-----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, FtMpNfNzOOhLAteUY6DkcxJUat/exZQFuxLtTtGrJf/6a0PquGc99zmMlUZkywYJ 3X1zQkNzeVLbvD+tGYYs/g== 0001193125-09-234025.txt : 20091113 0001193125-09-234025.hdr.sgml : 20091113 20091113134244 ACCESSION NUMBER: 0001193125-09-234025 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SANDLER ONEILL ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001040762 IRS NUMBER: 133906061 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07148 FILM NUMBER: 091180583 BUSINESS ADDRESS: STREET 1: 712 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2129741700 MAIL ADDRESS: STREET 1: 712 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 d13fhr.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: September 30, 2009 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: Sandler O'Neill Asset Management, LLC Address: 780 3rd Ave, 5th Floor New York, NY 10017 13 File Number: 28-7148 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 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: TERRY MALTESE Title: PRESIDENT Phone: 212-486-7300 Signature, Place and Date of Signing: TERRY MALTESE November 13, 2009 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [_] 13F NOTICE. [_] 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 101 Form 13F Information Table Value Total: 622,030
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP x($1000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE - -------------------------------- ---------------- --------- -------- -------- --- ---- -------- -------- ------- ------ ---- D 1ST CENTY BK NATL AS SN COM ST COMMON STOCK 31943X102 2988 728900 SH SOLE 728900 0 0 D AMERICAN PHYSICIANS SVC GROUP COMMON STOCK 028882108 6103 264900 SH SOLE 264900 0 0 D AON CORP COM STK COMMON STOCK 037389103 19198 471800 SH SOLE 471800 0 0 D ARROW FINANCIAL CORP COMMON STOCK 042744102 2670 97850 SH SOLE 97850 0 0 D BANCORP RHODE ISLAND INC COMMON STOCK 059690107 3487 139600 SH SOLE 139600 0 0 D BANK MUTUAL CORP COM STK COMMON STOCK 063750103 4191 474100 SH SOLE 474100 0 0 D BANK OF AMERICA CORP COMMON STOCK 060505104 5922 350000 SH SOLE 350000 0 0 D BAR HARBOR BANKSHARES COMMON STOCK 066849100 2492 73300 SH SOLE 73300 0 0 D CAPITAL BANK CORP COMMON STOCK 139793103 946 190000 SH SOLE 190000 0 0 D CARDINAL FINL CORP COM STK COMMON STOCK 14149F109 1580 192000 SH SOLE 192000 0 0 D CENTERSTATE BKS FLA INC COM ST COMMON STOCK 15201P109 4971 630000 SH SOLE 630000 0 0 D CENTURY BANCORP INC COMMON STOCK 156432106 7122 328200 SH SOLE 328200 0 0 D CHICOPEE BANCORP COMMON STOCK 168565109 2048 155000 SH SOLE 155000 0 0 D CITIGROUP INC COMMON STOCK 172967101 8228 1700000 SH SOLE 1700000 0 0 D CITY NATIONAL CORP CA COM STK COMMON STOCK 178566105 10309 264800 SH SOLE 264800 0 0 D COMMERCE BANCSHARES INC COM ST COMMON STOCK 200525103 9310 250000 SH SOLE 250000 0 0 D CONNECTICUT BK & TR CO HARTFO COMMON STOCK 207546102 1183 288600 SH SOLE 288600 0 0 D CVB FINL CORP COM STK COMMON STOCK 126600105 987 130000 SH SOLE 130000 0 0 D EAGLE BANCORP INC COM STK COMMON STOCK 268948106 9580 1000000 SH SOLE 1000000 0 0 D ENCORE BNCSHRS COMMON STOCK 29255V201 1721 193200 SH SOLE 193200 0 0 D EUROBANCSHARES INC COM STK COMMON STOCK 298716101 882 503900 SH SOLE 503900 0 0 D F N B CORP PA COM COMMON STOCK 302520101 2489 350000 SH SOLE 350000 0 0 D FIDELITY NATIONAL FINANCIAL COMMON STOCK 31620R105 4147 275000 SH SOLE 275000 0 0 D FIFTH THIRD BANCORP COM STK COMMON STOCK 316773100 5572 550000 SH SOLE 550000 0 0 D FINANCIAL SELECT SEC TOR SPDR US ETF'S - US TR 81369Y605 22017 1473700 SH SOLE 1473700 0 0 D FIRST FINANCIAL BANC ORP OHIO COMMON STOCK 320209109 15040 1248100 SH SOLE 1248100 0 0 D FIRST FINANCIAL HOLD INGS INC COMMON STOCK 320239106 3194 200000 SH SOLE 200000 0 0 D FIRST FRANKLIN CORP COMMON STOCK 320272107 461 75000 SH SOLE 75000 0 0 D FIRST M&F CORP COMMON STOCK 320744105 468 170000 SH SOLE 170000 0 0 D FIRST MIDWEST BANCOR P INC DEL COMMON STOCK 320867104 29545 2621525 SH SOLE 2621525 0 0 D FIRST NIAGARA FINL G ROUP INC COMMON STOCK 33582V108 4624 375000 SH SOLE 375000 0 0 D FIRST PACTRUST BANCORP INC COMMON STOCK 33589V101 556 86800 SH SOLE 86800 0 0 D FIRST SECURITYGROUP INC COMMON STOCK 336312103 5296 1375600 SH SOLE 1375600 0 0 D FIRSTMERIT CORP COM STK COMMON STOCK 337915102 7701 404700 SH SOLE 404700 0 0 D FIRSTMERIT CORP COM STK OPTIONS - CALLS 337915102 677 35600 SH CALL SOLE 35600 0 0 D FRANKLIN RESOURCES INC COMMON STOCK 354613101 2505 24900 SH SOLE 24900 0 0 D GENWORTH FINANCIAL INC COMMON STOCK 37247D106 2390 200000 SH SOLE 200000 0 0 D GUARANTY BANCORP COMMON STOCK 40075T102 259 174800 SH SOLE 174800 0 0 D HAMPDEN BANCORP INC COM STK COMMON STOCK 40867E107 3526 325000 SH SOLE 325000 0 0 D HAWTHORN BANCSHARES INC COMMON STOCK 420476103 764 78400 SH SOLE 78400 0 0 D HERITAGE FINANCIAL C ORPORATIO COMMON STOCK 42722X106 1965 149400 SH SOLE 149400 0 0 D HERITAGE OAKS BANCOR P COM STK COMMON STOCK 42724R107 110 15000 SH SOLE 15000 0 0 D HINGHAM INSTIT FOR SAVINGS COMMON STOCK 433323102 3273 108700 SH SOLE 108700 0 0 D HOME BANCORP INC COMMON STOCK 43689E107 1774 145800 SH SOLE 145800 0 0 D HOME BANCSHARES INC/ CONWAY A COMMON STOCK 436893200 10083 460000 SH SOLE 460000 0 0 D IBERIABANK CORP COM STK COMMON STOCK 450828108 524 11500 SH SOLE 11500 0 0 D INDEPENDENT BK CORP MASS COM S COMMON STOCK 453836108 2877 130000 SH SOLE 130000 0 0 D INDIANA COMMUNITY BANCORP COMMON STOCK 454674102 1213 142700 SH SOLE 142700 0 0 D INVESCO LTD COM STK COMMON STOCK G491BT108 7422 326100 SH SOLE 326100 0 0 D INVESTORS BANCRP COMMON STOCK 46146P102 8488 800000 SH SOLE 800000 0 0 D JP MORGAN CHASE & CO COMMON STOCK 46625H100 31542 719800 SH SOLE 719800 0 0 D KEYCORP NY COM STK COMMON STOCK 493267108 11770 1810800 SH SOLE 1810800 0 0 D LEGACY BANCORP INC COM STK COMMON STOCK 52463G105 4019 382800 SH SOLE 382800 0 0 D LOUISIANA BANCORP INC COM COMMON STOCK 54619P104 4087 291900 SH SOLE 291900 0 0 D MARSH & MCLENNAN COS COMMON STOCK 571748102 4936 199600 SH SOLE 199600 0 0 D MARSHALL & IISLEY CORP COMMON STOCK 571837103 807 100000 SH SOLE 100000 0 0 D MB FINANCIAL INC COMMON STOCK 55264U108 24587 1172500 SH SOLE 1172500 0 0 D MERCHANTS BANCSHARES INC COM COMMON STOCK 588448100 1271 59500 SH SOLE 59500 0 0 D MIDWESTONE FINANCIAL GRP COMMON STOCK 598511103 3129 350000 SH SOLE 350000 0 0 D MORGAN STANLEY COM STK COMMON STOCK 617446448 22688 734700 SH SOLE 734700 0 0 D MUTUALFIRST FINANCIA L INC COM COMMON STOCK 62845B104 950 135000 SH SOLE 135000 0 0 D NATIONAL PENN BANCSH ARES INC COMMON STOCK 637138108 3361 550000 SH SOLE 550000 0 0 D NATL CITY CORP SR UNS GLOBAL C CONVRT BONDS 635405AW3 1000 1000000 PR SOLE 1000000 0 0 D NEWPORT BANCORP INC COM STK COMMON STOCK 651754103 3187 249000 SH SOLE 249000 0 0 D NORTH VALLEY BANCORP COM STK COMMON STOCK 66304M105 658 227000 SH SOLE 227000 0 0 D PACIFIC PREMIER BANC ORP COM S COMMON STOCK 69478X105 662 153900 SH SOLE 153900 0 0 D PACIFIC ST BANCORP COM STK COMMON STOCK 694864109 121 125800 SH SOLE 125800 0 0 D PACWEST BANCORP COM STK COMMON STOCK 695263103 1429 75000 SH SOLE 75000 0 0 D PHH CORP COM STK COMMON STOCK 693320202 992 50000 SH SOLE 50000 0 0 D PREFERRED BANK COM STK COMMON STOCK 740367107 2934 900000 SH SOLE 900000 0 0 D PROSPERITY BANCSHARE S INC COM COMMON STOCK 743606105 4349 125000 SH SOLE 125000 0 0 D RODMAN & RENSHAW CAP GROUP INC COMMON STOCK 77487R100 4399 730800 SH SOLE 730800 0 0 D SAVANNAH BANCORP INC COM STK COMMON STOCK 804748101 2609 322100 SH SOLE 322100 0 0 D SCBT FINANCIAL CORP COM STK COMMON STOCK 78401V102 402 14300 SH SOLE 14300 0 0 D SEACOAST BKG CORP FLA COMMON COMMON STOCK 811707306 11844 4700000 SH SOLE 4700000 0 0 D SMITHTOWN BANCORP IN C COM STK COMMON STOCK 832449102 7491 649100 SH SOLE 649100 0 0 D SOMERSET HILLS BANCO RP BERNA COMMON STOCK 834728107 1768 218300 SH SOLE 218300 0 0 D SOUTH FINL GROUP INC COM STK COMMON STOCK 837841105 14151 9626853 SH SOLE 9626853 0 0 D SOUTHCOAST FINANCIAL CORP COM COMMON STOCK 84129R100 787 165700 SH SOLE 165700 0 0 D SOUTHERN NATL BANCOR OF VA COMMON STOCK 843395104 2241 310000 SH SOLE 310000 0 0 D SPDR KBW REGIONAL BANKING ETF COMMON STOCK 78464A698 17056 800000 SH SOLE 800000 0 0 D STATE BANCORP INC N Y COM STK COMMON STOCK 855716106 5772 683100 SH SOLE 683100 0 0 D STATE STR CORP COM STK COMMON STOCK 857477103 11835 225000 SH SOLE 225000 0 0 D STERLING BANCSHARES INC COM ST COMMON STOCK 858907108 2559 350000 SH SOLE 350000 0 0 D SUNTRUST BKS INC COM STK COMMON STOCK 867914103 19168 850000 SH SOLE 850000 0 0 D SVB FINANCIAL GROUP COM STK COMMON STOCK 78486Q101 20553 475000 SH SOLE 475000 0 0 D SYNOVUS FINL CORP COM COMMON STOCK 87161C105 17612 4696400 SH SOLE 4696400 0 0 D TCF FINL CORP COM STK COMMON STOCK 872275102 1630 125000 SH SOLE 125000 0 0 D TEXAS CAP BANCSHARES INC COM COMMON STOCK 88224Q107 10946 650000 SH SOLE 650000 0 0 D UMPQUA HOLDINGS CORP COM STK COMMON STOCK 904214103 2809 265000 SH SOLE 265000 0 0 D UNITED COMMUNITY BAN KS INC CO COMMON STOCK 90984P105 13691 2738100 SH SOLE 2738100 0 0 D US BANCORP COM COMMON STOCK 902973304 20658 945000 SH SOLE 945000 0 0 D WEBSTER FINL CORP WA TERBURY C COMMON STOCK 947890109 2112 169400 SH SOLE 169400 0 0 D WELLS FARGO & CO 7.5% SER L PFRD STK 949746804 8484 9500 SH SOLE 9500 0 0 D WELLS FARGO COMPANY COMMON STOCK 949746101 7750 275000 SH SOLE 275000 0 0 D WELLS FARGO COMPANY OPTIONS - CALLS 949746101 423 15000 SH CALL SOLE 15000 0 0 D WHITE RIVER CAPT COMMON STOCK 96445P105 3178 313100 SH SOLE 313100 0 0 D WHITNEY HLDG CORP COM STK COMMON STOCK 966612103 4563 478300 SH SOLE 478300 0 0 D WILLIS GROUP HOLDING S LTD BE COMMON STOCK G96655108 11994 425000 SH SOLE 425000 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 2219 162300 SH SOLE 162300 0 0 D WINTRUST FINL CORP COM STK COMMON STOCK 97650W108 7969 285000 SH SOLE 285000 0 0 S REPORT SUMMARY 101 DATA RECORDS 622030 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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