-----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, UMJa8Fthf5yNHOW6bN0ND+XVh6URqNkQ9ihcb1915GcEjwciPIeha5ez1tuV3vHl PWOMQ1F3paZrA2eqpDTY+w== 0000950123-08-001236.txt : 20080207 0000950123-08-001236.hdr.sgml : 20080207 20080207125003 ACCESSION NUMBER: 0000950123-08-001236 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071231 FILED AS OF DATE: 20080207 DATE AS OF CHANGE: 20080207 EFFECTIVENESS DATE: 20080207 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: 08584158 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 y48225fe13fvhr.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 12/31/07 ----------------- 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 Feb. 6, 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: 34 ------------- Form 13F Information Table Value Total: $ 60,139,225 ------------- (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 - _______________ ____________________ 12/31/2007 UBS SECURITIES LLC 1 USD
ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 - -------------------------- -------------- --------- ------- ------------- ----------------- -------- ------------------ FAIR SHARES OF INVEST. DISC. MANAGERS VOTING AUTHORITY MARKET PRINCIPAL ----------------- -------- ------------------ NAME OF ISSUER TITLE OF CLASS CUSIP # VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE - -------------------------- -------------- --------- ------- --------- ---- ------ ----- ------ ------ ---- Page 1 A B C A B C ANNAPOLIS BANCORP INC OTC EQ 35848100 1192836 156335 N X RIVO 156335 0 0 APPALACHIAN BANCSHARES INC OTC EQ 37675105 2329899 236538 N X RIVO 236538 0 0 ATLANTIC BANCGROUP INC OTC EQ 48221105 462422 26576 N X RIVO 26576 0 0 BANK OF THE CAROLINAS CORP OTC EQ 06425J102 498162 47535 N X RIVO 47535 0 0 BEACH FIRST NATIONAL OTC EQ 73334104 4239034 269145 N X RIVO 269145 0 0 OAK RIDGE FINANCIAL SVCS I OTC EQ 671768109 620607 63652 N X RIVO 63652 0 0 CAPE FEAR BANK CORP OTC EQ 139380109 3887890 343150 N X RIVO 343150 0 0 COMMUNITY BANCORP OTC EQ 20343T100 3094413 178147 N X RIVO 178147 0 0 CCF HOLDING CO OTC EQ 12487X104 1564962 149044 N X RIVO 149044 0 0 COOPERATIVE BANKSHARES INC OTC EQ 216844100 2139434 181308 N X RIVO 181308 0 0 CARDINAL STATE BANK COMMON 141546101 2014318 130461 N X RIVO 130461 0 0 COMMONWEALTH BANKSHARES IN OTC EQ 202736104 3215936 202133 N X RIVO 202133 0 0 FIRST CAPITAL BANCORP INC OTC EQ 319438107 671679 58154 N X RIVO 58154 0 0 FIRST REGIONAL BANCORF-CAL OTC EQ 33615C101 3953375 209284 N X RIVO 209284 0 0 INTEGRA BANK CORPORATION OTC EQ 45814P105 1725554 122293 N X RIVO 122293 0 0 INTERNATIONAL BANCSHARES C OTC EQ 459044103 3429239 163765 N X RIVO 163765 0 0 35039760 12/31/2007
UBS SECURITIES LLC 2 USD JACKSONVILLE BANCORP INC F OTC EQ 469249106 827979 41607 N X RIVO 41607 0 0 MONARCH FINANCIAL HLDG INC OTC EQ 60907Q100 2765583 291114 N X RIVO 291114 0 0 NEWBRIDGE BANCORP OTC EQ 65080T102 1430657 132591 N X RIVO 132591 0 0 OLD LINE BANCSHARES INC OTC EQ 67984M100 996952 123845 N X RIVO 123845 0 0 PORTER BANCORP INC OTC EQ 736233107 5137185 257374 N X RIVO 257374 0 0 PEOPLES BANCORP OF N C INC OTC EQ 710577107 1146443 76429 N X RIVO 76429 0 0 PATRIOT NATL BANCORP INC OTC EQ 70336F104 961011 60176 N X RIVO 60176 0 0 SOUTHERN FIRST BANCSHARES OTC EQ 842873101 1882394 137401 N X RIVO 137401 0 0 SUMMIT FINANCIAL GROUP INC OTC EQ 86606G101 1647009 120660 N X RIVO 120660 0 0 SMITHTOWN BANCORP INC OTC EQ 832449102 764675 34507 N X RIVO 34507 0 0 STERLING FINANCIAL CORP-WA OTC EQ 859319105 1432187 85300 N X RIVO 85300 0 0 TEMECULA VALLEY BANCORP IN OTC EQ 87972L104 2488414 212141 N X RIVO 212141 0 0 VIRGINIA COMM BANCORP INC OTC EQ 92778Q109 560741 47804 N X RIVO 47804 0 0 VINEYARD NATIONAL BANCORP OTC EQ 927426106 985669 97591 N X RIVO 97591 0 0 VALLEY FINANCIAL CORP VA OTC EQ 919629105 1276021 134318 N X RIVO 134318 0 0 WILSHIRE BANCORP INC OTC EQ 97186T108 295992 37706 N X RIVO 37706 0 0 WSB FINL GROUP INC OTC EQ 9.29E+112 96397 16450 N X RIVO 16450 0 0 WINTRUST FINANCIAL CORP OTC EQ 97650W108 404186 12200 N X RIVO 12200 0 0
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