-----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, P1KzMeRJbSv08OAOJC7XwG+V2/ruYpceJS6OpZK0OBIPXrYT7E0w+zyy7p2oh+0r dsPiqpzW9EDZfFpt9lCb4w== 0000895345-06-000838.txt : 20061027 0000895345-06-000838.hdr.sgml : 20061027 20061027150442 ACCESSION NUMBER: 0000895345-06-000838 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061027 DATE AS OF CHANGE: 20061027 EFFECTIVENESS DATE: 20061027 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EJF Capital LLC CENTRAL INDEX KEY: 0001353254 IRS NUMBER: 202815526 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-11792 FILM NUMBER: 061168628 BUSINESS ADDRESS: STREET 1: 2107 WILSON BOULEVARD STREET 2: SUITE 410 CITY: ARLINGTON STATE: VA ZIP: 22201 BUSINESS PHONE: 703-875-0591 MAIL ADDRESS: STREET 1: 2107 WILSON BOULEVARD STREET 2: SUITE 410 CITY: ARLINGTON STATE: VA ZIP: 22201 13F-HR/A 1 lb13fhra_ejfcapital.txt 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, 2006 Check here if Amendment [x]; Amendment Number: 1 ---------------- This Amendment (Check only one.): [x] is a restatement [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: EJF Capital LLC Address: 2107 Wilson Boulevard, Suite 410 Arlington, VA 22201 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: Neal J. Wilson Title: Chief Operating Officer Phone: 703-875-0591 Signature, Place, and Date of Signing: /s/ Neal J. Wilson Arlington, VA 10/27/2006 ---------------------- ---------------------- ---------------------- Report Type (Check only one.): [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 report manager are reported in this report and a portion are reported by other reporting manager(s).) 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: $146,487 (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. NONE
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 DSCRETN MANAGERS SOLE SHARED NONE - --------------------------- ---------------- --------- -------- ------- --- ---- ------- -------- ------ ------ ----- AAMES INVESTMENT CORP EQUITY COM 00253G108 8,181 2,065,930 SH SOLE 2,065,930 0 0 ADVANCED MICRO DEVICES EQUITY COM 007903107 397 16,000 SH SOLE 16,000 0 0 ADVANCIS PHARMACEUTICAL EQUITY COM 00764L109 90 15,000 SH SOLE 15,000 0 0 AETNA INC EQUITY COM 00817Y108 514 13,000 SH SOLE 13,000 0 0 ALEXION PHARMACEUTICALS INC EQUITY COM 015351109 509 15,000 SH SOLE 15,000 0 0 ALLERGAN INC EQUITY COM 018490102 337 3,000 SH SOLE 3,000 0 0 AMCOMP INC EQUITY COM 02342J101 18 1,913 SH SOLE 1,913 0 0 AMERICAN EXPRESS CO EQUITY COM 025816109 6,168 110,000 SH SOLE 110,000 0 0 AMERICAN FINANCIAL REALTY TR EQUITY COM 02607P305 1,674 150,000 SH SOLE 150,000 0 0 AMERICREDIT CORP EQUITY COM 03060R101 4,498 180,000 SH SOLE 180,000 0 0 AMGEN INC EQUITY COM 031162100 5,004 69,969 SH SOLE 69,969 0 0 AMYLIN PHARMACEUTICALS INC EQUITY COM 032346108 290 6,600 SH SOLE 6,600 0 0 ANNALY MORTGAGE MANAGEMENT EQUITY COM 035710409 394 30,000 SH SOLE 30,000 0 0 ANWORTH MORTGAGE ASSET CORP EQUITY COM 037347101 346 41,500 SH SOLE 41,500 0 0 ARCHER-DANIELS-MIDLAND CO EQUITY COM 039483102 378 10,000 SH SOLE 10,000 0 0 ARENA PHARMACEUTICALS INC EQUITY COM 040047102 252 21,000 SH SOLE 21,000 0 0 ASPREVA PHARMACEUTICALS CORP EQUITY COM 04538T109 1,442 55,583 SH SOLE 55,583 0 0 AVENTINE RENEWABLE ENERGY EQUITY COM 05356X403 963 45,000 SH SOLE 45,000 0 0 AXCELIS TECHNOLOGIES INC EQUITY COM 054540109 494 70,200 SH SOLE 70,200 0 0 BANK OF AMERICA CORP. EQUITY COM 060505104 5,357 100,000 SH SOLE 100,000 0 0 BEAZER HOMES USA INC EQUITY COM 07556Q105 390 10,000 SH SOLE 10,000 0 0 BIOCRYST PHARMACEUTICALS INC EQUITY COM 09058V103 25 2,000 SH SOLE 2,000 0 0 BIOMARIN PHARMACEUTICAL INC EQUITY COM 09061G101 142 10,000 SH SOLE 10,000 0 0 BIOTECH HOLDRS TRUST EQUITY COM 09067D201 832 4,500 SH SOLE 4,500 0 0 BOIS D' ARC ENERGY INC EQUITY COM 09738U103 153 10,000 SH SOLE 10,000 0 0 BROADCOM CORP A EQUITY COM 111320107 152 5,000 SH SOLE 5,000 0 0 CALAMOS ASSET MANAGEMENT-A EQUITY COM 12811R104 484 16,500 SH SOLE 16,500 0 0 CAPITAL ONE FINANCIAL CORP EQUITY COM 14040H105 1,573 20,000 SH SOLE 20,000 0 0 CARDIOME PHARMA CORPORATION EQUITY COM 14159U202 219 19,000 SH SOLE 19,000 0 0 CAREMARK RX INC EQUITY COM 141705103 283 5,000 SH SOLE 5,000 0 0 CELGENE CORP EQUITY COM 151020104 50 1,165 SH SOLE 1,165 0 0 CENTURY ALUMINUM COMPANY EQUITY COM 156431108 67 2,000 SH SOLE 2,000 0 0 CHESAPEAKE ENERGY CORP EQUITY COM 165167107 725 25,000 SH SOLE 25,000 0 0 CHICAGO MERCANTILE EXCHANGE EQUITY COM 167760107 478 1,000 SH SOLE 1,000 0 0 CISCO SYSTEMS INC EQUITY COM 17275R102 3,447 150,000 SH SOLE 150,000 0 0 CIT GROUP INC EQUITY COM 125581108 3,161 65,000 SH SOLE 65,000 0 0 CITIGROUP INC EQUITY COM 172967101 7,053 142,000 SH SOLE 142,000 0 0 COMERICA INC EQUITY COM 200340107 4,855 85,300 SH SOLE 85,300 0 0 CORNING INC EQUITY COM 219350105 1,411 57,800 SH SOLE 57,800 0 0 COUNTRYWIDE FINANCIAL CORP EQUITY COM 222372104 350 10,000 SH SOLE 10,000 0 0 CRYSTAL RIVER CAPITAL INC EQUITY COM 229393301 2,116 92,500 SH SOLE 92,500 0 0 CYPRESS SEMICONDUCTOR CORP EQUITY COM 232806109 1,823 102,600 SH SOLE 102,600 0 0 DEERFIELD TRIARC CAPITAL COR EQUITY COM 244572301 1,835 140,000 SH SOLE 140,000 0 0 DEVON ENERGY CORPORATION EQUITY COM 25179M103 316 5,000 SH SOLE 5,000 0 0 E*TRADE FINANCIAL CORP EQUITY COM 269246104 4,306 180,000 SH SOLE 180,000 0 0 ECC CAPITAL CORP EQUITY COM 26826M108 3,355 3,289,500 SH SOLE 3,289,500 0 0 ENSCO INTERNATIONAL INC EQUITY COM 26874Q100 219 5,000 SH SOLE 5,000 0 0 EXPRESS SCRIPTS INC EQUITY COM 302182100 377 5,000 SH SOLE 5,000 0 0 FIRST DATA CORP EQUITY COM 319963104 3,255 77,500 SH SOLE 77,500 0 0 FREEPORT-MCMORAN COPPER-B EQUITY COM 35671D857 533 10,000 SH SOLE 10,000 0 0 GENENTECH INC EQUITY COM 368710406 422 5,100 SH SOLE 5,100 0 0 GEN-PROBE INC EQUITY COM 36866T103 532 11,356 SH SOLE 11,356 0 0 GENZYME CORP EQUITY COM 372917104 472 7,000 SH SOLE 7,000 0 0 GILEAD SCIENCES INC EQUITY COM 375558103 320 4,650 SH SOLE 4,650 0 0 GLAXOSMITHKLINE PLC-ADR EQUITY SPONSORED ADR 37733W105 160 3,000 SH SOLE 3,000 0 0 GOOGLE INC-CL A EQUITY COM 38259P508 703 1,750 SH SOLE 1,750 0 0 HOLOGIC INC EQUITY COM 436440101 343 7,875 SH SOLE 7,875 0 0 HORNBECK OFFSHORE SERVICES EQUITY COM 440543106 111 3,300 SH SOLE 3,300 0 0 HUDSON CITY BANCORP INC EQUITY COM 443683107 663 50,000 SH SOLE 50,000 0 0 ILLUMINA INC EQUITY COM 452327109 165 5,000 SH SOLE 5,000 0 0 IMPERIAL SUGAR CO EQUITY COM 453096208 124 4,000 SH SOLE 4,000 0 0 INTUITIVE SURGICAL INC EQUITY COM 46120E602 211 2,000 SH SOLE 2,000 0 0 IOMAI CORP EQUITY COM 46202P103 171 36,218 SH SOLE 36,218 0 0 ISHARES MSCI EMERGING MKT IN EQUITY COM 464287234 581 6,000 SH SOLE 6,000 0 0 ISHARES NASDAQ BIOTECH INDX EQUITY COM 464287556 2,324 31,500 SH SOLE 31,500 0 0 NASDAQ 100 TRUST SHARES Put 631100954 6 100 SH Put SOLE 100 0 0 JPMORGAN CHASE & CO EQUITY COM 46625H100 11,036 235,000 SH SOLE 235,000 0 0 KOMAG INC EQUITY COM 500453204 240 7,500 SH SOLE 7,500 0 0 MEDCO HEALTH SOLUTIONS INC EQUITY COM 58405U102 301 5,000 SH SOLE 5,000 0 0 MONSANTO CO EQUITY COM 61166W101 329 7,000 SH SOLE 7,000 0 0 MORTGAGEIT HOLDINGS INC EQUITY COM 61915Q108 2,112 150,000 SH SOLE 150,000 0 0 MOTOROLA INC EQUITY COM 620076109 3,500 140,000 SH SOLE 140,000 0 0 MUELLER WATER PRODUCTS INC-A EQUITY COM 624758108 1,381 94,500 SH SOLE 94,500 0 0 MYOGEN INC EQUITY COM 62856E104 147 4,200 SH SOLE 4,200 0 0 NATIONAL-OILWELL INC EQUITY COM 637071101 732 12,500 SH SOLE 12,500 0 0 NEUROMETRIX INC EQUITY COM 641255104 718 37,782 SH SOLE 37,782 0 0 NOKIA CORP-SPON ADR EQUITY SPONSORED ADR 654902204 591 30,000 SH SOLE 30,000 0 0 NOVARTIS AG USD SPON EQUITY COM 66987V109 584 10,000 SH SOLE 10,000 0 0 AMERICAN EXPRESS COMPANY Call 025816909 9 90 SH Call SOLE 90 0 0 ONYX PHARMACEUTICALS INC Call 683399909 33 100 SH Call SOLE 100 0 0 DELL INC Put 24702R951 7 75 SH Put SOLE 75 0 0 ASPREVA PHARMACEUTICALS INC Call 04538T909 11 26 SH Call SOLE 26 0 0 BIOTECH HOLDRS Call 09067D901 113 100 SH Call SOLE 100 0 0 EXPRESS SCRIPTS INC Call 302182900 61 100 SH Call SOLE 100 0 0 GENZYME CORP Call 372917904 44 56 SH Call SOLE 56 0 0 HOLOGIC INC Call 436440901 88 100 SH Call SOLE 100 0 0 ISHARES NASDAQ BIOTECHNOLOGY Call 464287906 63 150 SH Call SOLE 150 0 0 INTUITIVE SURGICAL INC Call 46120E902 115 50 SH Call SOLE 50 0 0 INTUITIVE SURGICAL INC Call 46120E902 63 40 SH Call SOLE 40 0 0 MEDCO HEALTH SOLUTIONS INC Call 58405U902 51 100 SH Call SOLE 100 0 0 IMCLONE SYSTEMS INC Put 45245W959 24 100 SH Put SOLE 100 0 0 ISHARES RUSSELL 2000 INDEX Put 464287955 15 100 SH Put SOLE 100 0 0 NEKTAR THERAPEUTICS Put 640268958 11 100 SH Put SOLE 100 0 0 NEUROCHEM INC Put 64125K951 11 50 SH Put SOLE 50 0 0 NEW RIVER PHARMACEUTICALS INC Put 648468955 23 50 SH Put SOLE 50 0 0 NASDAQ 100 TRUST SHARES Put 631100954 11 300 SH Put SOLE 300 0 0 ZYMOGENETICS INC Put 98985T959 30 100 SH Put SOLE 100 0 0 ZIMMER HOLDINGS INC Put 98956P952 29 100 SH Put SOLE 100 0 0 ONYX PHARMACEUTICALS INC EQUITY COM 683399109 237 13,700 SH SOLE 13,700 0 0 PALM INC EQUITY COM 696643105 154 10,600 SH SOLE 10,600 0 0 PALOMAR MEDICAL TECHNOLOGIES EQUITY COM 697529303 802 19,004 SH SOLE 19,004 0 0 PDL BIOPHARNA INC EQUITY COM 69329Y104 447 23,300 SH SOLE 23,300 0 0 PEABODY ENERGY CORP EQUITY COM 704549104 92 2,500 SH SOLE 2,500 0 0 PETROHAWK ENERGY CORP EQUITY COM 716495106 832 80,000 SH SOLE 80,000 0 0 PRUDENTIAL FINANCIAL INC EQUITY COM 744320102 1,106 14,500 SH SOLE 14,500 0 0 QUALCOMM INC EQUITY COM 747525103 1,999 55,000 SH SOLE 55,000 0 0 QUIDEL CORP EQUITY COM 74838J101 298 21,100 SH SOLE 21,100 0 0 SANDISK CORP EQUITY COM 80004C101 803 15,000 SH SOLE 15,000 0 0 SANOFI-AVENTIS-ADR EQUITY SPONSORED ADR 80105N105 534 12,000 SH SOLE 12,000 0 0 SCHWAB (CHARLES) CORP EQUITY COM 808513105 5,399 301,430 SH SOLE 301,430 0 0 SONUS NETWORKS INC EQUITY COM 835916107 1,846 351,600 SH SOLE 351,600 0 0 SUNCOR ENERGY INC. EQUITY COM 867229106 360 5,000 SH SOLE 5,000 0 0 SUNOCO INC EQUITY COM 86764P109 466 7,500 SH SOLE 7,500 0 0 SUNTECH POWER HOLDINGS-ADR EQUITY SPONSORED ADR 86800C104 258 10,000 SH SOLE 10,000 0 0 SYNGENTA AG-ADR EQUITY COM 87160A100 453 15,000 SH SOLE 15,000 0 0 TEVA PHARMACEUTICAL-SP ADR EQUITY SPONSORED ADR 881624209 283 8,300 SH SOLE 8,300 0 0 TRANSOCEAN INC EQUITY ORD G90078109 549 7,500 SH SOLE 7,500 0 0 TRIDENT MICROSYSTEMS INC EQUITY COM 895919108 116 5,000 SH SOLE 5,000 0 0 UNITED STATES STEEL CORP EQUITY COM 912909108 4,326 75,000 SH SOLE 75,000 0 0 UNITEDHEALTH GROUP INC EQUITY COM 91324P102 590 12,000 SH SOLE 12,000 0 0 VALERO ENERGY CORP EQUITY COM 91913Y100 515 10,000 SH SOLE 10,000 0 0 VERTEX PHARMACEUTICALS INC EQUITY COM 92532F100 506 15,037 SH SOLE 15,037 0 0 VIROPHARMA INC EQUITY COM 928241108 243 20,000 SH SOLE 20,000 0 0 WACHOVIA CORP EQUITY COM 929903102 10,044 180,000 SH SOLE 180,000 0 0 WALTER INDUSTRIES INC EQUITY COM 93317Q105 1,921 45,000 SH SOLE 45,000 0 0 WATERS CORP EQUITY COM 941848103 226 5,000 SH SOLE 5,000 0 0
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