-----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, FWewaoGNX64zEwqBiI3vXZDECP4ygZWuwORdKrte2WAKVkYuxsNBwjtdRkZiGndo RPb4QP+KPBm5CSE+LzcSfg== 0001193125-11-036418.txt : 20110215 0001193125-11-036418.hdr.sgml : 20110215 20110215111149 ACCESSION NUMBER: 0001193125-11-036418 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110215 DATE AS OF CHANGE: 20110215 EFFECTIVENESS DATE: 20110215 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: 11612924 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 HOLDINGS REPORT 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, 2010 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/CEO Phone: (212) 486-7300 Signature, Place and Date of Signing: TERRY MALTESE February 14, 2011 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: 126 Form 13F Information Table Value Total: 561564
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 3452 842000 SH SOLE 842000 0 0 D 1st United Bancorp Inc. (FL) C COMMON STOCK 33740N105 3029 438400 SH SOLE 438400 0 0 D ACCESS NATL CORP COM STK COMMON STOCK 004337101 1242 192200 SH SOLE 192200 0 0 D AMERICAN EXPRESS COMPANY COMMON STOCK 025816109 3837 89400 SH SOLE 89400 0 0 D AMERICAN RIVER BANKSHARES COM COMMON STOCK 029326105 5160 860000 SH SOLE 860000 0 0 D AMERIS BANCORP COM STK COMMON STOCK 03076K108 2269 215300 SH SOLE 215300 0 0 D AON CORPORATION COM STK COMMON STOCK 037389103 6902 150000 SH SOLE 150000 0 0 D ATHENS BANCSHARES CORP COM STK COMMON STOCK 047042106 3176 254300 SH SOLE 254300 0 0 D BANCFIRST CORP COM STK COMMON STOCK 05945F103 2731 66300 SH SOLE 66300 0 0 D BANCORP RHODE ISLAND INC COM COMMON STOCK 059690107 1719 59100 SH SOLE 59100 0 0 D BANK MUTUAL CORP COM STK COMMON STOCK 063750103 324 67700 SH SOLE 67700 0 0 D BANK OF AMERICA 7.25% SER L PE PRFD STK (CONVRT 060505682 2297 2400 SH SOLE 2400 0 0 D BANK OF MARIN BANCORP COM STK COMMON STOCK 063425102 931 26600 SH SOLE 26600 0 0 D BANNER CORPORATION COM STK COMMON STOCK 06652V109 232 100000 SH SOLE 100000 0 0 D BAR HARBOR BANKSHARE S COM STK COMMON STOCK 066849100 6971 239977 SH SOLE 239977 0 0 D BLACKROCK INC COM NEW COMMON STOCK 09247X101 3240 17000 SH SOLE 17000 0 0 D BRIDGE CAPITAL HOLDINGS COM COMMON STOCK 108030107 5162 593300 SH SOLE 593300 0 0 D BROOKLINE BANCORP IN C DE COM COMMON STOCK 11373M107 909 83800 SH SOLE 83800 0 0 D CENTER FINL CORP CAL IF COM ST COMMON STOCK 15146E102 531 70000 SH SOLE 70000 0 0 D CENTERSTATE BKS FLA INC COM ST COMMON STOCK 15201P109 3066 387100 SH SOLE 387100 0 0 D CENTURY BANCORP INC COM STK COMMON STOCK 156432106 5902 220300 SH SOLE 220300 0 0 D CHICOPEE BANCORP COMMON STOCK 168565109 2629 207800 SH SOLE 207800 0 0 D CITIGROUP INC COM STK COMMON STOCK 172967101 15297 3234100 SH SOLE 3234100 0 0 D CITIZENS & NORTHN CO RP COM ST COMMON STOCK 172922106 6565 441800 SH SOLE 441800 0 0 D CITY NATIONAL CORP CA COM STK COMMON STOCK 178566105 4209 68600 SH SOLE 68600 0 0 D CLIFTON SVGS BNK COMMON STOCK 18712Q103 126 11700 SH SOLE 11700 0 0
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 CNB FINANCIAL CORP (PA) COM S COMMON STOCK 126128107 6202 418781 SH SOLE 418781 0 0 D COLONIAL FINL SVCS INC COM STK COMMON STOCK 19566B101 227 18600 SH SOLE 18600 0 0 D CONNECTICUT BK & TR CO HARTFO COMMON STOCK 207546102 1618 289000 SH SOLE 289000 0 0 D DORAL FINL CORP COM STK COMMON STOCK 25811P886 6120 4434800 SH SOLE 4434800 0 0 D EAGLE BANCORP INC COM STK COMMON STOCK 268948106 2188 151600 SH SOLE 151600 0 0 D EAGLE BANCORP MONTANA INC COM COMMON STOCK 26942G100 3720 343500 SH SOLE 343500 0 0 D ENCORE BNCSHRS COMMON STOCK 29255V201 3696 360200 SH SOLE 360200 0 0 D ENTERPRISE BANCORP INC COM STK COMMON STOCK 293668109 1125 82755 SH SOLE 82755 0 0 D EVANS BANCORP INC COM STK COMMON STOCK 29911Q208 4322 303300 SH SOLE 303300 0 0 D FIRST BUSEY CORPORATION COM COMMON STOCK 319383105 9283 1975000 SH SOLE 1975000 0 0 D FIRST CALIFORNIA FINANCIAL GRP COMMON STOCK 319395109 1922 686600 SH SOLE 686600 0 0 D FIRST CMNTY BANCSHARES INC NE COMMON STOCK 31983A103 3604 241200 SH SOLE 241200 0 0 D FIRST FINANCIAL BANCORP OHIO COMMON STOCK 320209109 14131 764670 SH SOLE 764670 0 0 D FIRST HORIZON NATL CORP COMMON STOCK 320517105 5329 452384 SH SOLE 452384 0 0 D FIRST MIDWEST BANCOR P INC DEL COMMON STOCK 320867104 18835 1635000 SH SOLE 1635000 0 0 D FIRST OF LONG ISLAND CORP COM COMMON STOCK 320734106 3017 104900 SH SOLE 104900 0 0 D FIRST REPUBLIC BANK/ SAN FRAN COMMON STOCK 33616C100 36162 1411165 SH SOLE 1411165 0 0 D FIRST SECURITY GROUP INC COM COMMON STOCK 336312103 493 548300 SH SOLE 548300 0 0 D FIRSTBANK CORPORATION COM STK COMMON STOCK 33761G104 556 94900 SH SOLE 94900 0 0 D FIRSTMERIT CORP COM STK COMMON STOCK 337915102 5276 266600 SH SOLE 266600 0 0 D FOX CHASE BANCORP INC COM STK COMMON STOCK 35137T108 11792 995096 SH SOLE 955096 0 0 D FRANKLIN RESOURCES INC. COM S COMMON STOCK 354613101 3303 29700 SH SOLE 29700 0 0 D GUARANTY BANCORP COM STK COMMON STOCK 40075T102 142 100000 SH SOLE 100000 0 0 D HAMPDEN BANCORP INC COM STK COMMON STOCK 40867E107 4303 379800 SH SOLE 379800 0 0 D HAWTHORN BANCSHARES INC COM COMMON STOCK 420476103 571 66426 SH SOLE 66426 0 0 D HERITAGE COMM CORP COM STK COMMON STOCK 426927109 2895 643300 SH SOLE 643300 0 0 D HERITAGE FINANCIAL CORPORATIO COMMON STOCK 42722X106 8465 608100 SH SOLE 608100 0 0 D HERITAGE FINANCIAL GROUP INC C COMMON STOCK 42726X102 3407 274300 SH SOLE 274300 0 0 D HERITAGE OAKS BANCOR P COM STK COMMON STOCK 42724R107 7189 2185200 SH SOLE 2185200 0 0 D HF FINANCIAL CORP COM STK COMMON STOCK 404172108 7020 650000 SH SOLE 650000 0 0 D HINGHAM INSTITUTION FOR SVGS COMMON STOCK 433323102 3689 83000 SH SOLE 83000 0 0
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 HMN FINANCIAL INC COM STK COMMON STOCK 40424G108 279 99212 SH SOLE 99212 0 0 D HOME BANCSHARES INC/ CONWAY A COMMON STOCK 436893200 1315 59700 SH SOLE 59700 0 0 D HOPFED BANCORP INC COM STK COMMON STOCK 439734104 6328 700011 SH SOLE 700011 0 0 D HUNTINGTON BANCSHARE S INC COM COMMON STOCK 446150104 1533 223100 SH SOLE 223100 0 0 D IBERIABANK CORP COM STK COMMON STOCK 450828108 1691 28600 SH SOLE 28600 0 0 D INDIANA COMMUNITY BANCORP COM COMMON STOCK 454674102 3364 195000 SH SOLE 195000 0 0 D INVESCO LTD COM STK COMMON STOCK G491BT108 4952 205800 SH SOLE 205800 0 0 D JACKSONVILLE BANCORP INC COM COMMON STOCK 469249106 2460 333333 SH SOLE 333333 0 0 D JANUS CAPITAL GROUP INC COM COMMON STOCK 47102X105 584 45000 SH SOLE 45000 0 0 D JP MORGAN CHASE & CO. COM COMMON STOCK 46625H100 19937 470000 SH SOLE 470000 0 0 D JP MORGAN CHASE WRNT EXP 10/28 WARRANTS 46634E114 2114 146300 SH SOLE 146300 0 0 D KBW INC COMMON STOCK 482423100 1323 47400 SH SOLE 47400 0 0 D KEYCORP NY COM STK COMMON STOCK 493267108 6416 725000 SH SOLE 725000 0 0 D LAKELAND FINL CORP COM STK COMMON STOCK 511656100 5816 271000 SH SOLE 271000 0 0 D LAZARD LTD COM COMMON STOCK G54050102 11820 299307 SH SOLE 299307 0 0 D LEGACY BANCORP INC COM STK COMMON STOCK 52463G105 1612 122700 SH SOLE 122700 0 0 D LOUISIANA BANCORP INC COM COMMON STOCK 54619P104 3044 208500 SH SOLE 208500 0 0 D MERIDIAN INTERSTATE BANCORP IN COMMON STOCK 58964Q104 4167 353400 SH SOLE 353400 0 0 D MIDWESTONE FINANCIAL GROUP INC COMMON STOCK 598511103 5710 377900 SH SOLE 377900 0 0 D MORGAN STANLEY COM STK COMMON STOCK 617446448 14761 542500 SH SOLE 542500 0 0 D MUTUALFIRST FINANCIA L INC COM COMMON STOCK 62845B104 1575 169400 SH SOLE 169400 0 0 D NEW CENTY BANCORP IN C DUNN NC COMMON STOCK 64353M100 592 128700 SH SOLE 128700 0 0 D NEWPORT BANCORP INC COM STK COMMON STOCK 651754103 3942 328500 SH SOLE 328500 0 0 D NORTH VALLEY BANCORP COM STK COMMON STOCK 66304M105 176 19686 SH SOLE 19686 0 0 D NORTHRIM BANCORP INC COMMON STOCK 666762109 3943 204100 SH SOLE 204100 0 0 D NORTHWEST BANCSHARES INC/MD COMMON STOCK 667340103 1209 102600 SH SOLE 102600 0 0 D OBA FINANCIAL SERVIC ES INC COMMON STOCK 67424G101 2419 175000 SH SOLE 175000 0 0 D OCEANFIRST FINL CORP COM STK COMMON STOCK 675234108 3526 274000 SH SOLE 274000 0 0 D OMNIAMERICAN BANCORP INC COMMON STOCK 68216R107 6287 464000 SH SOLE 464000 0 0 D ONEIDA FINANCIAL CORP COM STK COMMON STOCK 682479100 1568 199700 SH SOLE 199700 0 0 D PACIFIC CONTINENTAL CORP COM S COMMON STOCK 69412V108 1238 123100 SH SOLE 123100 0 0 D PACIFIC PREMIER BANC ORP COM S COMMON STOCK 69478X105 6408 988900 SH SOLE 988900 0 0
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 PARK STERLING BK CHA RLOTTE N COMMON STOCK 70086W109 4679 757200 SH SOLE 757200 0 0 D PEOPLE FED BANC COMMON STOCK 711037101 1983 152400 SH SOLE 152400 0 0 D PEOPLES UNITED FINANCIAL INC C COMMON STOCK 712704105 3079 219800 SH SOLE 219800 0 0 D PNC FINANCIAL SERVIC ES GROUP COMMON STOCK 693475105 10930 180000 SH SOLE 180000 0 0 D POPULAR INC COM STK COMMON STOCK 733174106 2429 773700 SH SOLE 773700 0 0 D PREFERRED BANK COM STK COMMON STOCK 740367107 6736 3827500 SH SOLE 3827500 0 0 D PROSPERITY BANCSHARE S INC COM COMMON STOCK 743606105 2357 60000 SH SOLE 60000 0 0 D PROVIDENT FINANCIAL HOLDINGS I COMMON STOCK 743868101 853 117800 SH SOLE 117800 0 0 D RIVERVIEW BANCORP IN C COM STK COMMON STOCK 769397100 3376 1241000 SH SOLE 1241000 0 0 D RODMAN & RENSHAW CAP GROUP INC COMMON STOCK 77487R100 1971 735300 SH SOLE 735300 0 0 D SAVANNAH BANCORP INC COM STK COMMON STOCK 804748101 1715 245000 SH SOLE 245000 0 0 D SEACOAST BKG CORP FLA COMMON COMMON STOCK 811707306 4546 3113969 SH SOLE 3113969 0 0 D SIERRA BANCORP COM STK COMMON STOCK 82620P102 7165 667800 SH SOLE 667800 0 0 D SIMMONS FIRST NATION AL CORP C COMMON STOCK 828730200 7475 262285 SH SOLE 262285 0 0 D SOMERSET HILLS BANCO RP BERNA COMMON STOCK 834728107 3118 345664 SH SOLE 345664 0 0 D SOUTHWEST BANCORP IN C OKLA CO COMMON STOCK 844767103 4595 370600 SH SOLE 370600 0 0 D STANDARD FINANCIAL CORP COMMON STOCK 853393106 2987 215700 SH SOLE 215700 0 0 D STATE BANCORP INC N Y COM STK COMMON STOCK 855716106 2431 262800 SH SOLE 262800 0 0 D STATE STREET CORPORATION COM COMMON STOCK 857477103 3564 76900 SH SOLE 76900 0 0 D STERLING BANCORP COM STK COMMON STOCK 859158107 5445 520056 SH SOLE 520056 0 0 D STERLING BANCSHARES INC COM ST COMMON STOCK 858907108 4037 575000 SH SOLE 575000 0 0 D TRUSTMARK CORP COM STK COMMON STOCK 898402102 713 28700 SH SOLE 28700 0 0 D UNITED CMNTY FINL CO RP OHIO C COMMON STOCK 909839102 72 53400 SH SOLE 53400 0 0 D UNITED COMMUNITY BANKS INC CO COMMON STOCK 90984P105 176 90200 SH SOLE 90200 0 0 D US BANCORP COM COMMON STOCK 902973304 15373 570000 SH SOLE 570000 0 0 D WALKER & DUNLOP INC COMMON STOCK 93148P102 2018 200000 SH SOLE 200000 0 0 D WASHINGTON FEDERAL INC COM ST COMMON STOCK 938824109 1709 101000 SH SOLE 101000 0 0 D WELLS FARGO & CO 7.5% SER L PRFD STK (CONVRT 949746804 7905 7901 SH SOLE 7901 0 0 D WELLS FARGO & CO-CW1 8 WT EXP1 WARRANTS 949746119 4989 450300 SH SOLE 450300 0 0 D WELLS FARGO COMPANY COMMON STOCK 949746101 2789 90000 SH SOLE 90000 0 0 D WEST BANCORPORATION INC COM ST COMMON STOCK 95123P106 1267 162600 SH SOLE 162600 0 0
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 WEST COAST BANCORP O RE NEW CO COMMON STOCK 952145100 600 212700 SH SOLE 212700 0 0 D WESTERN ALLIANCE BANCORP COMMON STOCK 957638109 1214 164900 SH SOLE 164900 0 0 D WILLIS GROUP HOLDINGS PLC COM COMMON STOCK G96666105 5794 167300 SH SOLE 167300 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 1960 150400 SH SOLE 150400 0 0 D WINTRUST FINL CORP COM STK COMMON STOCK 97650W108 14755 446700 SH SOLE 446700 0 0 D ZIONS BANCORPORATION COM STK COMMON STOCK 989701107 10140 418500 SH SOLE 418500 0 0 S REPORT SUMMARY 126 DATA RECORDS 561564 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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