-----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, UTk23iHmDHwk9YDCYAG7O/Z71bCPU8gnj8pm5+4SNZ/D9JXs+OpOm8EGfqwGTlDj D7nXUoEUERWkelArc1q0SQ== 0001193125-10-029759.txt : 20100212 0001193125-10-029759.hdr.sgml : 20100212 20100212092133 ACCESSION NUMBER: 0001193125-10-029759 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100212 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: 10594693 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: December 31, 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 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 February 12, 2010 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: 111 Form 13F Information Table Value Total: 547876 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 2515 728900 SH SOLE 728900 0 0 D 1st United Bancorp Inc. (FL) C COMMON STOCK 33740N105 5977 837100 SH SOLE 837100 0 0 D AFFILIATED MANAGERS GROUP INC COMMON STOCK 008252108 2196 32600 SH SOLE 32600 0 0 D AMERICAN PHYSICIANS SVC GROUP COMMON STOCK 028882108 6123 265400 SH SOLE 265400 0 0 D AMERICAN RIVER BANKS HARES COM COMMON STOCK 029326105 5915 752600 SH SOLE 752600 0 0 D AON CORP COM STK COMMON STOCK 037389103 17709 461900 SH SOLE 461900 0 0 D ARROW FINANCIAL CORP COMMON STOCK 042744102 2534 101350 SH SOLE 101350 0 0 D ASTORIA FINL CORP COM STK COMMON STOCK 046265104 1485 119500 SH SOLE 119500 0 0 D BANCFIRST CORP COM STK COMMON STOCK 05945F103 4630 125000 SH SOLE 125000 0 0 D BANCORP RHODE ISLAND INC COMMON STOCK 059690107 4984 194100 SH SOLE 194100 0 0 D BANK MUTUAL CORP COM STK COMMON STOCK 063750103 3629 523600 SH SOLE 523600 0 0 D BAR HARBOR BANKSHARE S COM STK COMMON STOCK 066849100 3824 139300 SH SOLE 139300 0 0 D Bank of America Corp PRS EQUITY UNITS 060505419 19647 1316800 SH SOLE 1316800 0 0 D BB&T CORP COMMON STOCK 054937107 3636 143300 SH SOLE 143300 0 0 D CENTERSTATE BKS FLA INC COM ST COMMON STOCK 15201P109 5096 505018 SH SOLE 505018 0 0 D CENTURY BANCORP COMMON STOCK 156432106 6616 300300 SH SOLE 300300 0 0 D CHICOPEE BANCORP COMMON STOCK 168565109 2309 185000 SH SOLE 185000 0 0 D CITIGROUP INC COMMON STOCK 172967101 2677 808800 SH SOLE 808800 0 0 D CITIZENS & NORTHN CO RP COM ST COMMON STOCK 172922106 9382 983400 SH SOLE 983400 0 0 D CITIZENS REPUBLIC BANCORP INC COMMON STOCK 174420109 861 1248100 SH SOLE 1248100 0 0 D CITY NATIONAL CORP CA COM STK COMMON STOCK 178566105 5714 125300 SH SOLE 125300 0 0 D COMERICA INC. COMMON STOCK 200340107 2165 73200 SH SOLE 73200 0 0 D COMMERCE BANCSHARES INC COMMON STOCK 200525103 850 21958 SH SOLE 21958 0 0 D CONNECTICUT BK & TR CO HARTFO COMMON STOCK 207546102 1126 288600 SH SOLE 288600 0 0 D CVB FINL CORP COM STK COMMON STOCK 126600105 2528 292600 SH SOLE 292600 0 0 D EAGLE BANCORP INC COM STK COMMON STOCK 268948106 8791 839600 SH SOLE 839600 0 0 D ENCORE BNCSHRS COMMON STOCK 29255V201 1570 195800 SH SOLE 195800 0 0 D EUROBANCSHARES INC COM STK COMMON STOCK 298716101 246 500100 SH SOLE 500100 0 0 D FIDELITY NATIONAL FINANCIAL COMMON STOCK 31620R105 2615 194300 SH SOLE 194300 0 0 D FIFTH THIRD BANCORP COM STK COMMON STOCK 316773100 6979 715800 SH SOLE 715800 0 0 D FIRST FINANCIAL BANC ORP OHIO COMMON STOCK 320209109 10690 734182 SH SOLE 734182 0 0 D FIRST FRANKLIN CORP COMMON STOCK 320272107 599 75000 SH SOLE 75000 0 0 D FIRST MIDWEST BANCOR P INC DEL COMMON STOCK 320867104 15557 1428600 SH SOLE 1428600 0 0 D FIRST NIAGARA FINL G ROUP INC COMMON STOCK 33582V108 4838 347800 SH SOLE 347800 0 0 D FIRST PACTRUST BANCORP INC COMMON STOCK 33589V101 427 79900 SH SOLE 79900 0 0 D FIRST SECURITYGROUP INC COMMON STOCK 336312103 2871 1206100 SH SOLE 1206100 0 0 D FLUSHING FINANCIAL C ORP COM S COMMON STOCK 343873105 806 71600 SH SOLE 71600 0 0 D FRANKLIN RESOURCES INC COMMON STOCK 354613101 1032 9800 SH SOLE 9800 0 0 D GOLDMAN SACHS GROUP INC COM ST COMMON STOCK 38141G104 4120 24400 SH SOLE 24400 0 0 D HAMPDEN BANCORP INC COM STK COMMON STOCK 40867E107 3887 365000 SH SOLE 365000 0 0 D HAWTHORN BANCSHARES INC COMMON STOCK 420476103 748 78400 SH SOLE 78400 0 0 D HERITAGE FINANCIAL C ORPORATIO COMMON STOCK 42722X106 2756 200000 SH SOLE 200000 0 0 D HERITAGE OAKS BANCOR P COM STK COMMON STOCK 42724R107 75 15000 SH SOLE 15000 0 0 D HF FINANCIAL CORP COM STK COMMON STOCK 404172108 6269 645000 SH SOLE 645000 0 0 D HINGHAM INSTN SAVINGS MASS COMMON STOCK 433323102 3336 108700 SH SOLE 108700 0 0 D HOME BANCORP INC COMMON STOCK 43689E107 1777 145800 SH SOLE 145800 0 0 D HOME BANCSHARES INC/ CONWAY A COMMON STOCK 436893200 11869 493100 SH SOLE 493100 0 0 D HUDSON VALLEY HOLDIN G CORP CO COMMON STOCK 444172100 7944 322160 SH SOLE 322160 0 0 D HUNTINGTON BANCSHARES INC COMMON STOCK 446150104 183 50000 SH SOLE 50000 0 0 D INDEPENDENT BK CORP MASS COM S COMMON STOCK 453836108 2985 143100 SH SOLE 143100 0 0 D INDIANA COMMUNITY BANCORP COMMON STOCK 454674102 1088 143200 SH SOLE 143200 0 0 D INVESCO LTD COM STK COMMON STOCK G491BT108 8454 359900 SH SOLE 359900 0 0 D INVESTORS BANCRP COMMON STOCK 46146P102 2081 190200 SH SOLE 190200 0 0 D JANUS CAPITAL GROUP INC COM ST COMMON STOCK 47102X105 787 58500 SH SOLE 58500 0 0 D JEFFERIES GROUP INC NEW COM ST COMMON STOCK 472319102 2477 104400 SH SOLE 104400 0 0 D JP MORGAN CHASE WRNT EXP 10/28 WARRANTS 46634E114 2000 150000 SH SOLE 150000 0 0 D JPMORGAN CHASE & CO COM COMMON STOCK 46625H100 29448 706700 SH SOLE 706700 0 0 D KEYCORP NY COM STK COMMON STOCK 493267108 9724 1752100 SH SOLE 1752100 0 0 D LAKELAND FINL CORP COM STK COMMON STOCK 511656100 6279 364000 SH SOLE 364000 0 0 D LAZARD LTD COMMON STOCK G54050102 585 15400 SH SOLE 15400 0 0 D LEGACY BANCORP INC COM STK COMMON STOCK 52463G105 5270 534500 SH SOLE 534500 0 0 D LOUISIANA BANCORP INC COM COMMON STOCK 54619P104 3551 244900 SH SOLE 244900 0 0 D MB FINANCIAL INC COMMON STOCK 55264U108 10360 525600 SH SOLE 525600 0 0 D MERCHANTS BANCSHARES INC COM COMMON STOCK 588448100 2377 105000 SH SOLE 105000 0 0 D MIDSOUTH BANCORP INC COM STK COMMON STOCK 598039105 8989 646700 SH SOLE 646700 0 0 D MIDWESTONE FINL GROUP INC NE COMMON STOCK 598511103 3489 399200 SH SOLE 399200 0 0 D MORGAN STANLEY COMMON STOCK 617446448 1036 35000 SH SOLE 35000 0 0 D MUTUALFIRST FINANCIA L INC COM COMMON STOCK 62845B104 807 135000 SH SOLE 135000 0 0 D NARA BANCORP INC COM STK COMMON STOCK 63080P105 781 68900 SH SOLE 68900 0 0 D NATL CITY CORP SR UNS GLOBAL C CONVRT BONDS 635405AW3 1012 1000000 SH SOLE 1000000 0 0 D NBT BANCORP INC COM STK COMMON STOCK 628778102 1019 50000 SH SOLE 50000 0 0 D NEWPORT BANCORP INC COM STK COMMON STOCK 651754103 3069 250500 SH SOLE 250500 0 0 D NORTH VALLEY BANCORP COMMON STOCK 66304M105 363 173500 SH SOLE 173500 0 0 D OCEANFIRST FINL CORP COM STK COMMON STOCK 675234108 5309 470200 SH SOLE 470200 0 0 D PACIFIC PREMIER BANC ORP COM S COMMON STOCK 69478X105 3342 988900 SH SOLE 988900 0 0 D PACIFIC ST BANCORP COM STK COMMON STOCK 694864109 41 109900 SH SOLE 109900 0 0 D PEOPLES UNITED FINANCIAL INC C COMMON STOCK 712704105 3597 215400 SH SOLE 215400 0 0 D PNC FINANCIAL SERVIC ES GROUP COMMON STOCK 693475105 5664 107300 SH SOLE 107300 0 0 D PREFERRED BANK COM STK COMMON STOCK 740367107 1583 879600 SH SOLE 879600 0 0 D PROSPERITY BANCSHARE S INC COM COMMON STOCK 743606105 12558 310300 SH SOLE 310300 0 0 D RODMAN & RENSHAW CAP GROUP INC COMMON STOCK 77487R100 2659 653400 SH SOLE 653400 0 0 D SAVANNAH BANCORP INC COM STK COMMON STOCK 804748101 2562 320300 SH SOLE 320300 0 0 D SEACOAST BKG CORP FLA COMMON COMMON STOCK 811707306 7004 4297200 SH SOLE 4297200 0 0 D SIERRA BANCORP COM STK COMMON STOCK 82620P102 771 101000 SH SOLE 101000 0 0 D SIMMONS FIRST NATION AL CORP C COMMON STOCK 828730200 11726 421800 SH SOLE 421800 0 0 D SOMERSET HILLS BANCO RP BERNA COMMON STOCK 834728107 1779 229500 SH SOLE 229500 0 0 D SOUTH FINL GROUP INC COM STK COMMON STOCK 837841105 1982 3075000 SH SOLE 3075000 0 0 D SOUTHCOAST FINANCIAL CORP COM COMMON STOCK 84129R100 570 165700 SH SOLE 165700 0 0 D SOUTHERN NATL BANCOR OF VA COMMON STOCK 843395104 648 90000 SH SOLE 90000 0 0 D STATE BANCORP INC N Y COM STK COMMON STOCK 855716106 6653 935759 SH SOLE 935759 0 0 D STATE STR CORP COMMON STOCK 857477103 15927 365800 SH SOLE 365800 0 0 D STERLING BANCSHARES INC COM ST COMMON STOCK 858907108 4304 839000 SH SOLE 839000 0 0 D SUNTRUST BKS INC COM STK COMMON STOCK 867914103 15218 750000 SH SOLE 750000 0 0 D SVB FINANCIAL GROUP COM STK COMMON STOCK 78486Q101 7440 178600 SH SOLE 178600 0 0 D TCF FINL CORP COM STK COMMON STOCK 872275102 4982 365800 SH SOLE 365800 0 0 D TEXAS CAP BANCSHARES INC COM COMMON STOCK 88224Q107 8189 586600 SH SOLE 586600 0 0 D TFS FINANCIAL GROUP COMMON STOCK 87240R107 4645 382600 SH SOLE 382600 0 0 D UMPQUA HOLDINGS CORP COM STK COMMON STOCK 904214103 3807 283900 SH SOLE 283900 0 0 D UNION BANKSHARES COR P COM STK COMMON STOCK 905399101 1029 83053 SH SOLE 83053 0 0 D UNITED COMMUNITY BAN KS INC CO COMMON STOCK 90984P105 4368 1288400 SH SOLE 1288400 0 0 D US BANCORP COM COMMON STOCK 902973304 20227 898600 SH SOLE 898600 0 0 D VIEWPOINT FIN GR COMMON STOCK 926727108 1059 73500 SH SOLE 73500 0 0 D WEBSTER FINL CORP WA TERBURY C COMMON STOCK 947890109 6791 572100 SH SOLE 572100 0 0 D WELLS FARGO & CO 7.5% SER L PFRD STK 949746804 8721 9500 SH SOLE 9500 0 0 D WELLS FARGO COMPANY COMMON STOCK 949746101 17792 659200 SH SOLE 659200 0 0 D WESTERN ALLIANCE BANCORP COMMON STOCK 957638109 378 100000 SH SOLE 100000 0 0 D WHITE RIVER CAPT COMMON STOCK 96445P105 3519 313100 SH SOLE 313100 0 0 D WHITNEY HOLDING CORP COMMON STOCK 966612103 2823 309900 SH SOLE 309900 0 0 D WILLIS GROUP HOLDING S LTD BE COMMON STOCK G96655108 4221 160000 SH SOLE 160000 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 2435 162300 SH SOLE 162300 0 0 D WINTRUST FINL CORP COM STK COMMON STOCK 97650W108 9409 305600 SH SOLE 305600 0 0 S REPORT SUMMARY 111 DATA RECORDS 547876 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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