-----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, BZFtRqWsiSeF/clBCCHnAAudzsB7/3PQgykTeXORFncauKJBb5JiEn0z+PziXvbd gxQLPhNRhLSf3ek/D2S/ww== 0000950123-07-001511.txt : 20070207 0000950123-07-001511.hdr.sgml : 20070207 20070207143804 ACCESSION NUMBER: 0000950123-07-001511 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070207 DATE AS OF CHANGE: 20070207 EFFECTIVENESS DATE: 20070207 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: 07587552 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 y30073e13fvhr.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/06 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: James Morley Title: Client Service Representative Phone: 212-713-9117 Signature, Place, and Date of Signing: James Morley New York, NY 2/6/07 - ----------------------- --------------------------- ------------------- [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 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- -------------------------- ---------------------------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: NONE ------------------- Form 13F Information Table Entry Total: 48 ------------------- Form 13F Information Table Value Total: $100,515 ------------------- (thousands) List of Other Included Managers: 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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name - ------- --------------------------------- ---------------------------------- FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - --------------------------------------------------------------------------------------------------------------------- TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------------------------------------------------------------------------------------------------
UBS SECURITIES LLC
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - --------------------------------------------------------------------------------------------------------------------- TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - --------------------------------------------------------------------------------------------------------------------- AMERICAN CMNTY BANKSHARES OTC EQ 02520W106 $ 1,383,003.00 125272 N X RIVO 125272 0 0 ACCESS NATIONAL CORPORATIO OTC EQ 004337101 $ 1,370,130.00 143319 N X RIVO 143319 0 0 ANNAPOLIS BANCORP INC OTC EQ 035848100 $ 1,654,782.00 176510 N X RIVO 176510 0 0 ATLANTIC BANCGROUP INC OTC EQ 048221105 $ 2,092,545.00 61727 N X RIVO 61727 0 0 BAY NATIONAL CORP OTC EQ 072500101 $ 731,347.00 38091 N X RIVO 38091 0 0 BANK OF THE CAROLINAS CORP OTC EQ 06425J102 $ 2,020,313.00 136859 N X RIVO 136859 0 0 BEACH FIRST NATIONAL OTC EQ 073334104 $ 5,535,170.00 289345 N X RIVO 289345 0 0 BANK OAKRIDGE NORTH CAROLI OTC EQ 064180102 $ 813,154.00 63652 N X RIVO 63652 0 0 CAPE FEAR BANK CORP OTC EQ 139380109 $ 3,649,447.00 328779 N X RIVO 328779 0 0 COLUMBIA BANCORP ORE OTC EQ 197231103 $ 3,269,299.00 123603 N X RIVO 123603 0 0 COMMUNITY BANCORP OTC EQ 20343T100 $ 2,319,437.00 76828 N X RIVO 76828 0 0 CCF HOLDING CO OTC EQ 12487X104 $ 3,736,861.00 181357 N X RIVO 181357 0 0 CENTER FINANCIAL CORP OTC EQ 15146E102 $ 318,921.00 13305 N X RIVO 13305 0 0 COOPERATIVE BANKSHARES INC OTC EQ 216844100 $ 2,911,759.00 162759 N X RIVO 162759 0 0 CRESECENT FINANCIAL CORP OTC EQ 225744101 $ 489,716.00 38289 N X RIVO 38289 0 0 CARROLLTON BANCORP MD OTC EQ 145282109 $ 373,421.00 21761 N X RIVO 21761 0 0 CENTERSTATE BANKS FL INC OTC EQ 15201P109 $ 1,265,349.00 60543 N X RIVO 60543 0 0 CARDINAL STATE BANK COMMON 141546101 $ 1,683,208.00 141565 N X RIVO 141565 0 0 CRESCENT BANK CO-GA OTC EQ 225646108 $ 3,813,694.00 82387 N X RIVO 82387 0 0 COMMONWEALTH BANKSHARES IN OTC EQ 202736104 $ 6,411,350.00 256454 N X RIVO 256454 0 0 ENTERPRISE BANCORP INC MAS OTC EQ 293668109 $ 891,763.00 55389 N X RIVO 55389 0 0 FIRST COMMUNITY BANCORP CA OTC EQ 31983B101 $ 1,683,042.00 32199 N X RIVO 32199 0 0 FIRST COMMUNITY BANK OTC EQ 31885E202 $ 1,143,172.00 60517 N X RIVO 60517 0 0 FIRST MUTUAL BANSHARES INC OTC EQ 32190E102 $ 823,585.00 35530 N X RIVO 35530 0 0 FNB FINANCIAL SERVICES COR OTC EQ 302526108 $ 3,641,496.00 245715 N X RIVO 245715 0 0 FIRST REGIONAL BANCORF-CAL OTC EQ 33615C101 $ 8,845,230.00 259467 N X RIVO 259467 0 0 GREENVILLE FIRST BANCSHARE OTC EQ 39607Y100 $ 3,124,314.00 145520 N X RIVO 145520 0 0 JACKSONVILLE BANCORP INC F OTC EQ 469249106 $ 1,775,219.00 53632 N X RIVO 53632 0 0 NATIONAL MERCANTILE BANCOR OTC EQ 636912206 $ 1,336,954.00 97233 N X RIVO 97233 0 0
MONARCH FINANCIAL HLDG INC OTC EQ 60907Q100 $ 4,400,375.00 251450 N X RIVO 251450 0 0 OLD LINE BANCSHARES INC OTC EQ 67984M100 $ 1,326,250.00 125000 N X RIVO 125000 0 0 PORTER BANCORP INC OTC EQ 736233107 $ 293,930.00 13300 N X RIVO 13300 0 0 PEOPLES BANCORP OF N C INC OTC EQ 710577107 $ 455,073.00 16241 N X RIVO 16241 0 0 PEOPLES FINANCIAL CORP-MIS OTC EQ 71103B102 $ 1,700,811.00 62993 N X RIVO 62993 0 0 PLACER SIERRA BANCSHARES OTC EQ 726079106 $ 780,393.00 32831 N X RIVO 32831 0 0 PATRIOT NATL BANCORP INC OTC EQ 70336F104 $ 3,067,777.00 115984 N X RIVO 115984 0 0 SAVANNAH BANCORP INC OTC EQ 804748101 $ 816,328.00 29957 N X RIVO 29957 0 0 SUSSEX BANCORP OTC EQ 869245100 $ 2,187,945.00 144945 N X RIVO 144945 0 0 SUMMIT FINANCIAL GROUP INC OTC EQ 86606G101 $ 232,425.00 12074 N X RIVO 12074 0 0 --------------- $ 84,368,988.00 ===============
UBS SECURITIES LLC USD
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - --------------------------------------------------------------------------------------------------------------------- TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - --------------------------------------------------------------------------------------------------------------------- SOUTHERN NATIONAL BANCORP OTC EQ 843395104 $ 373,500.00 22500 N X RIVO 22500 0 0 SUFFOLK FIRST BANK VA OTC EQ 864788104 $ 306,646.00 30361 N X RIVO 30361 0 0 TIDELANDS BANCSHARES INC OTC EQ 886374107 $ 1,843,722.00 119800 N X RIVO 119800 0 0 TIB FINANCIAL CORP OTC EQ 872449103 $ 3,137,076.00 179364 N X RIVO 179364 0 0 TEMECULA VALLEY BANCORP OTC EQ 87972L104 $ 1,266,650.00 55000 N X RIVO 55000 0 0 UNITY BANCORP INC-DEL OTC EQ 913290102 $ 1,110,870.00 75518 N X RIVO 75518 0 0 VINEYARD NATIONAL BANCORP OTC EQ 927426106 $ 4,117,127.00 178850 N X RIVO 178850 0 0 VALLEY FINANCIAL CORP VA OTC EQ 919629105 $ 1,052,441.00 80339 N X RIVO 80339 0 0 WASHINGTON BANKING COMPANY OTC EQ 937303105 $ 2,938,351.00 175006 N X RIVO 175006 0 0 $ 16,146,383.00 --------------- $100,515,371.00 ===============
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