-----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, H+RsIFgmXHm8x4WnKOoYBgfPoetWPVTYN8WwCWbyjcuQAyqHJMpgMRNum4rU2cR5 CDdWU1alTy8x2IqK2z02Mw== 0000950123-07-015286.txt : 20071113 0000950123-07-015286.hdr.sgml : 20071112 20071113062143 ACCESSION NUMBER: 0000950123-07-015286 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071113 DATE AS OF CHANGE: 20071113 EFFECTIVENESS DATE: 20071113 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: 071234098 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 y42541e13fvhr.txt FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 70549 Form 13F Form 13F COVER PAGE Report for the calendar Year or Quarter Ended: 9/30/07 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 ClK # 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 9, 2007 - ---------------------- -------------------- ----------------- [Signature] [City, State] [Date] Report Type (check one only): [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 Page 1 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: ------------- Form 13F Information Table Entry Total: 44 ------------- Form 13F Information Table Value Total: $86,514,219 ------------- (thousands) List of Other Included Managers: _____________ [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 - _______________ ____________________ 9/30/2007 UBS SECURITIES LLC 1 USD
ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 SHARES OF TITLE OF FAIR MARKET PRINCIPAL INVEST. DISC. MANAGERS VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP # VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE Page 1 A B C A B C AMERICAN CMNTY BANKSHARES OTC EQ 02520W106 329182 26872 N X RIVO 26872 0 0 ACCESS NATIONAL CORPORATIO OTC EQ 4337101 167196 21084 N X RIVO 21084 0 0 ANNAPOLIS BANCORP INC OTC EQ 35848100 1249101 156335 N X RIVO 156335 0 0 APPALACHIAN BANCSHARES INC OTC EQ 37675105 3339881 236034 N X RIVO 236034 0 0 ATLANTIC BANCGROUP INC OTC EQ 48221105 1656068 47995 N X RIVO 47995 0 0 BAY NATIONAL CORP OTC EQ 72500101 551684 34545 N X RIVO 34545 0 0 BANK OF THE CAROLINAS CORP OTC EQ 06425J102 1078121 97128 N X RIVO 97128 0 0 BEACH FIRST NATIONAL OTC EQ 73334104 5462719 291345 N X RIVO 291345 0 0 OAK RIDGE FINANCIAL SVCS I OTC EQ 671768109 684259 63652 N X RIVO 63652 0 0 CAPE FEAR BANK CORP OTC EQ 139380109 3123575 343250 N X RIVO 343250 0 0 COLUMBIA BANCORP ORE OTC EQ 197231103 1233585 62460 N X RIVO 62460 0 0 COMMUNITY BANCORP OTC EQ 20343T100 2906410 115609 N X RIVO 115609 0 0 CCF HOLDING CO OTC EQ 12487X104 2855822 181207 N X RIVO 181207 0 0 CENTER FINANCIAL CORP OTC EQ 1.51E+106 259060 18624 N X RIVO 18624 0 0 COOPERATIVE BANKSHARES INC OTC EQ 216844100 3233536 190208 N X RIVO 190208 0 0 CARROLLTON BANCORP MD OTC EQ 145282109 208074 15356 N X RIVO 15356 0 0 CARDINAL STATE BANK COMMON 141546101 2276701 139461 N X RIVO 139461 0 0 CRESCENT BANK CO-GA OTC EQ 225646108 1329347 40966 N X RIVO 40966 0 0 COMMONWEALTH BANKSHARES IN OTC EQ 202736104 4388602 209280 N X RIVO 209280 0 0 36332923
9/30/2007 UBS SECURITIES LLC 2 USD FIRST CALIFORNIA FIN'L GRP OTC EQ 319395109 807396 81886 N X RIVO 81886 0 0 FIRST CAPITAL BANCORP INC OTC EQ 319438107 799618 58154 N X RIVO 58154 0 0 FIRST REGIONAL BANCORF-CAL OTC EQ 33615C101 5554303 226429 N X RIVO 226429 0 0 INTEGRA BANK CORPORATION OTC EQ 45814P105 1399763 77207 N X RIVO 77207 0 0 INTERNATIONAL BANCSHARES C OTC EQ 459044103 3037241 139965 N X RIVO 139965 0 0 JACKSONVILLE BANCORP INC F OTC EQ 469249106 1486947 53632 N X RIVO 53632 0 0 MONARCH FINANCIAL HLDG INC OTC EQ 60907Q100 3968787 252789 N X RIVO 252789 0 0 NEWBRIDGE BANCORP OTC EQ 65080T102 2212061 174178 N X RIVO 174178 0 0 OLD LINE BANCSHARES INC OTC EQ 67984M100 1174894 123934 N X RIVO 123934 0 0 PORTER BANCORP INC OTC EQ 736233107 5593471 256699 N X RIVO 256699 0 0 PEOPLES BANCORP OF N C INC OTC EQ 710577107 1129225 63798 N X RIVO 63798 0 0 PATRIOT NATL BANCORP INC OTC EQ 70336F104 2074409 104137 N X RIVO 104137 0 0 SUSSEX BANCORP OTC EQ 869245100 1710631 143149 N X RIVO 143149 0 0 SOUTHERN FIRST BANCSHARES OTC EQ 842873101 2764880 145520 N X RIVO 145520 0 0 SUMMIT FINANCIAL GROUP INC OTC EQ 86606G101 2159440 119043 N X RIVO 119043 0 0 SMITHTOWN BANCORP INC OTC EQ 832449102 579785 24937 N X RIVO 24937 0 0 TIDELANDS BANCSHARES INC OTC EQ 886374107 864782 65963 N X RIVO 65963 0 0 37317633
9/30/2007 UBS SECURITIES LLC 3 USD TIB FINANCIAL CORP OTC EQ 872449103 1911208 172960 N X RIVO 172960 0 0 TEMECULA VALLEY BANCORP IN OTC EQ 87972L104 4388849 258624 N X RIVO 258624 0 0 UNITY BANCORP INC-DEL OTC EQ 913290102 423267 38201 N X RIVO 38201 0 0 VINEYARD NATIONAL BANCORP OTC EQ 927426106 2961831 177143 N X RIVO 177143 0 0 VALLEY FINANCIAL CORP VA OTC EQ 919629105 1411682 134318 N X RIVO 134318 0 0 WELLS FARGO & CO-NEW COMMON 949746101 910732 25568 N X RIVO 25568 0 0 WILSHIRE BANCORP INC OTC EQ 97186T108 335276 30563 N X RIVO 30563 0 0 WINTRUST FINANCIAL CORP OTC EQ 97650W108 520818 12200 N X RIVO 12200 0 0 12863663 Total 86,514,219.00
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