-----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, OtO094TU4C972fyE+yPalajGOkjFM8Tr26zACXwDnxTmz/rWzTSJ28lpRxylESnC Fs1t/VlVWoh9RtDKegviHQ== 0000950123-08-014977.txt : 20081112 0000950123-08-014977.hdr.sgml : 20081111 20081112061208 ACCESSION NUMBER: 0000950123-08-014977 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081112 DATE AS OF CHANGE: 20081112 EFFECTIVENESS DATE: 20081112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: River Oaks Capital LLC CENTRAL INDEX KEY: 0001343119 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12119 FILM NUMBER: 081177823 BUSINESS ADDRESS: STREET 1: 1905 EAST WAYZATA BOULEVARD STREET 2: SUITE 140 CITY: WAYZATA STATE: MN ZIP: 55391 BUSINESS PHONE: (952) 404-7026 MAIL ADDRESS: STREET 1: 1905 EAST WAYZATA BOULEVARD STREET 2: SUITE 140 CITY: WAYZATA STATE: MN ZIP: 55391 13F-HR 1 y72571e13fvhr.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 9/30/08 ----------------- 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: River Oaks Capital LLC ------------------------------------------------------------------------- Address: 1905 East Wayzata Blvd. ----------------------------------------------------------------------- Suite 140 ----------------------------------------------------------------------- Wayzata, MN 55391 ----------------------------------------------------------------------- Form 13F File Number: 28- ------------- 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: David Welch ------------------------------------------------------------------------- Title: Principal ------------------------------------------------------------------------- Phone: 952-404-7025 ------------------------------------------------------------------------- Signature, Place, and Date of Signing: /s/ David Welch Wayzata, MN November 11, 2008 - ------------------------------- ------------------------ ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28- --------------------------- ----------------------------- [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: ------------- Form 13F Information Table Entry Total: 21 ------------- Form 13F Information Table Value Total: $ 23,103,885 ------------- (in actual dollars) List of Other Included Managers: NONE ____________ [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name ___ 28 - _______________ ____________________ 9/30/2008
ITEM 6 ITEM 8 ITEM 4 ITEM 5 INVEST. DISC. VOTING AUTHORITY ITEM 2 FAIR SHARES OF -------------------- ------------------ ITEM 1 TITLE OF ITEM 3 MARKET PRINCIPAL SOLE SHARED OTHER ITEM 7 SOLE SHARED NONE NAME OF ISSUER CLASS CUSIP # VALUE AMOUNT A B C MANAGERS A B C - -------------------------- -------- --------- ----------- --------- ------ ------- ----- -------- ------ ------ ---- APPALACHIAN BANCSHARES INC OTC EQ 37675105 $ 1,163,169 233,100 N X RIVO 233100 0 0 BEACH FIRST NATIONAL OTC EQ 73334104 $ 1,379,394 233,400 N X RIVO 233400 0 0 BERKSHIRE HILLS BANCORP IN OTC EQ 84680107 $ 923,040 28,845 N X RIVO 28845 0 0 OAK RIDGE FINANCIAL SVCS I OTC EQ 671768109 $ 448,876 52,996 N X RIVO 52996 0 0 CAPE FEAR BANK CORP OTC EQ 139380109 $ 1,404,655 234,500 N X RIVO 234500 0 0 COMMUNITY BANCORP OTC EQ 20343T100 $ 398,097 62,300 N X RIVO 62300 0 0 CCF HOLDING CO OTC EQ 12487X104 $ 285,285 79,800 N X RIVO 79800 0 0 COOPERATIVE BANKSHARES INC OTC EQ 216844100 $ 306,543 57,192 N X RIVO 57192 0 0 COMMONWEALTH BANKSHARES IN OTC EQ 202736104 $ 2,178,520 153,525 N X RIVO 153525 0 0 EVANS BANCORP, INC OTC EQ 29911Q208 $ 312,035 18,420 N X RIVO 18420 0 0 FIRST REGIONAL BANCORF-CAL OTC EQ 33615C101 $ 1,203,125 192,500 N X RIVO 192500 0 0 INDIANA COMMUNITY BANCORP OTC EQ 454674102 $ 327,800 22,000 N X RIVO 22000 0 0 INTERNATIONAL BANCSHARES C OTC EQ 459044103 $ 1,533,600 56,800 N X RIVO 56800 0 0 MONARCH FINANCIAL HLDG INC OTC EQ 60907Q100 $ 1,714,790 222,700 N X RIVO 222700 0 0 PORTER BANCORP INC OTC EQ 736233107 $ 4,303,401 253,995 N X RIVO 253995 0 0 SOUTHERN FIRST BANCSHARES OTC EQ 842873101 $ 1,389,660 121,900 N X RIVO 121900 0 0 SUMMIT FINANCIAL GROUP INC OTC EQ 86606G101 $ 682,969 58,125 N X RIVO 58125 0 0 STERLING FINANCIAL CORP-WA OTC EQ 859319105 $ 1,247,000 86,000 N X RIVO 86000 0 0 TAMALPAIS BANCORP OTC EQ 87485H103 $ 491,645 39,442 N X RIVO 39442 0 0 TCF FINANCIAL NYSE 872275102 $ 871,200 48,400 N X RIVO 48400 0 0 UCBH HOLDINGS INC OTC EQ 90262T308 $ 539,081 84,100 N X RIVO 84100 0 0 $23,103,885
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