMN 7 COLUMN 8 ------------------------------ ---------------- --------- -------- ----------------- ------- ---------- -------------------------- 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ---------- -------- -------- -------- ALABAMA NATL BANCORP DELA COM 010317105 978 29000 SH SOLE 00 29000 0 0 AMERICAN EXPRESS CO CALL 025816909 1784 50000 SH CALL SOLE 00 0 0 0 AMERICAN NATL BANKSHARES INC COM 027745108 563 30400 SH DEFINED 01 30400 0 0 AMERICAN RIV HLDGS COM 029326105 855 53960 SH DEFINED 01 53960 0 0 BANK OF AMERICA CORPORATION COM 060505104 4092 65000 SH SOLE 00 65000 0 0 BANK OF AMERICA CORPORATION CALL 060507904 2833 45000 SH CALL SOLE 00 0 0 0 BANK NEW YORK INC COM 064057102 2856 70000 SH SOLE 00 70000 0 0 BANKNORTH GROUP INC NEW COM 06646R107 563 25000 SH SOLE 00 25000 0 0 BAY VIEW CAP CORP DEL COM 07262L101 4277 583456 SH SOLE 00 583456 0 0 BAY VIEW CAP CORP DEL COM 07262L101 6710 915405 SH DEFINED 01 915405 0 0 BAY VIEW CAP CORP WRNT TO WARRANTS 07262L978 202 27612 SH CALL SOLE 00 0 0 0 BAY VIEW CAP CORP WRNT TO WARRANTS 07262L978 200 27273 SH CALL DEFINED 01 0 0 0 BOSTON PRIVATE FINL HLDGS INC COM 101119105 1975 89500 SH SOLE 00 89500 0 0 BRYN MAWR BK CORP COM 117665109 2119 75000 SH DEFINED 01 75000 0 0 CVB FINL CORP COM 126600105 2040 87200 SH SOLE 00 87200 0 0 CVB FINL CORP COM 126600105 1928 82400 SH DEFINED 01 82400 0 0 CAMDEN NATL CORP COM 133034108 840 44900 SH DEFINED 01 44900 0 0 CAPITAL CORP OF THE WEST COM 140065103 841 57000 SH SOLE 00 57000 0 0 CAPITAL CORP OF THE WEST COM 140065103 1610 109125 SH DEFINED 01 109125 0 0 CAPITAL ONE FINL CORP CALL 14040H905 2698 50000 SH CALL SOLE 00 0 0 0 CASCADE BANCORP COM 147154108 622 38500 SH SOLE 00 38500 0 0 CASCADE BANCORP COM 147154108 1724 106720 SH DEFINED 01 106720 0 0 CHARTER ONE FINL INC COM 160903100 1989 73249 SH SOLE 00 73249 0 0 CHARTER ONE FINL INC COM 160903100 842 31000 SH DEFINED 01 31000 0 0 CITIGROUP INC COM 172967101 1010 20000 SH SOLE 00 20000 0 0 CITIGROUP INC CALL 172967901 5048 100000 SH CALL SOLE 00 0 0 0 COLUMBIA BANCORP COM 197227101 1461 89100 SH DEFINED 01 89100 0 0 COMMERCE BANCORP INC NJ COM 200519106 2360 60000 SH SOLE 00 60000 0 0 DIME BANCORP INC NEW WT EXP 25429Q110 14 95700 SH CALL SOLE 00 0 0 0 DIME BANCORP INC NEW WT EXP 25429Q110 11 74300 SH CALL DEFINED 01 0 0 0 FIDELITY BANKSHARES INC NEW COM 31604Q107 799 50000 SH DEFINED 01 50000 0 0 FIFTH THIRD BANCORP COM 316773100 2085 34000 SH SOLE 00 34000 0 0 FLUSHING FINL CORP COM 343873105 2164 121600 SH SOLE 00 121600 0 0 FLUSHING FINL CORP COM 343873105 1396 78400 SH DEFINED 01 78400 0 0 FOOTHILL INDPT BANCORP COM 344905104 514 40800 SH DEFINED 01 40800 0 0 GATEWAY AMERICN BANCSHARES INC COM 367569100 794 369300 SH DEFINED 01 369300 0 0 GLACIER BANCORP INC NEW COM 37637Q105 2119 101800 SH DEFINED 01 101800 0 0 GOLDMAN SACHS GROUP INC CALL 38141G904 3710 40000 SH CALL SOLE 00 0 0 0 IBERIABANK CORP COM 450828108 527 19000 SH SOLE 00 19000 0 0 INDEPENDENT FINL NETWORK INC COM 453854101 427 38600 SH DEFINED 01 38600 0 0 INTERCHANGE FINL SVCS S B N J COM 458447109 954 50200 SH SOLE 00 50200 0 0 INTERCHANGE FINL SVCS S B N J COM 458447109 726 38200 SH DEFINED 01 38200 0 0 J P MORGAN CHASE & CO CALL 46625H900 2363 65000 SH CALL SOLE 00 0 0 0 LSB CORP COM 50215P100 635 50000 SH DEFINED 01 50000 0 0 LEHMAN BROS HLDGS INC COM 524908100 668 10000 SH SOLE 00 10000 0 0 LEHMAN BROS HLDGS INC CALL 524908900 1670 25000 SH CALL SOLE 00 0 0 0 MELLON FINL CORP COM 58551A108 2069 55000 SH SOLE 00 55000 0 0 MORGAN STANLEY DEAN WITTER&CO CALL 617446908 2797 50000 SH CALL SOLE 00 0 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 1111 48600 SH SOLE 00 48600 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 489 21400 SH DEFINED 01 21400 0 0 NORTH FORK BANCORPORATION NY COM 659424105 2719 85000 SH SOLE 00 85000 0 0 NORTHRIM BK ALASKA COM 666764105 1723 120660 SH SOLE 00 120660 0 0 NORTHRIM BK ALASKA COM 666764105 1257 88000 SH DEFINED 01 88000 0 0 PHILADELPHIA CONS HLDG CORP COM 717528103 3017 80000 SH SOLE 00 80000 0 0 PROSPERITY BANCSHARES INC COM 743606105 1968 72900 SH SOLE 00 72900 0 0 PROSPERITY BANCSHARES INC COM 743606105 1690 62600 SH DEFINED 01 62600 0 0 PROVIDIAN FINL CORP COM 74406A102 1775 500000 SH SOLE 00 500000 0 0 REDWOOD EMPIRE BANCORP COM 757897103 1495 61000 SH DEFINED 01 61000 0 0 REPUBLIC BANCSHARES INC COM 759929102 2818 216800 SH SOLE 00 216800 0 0 REPUBLIC BANCSHARES INC COM 759929102 592 45500 SH DEFINED 01 45500 0 0 SANDY SPRING BANCORP INC COM 800363103 416 13050 SH DEFINED 01 13050 0 0 SOUTHTRUST CORP COM 844730101 987 40000 SH SOLE 00 40000 0 0 SOVEREIGN BANCORP INC COM 845905108 612 50000 SH SOLE 00 50000 0 0 STATE STR CORP COM 857477103 3135 60000 SH SOLE 00 60000 0 0 STERLING BANCORP COM 859158107 512 17550 SH DEFINED 01 17550 0 0 SUMMIT BANCSHARES INC TEX COM 866011109 1012 56000 SH DEFINED 01 56000 0 0 SUNTRUST BKS INC CALL 867914903 2508 40000 SH CALL SOLE 00 0 0 0 TCF FINL CORP COM 872275102 960 20000 SH SOLE 00 20000 0 0 TRICO BANCSHARES COM 896095106 1471 77450 SH DEFINED 01 77450 0 0 WACHOVIA CORP 2ND NEW COM 929903102 627 20000 SH SOLE 00 20000 0 0 WELLS FARGO & CO NEW COM 949746101 2391 55000 SH SOLE 00 55000 0 0 WESTAMERICA BANCORPORATION COM 957090103 1001 25300 SH SOLE 00 25300 0 0 WESTAMERICA BANCORPORATION COM 957090103 582 14700 SH DEFINED 01 14700 0 0 ZIONS BANCORPORATION COM 989701107 2024 38500 SH SOLE 00 38500 0 0 REPUBLIC BANCSHARES INC 7% CONV PFD PP 9P999GYT4 3611 277778 SH DEFINED 01 277778 0 0