-----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, SKV2kwKOJTyus/hAmuiltzPvR+tez9we7JR448mpo0m2PdEISC2rlciE9RE7Qgr9 wkT+5PGcXN0UlP90/kQTxQ== 0000728672-99-000017.txt : 19990518 0000728672-99-000017.hdr.sgml : 19990518 ACCESSION NUMBER: 0000728672-99-000017 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SANDLER ONEILL ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001040762 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133906061 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-07148 FILM NUMBER: 99624676 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 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: March 31, 1999 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'NEIL ASSET Address: MANAGEMENT, LLC 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 herin 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: Phone: Signature, Place and Date of Signing: TERRY MALTESE May 6, 1999 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: 77 Form 13F Information Table Value Total: +85342 FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP x($1000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- -------- --------- -------- -------- -------- D ADVANCE FINL BANCORP COM COMMON STOCK 007437106 1064 87800 SH SOLE 87800 0 0 D ADVANTA CORP USD.01 CL-B NONVT COMMON STOCK 007942204 1340 150000 SH SOLE 150000 0 0 D AMB FINL CORP COM COMMON STOCK 001984103 237 18000 SH SOLE 18000 0 0 D ASSOCIATED BANC CORP COM COMMON STOCK 045487105 1037 32500 SH SOLE 32500 0 0 D ASTORIA FINL CORP COM COMMON STOCK 046265104 1000 20000 SH SOLE 20000 0 0 D BANK COMM SAN DIEGO CALIF COM COMMON STOCK 061589107 1509 75000 SH SOLE 75000 0 0 D BANK OF THE OZARKS INC COM COMMON STOCK 063904106 559 26000 SH SOLE 26000 0 0 D BANK ONE CORP COM COMMON STOCK 06423A103 2202 40000 SH SOLE 40000 0 0 D BANKBOSTON CORP COM COMMON STOCK 06605R106 866 20000 SH SOLE 20000 0 0 D BOSTONFED BANCORP INC COM COMMON STOCK 101178101 270 15000 SH SOLE 15000 0 0 D BROAD NATL BANCORPORATION COMMON STOCK 111239109 408 16799 SH SOLE 16799 0 0 D BYL BANCORP COM STK COMMON STOCK 056064108 433 34000 SH SOLE 34000 0 0 D CALIFORNIA FED BK A FED SVGS B COMMON STOCK 130209604 412 37500 SH SOLE 37500 0 0 D CAPITAL BANK RALEIGH N C COM COMMON STOCK 139808109 184 18600 SH SOLE 18600 0 0 D CB BANCSHARES INC COM COMMON STOCK 124785106 812 30500 SH SOLE 30500 0 0 D CFS BANCORP INC COM STK COMMON STOCK 12525D102 1076 102500 SH SOLE 102500 0 0 D CHARTER ONE FINL INC COM COMMON STOCK 160903100 1154 40000 SH SOLE 40000 0 0 D CNS BANCORP INC COM COMMON STOCK 12613P108 115 10000 SH SOLE 10000 0 0 D COAST FED LITIGATION CONTIGENT RIGHTS 19034Q110 178 30000 SH SOLE 30000 0 0 D COMERICA INC COM COMMON STOCK 200340107 2497 40000 SH SOLE 40000 0 0 D COMMERCIAL BK N Y COM COMMON STOCK 201462108 2359 181500 SH SOLE 181500 0 0 D CRUSADER HOLDING CORP COM COMMON STOCK 228840104 641 65000 SH SOLE 65000 0 0 D DIME BANCORP INC NEW, COM COMMON STOCK 25429Q102 1043 45000 SH SOLE 45000 0 0 D ENHANCE FINL SVCS GROUP INC COMMON STOCK 293310108 690 30000 SH SOLE 30000 0 0 D FIRST AMERN CORP TENN COM COMMON STOCK 318900107 737 20000 SH SOLE 20000 0 0 D FIRST CHARTER CORP COM COMMON STOCK 319439105 1045 55000 SH SOLE 55000 0 0 D FIRST FED FINANCIAL CORP COM COMMON STOCK 337907109 1044 65000 SH SOLE 65000 0 0 D FIRST KANSAS FINANCIAL CORP COMMON STOCK 320651102 1471 140100 SH SOLE 140100 0 0 D FIRST REPUBLIC BANK COM COMMON STOCK 336158100 2653 110000 SH SOLE 110000 0 0 D FIRST WESTN BANCORP INC COMMON STOCK 337505101 1417 45000 SH SOLE 45000 0 0 D FIRSTCITY FINL CORP COM COMMON STOCK 33761X107 1788 180000 SH SOLE 180000 0 0 D GOLDEN STATE BANCORP COM STK COMMON STOCK 381197102 1446 65000 SH SOLE 65000 0 0 D GOLDEN STATE BANCORP LITIG WT WARRANTS 381197136 484 100000 SH SOLE 100000 0 0 D GREENPOINT FINL CORP COM COMMON STOCK 395384100 861 24800 SH SOLE 24800 0 0 D HARBOR FLORIDA BANCSHARES COMMON STOCK 411901101 510 40000 SH SOLE 40000 0 0 D HAWTHORNE FINL CORP COM COMMON STOCK 420542102 900 60000 SH SOLE 60000 0 0 D HF BANCORP INC COM COMMON STOCK 403910102 790 45000 SH SOLE 45000 0 0 D HIGH COUNTRY BANCORP INC COMMON STOCK 42965Q107 1332 118400 SH SOLE 118400 0 0 D HIGHLAND BANCORP INC COM STK N COMMON STOCK 429879109 4308 117250 SH SOLE 117250 0 0 D HOME FEDERAL BANCORP INDIANA COMMON STOCK 436926109 306 14000 SH SOLE 14000 0 0 D HUDSON RIVER BANCORP COM STK COMMON STOCK 444128102 765 70000 SH SOLE 70000 0 0 D INTL AIRCRAFT INVESTORS COMMON STOCK 458860103 1032 140000 SH SOLE 140000 0 0 D LAKELAND FINL CORP COM COMMON STOCK 511656100 630 35000 SH SOLE 35000 0 0 D LEXINGTON B & L FINL CORP COMMON STOCK 529017105 378 35000 SH SOLE 35000 0 0 D LINCOLN BANCORP COM STK COMMON STOCK 532879103 1461 140000 SH SOLE 140000 0 0 D LONG BEACH FIANACIAL CORP COM COMMON STOCK 542446109 433 45000 SH SOLE 45000 0 0 D MUTUAL SVGS BK FSB BAY CITY MI COMMON STOCK 628355109 825 75000 SH SOLE 75000 0 0 D NIAGARA BANCORP INC COM STK COMMON STOCK 652914102 900 90000 SH SOLE 90000 0 0 D NORTH CENT BANCSHARES INC COMMON STOCK 658418108 435 26000 SH SOLE 26000 0 0 D NORTH FORK BANCORPORATION COMMON STOCK 659424105 3591 170000 SH SOLE 170000 0 0 D PACIFIC CREST CAP INC COM COMMON STOCK 694166109 2165 157500 SH SOLE 157500 0 0 D PBOC HOLDINGS INC COM STK COMMON STOCK 69316G108 900 100000 SH SOLE 100000 0 0 D PEOPLE'S BANCSHARES INC, MASS COMMON STOCK 709795108 1256 67000 SH SOLE 67000 0 0 D PEOPLE'S BANK BRIDGEPORT CONN COMMON STOCK 710198102 1190 40000 SH SOLE 40000 0 0 D PFF BANCORP INC COM COMMON STOCK 69331W104 787 45000 SH SOLE 45000 0 0 D PROFESSIONAL BANCORP COM COMMON STOCK 743112104 355 20000 SH SOLE 20000 0 0 D PROGRESS FINL CORP COM COMMON STOCK 743266108 2030 140000 SH SOLE 140000 0 0 D PROSPERITY BANCSHARES, INC COMMON STOCK 743606105 1653 135000 SH SOLE 135000 0 0 D PROVIDENT FIANANCIAL GROUP INC COMMON STOCK 743866105 1439 37500 SH SOLE 37500 0 0 D REPUBLIC FIRST BANCORP INC COM COMMON STOCK 760416107 456 50000 SH SOLE 50000 0 0 D REPUBLIC SVGS FINL CORP COM COMMON STOCK 760758102 1850 200000 SH SOLE 200000 0 0 D RICHMOND COUNTY FINL CORP COM COMMON STOCK 764556106 212 14376 SH SOLE 14376 0 0 D RIVER VALLEY BANCORP COM COMMON STOCK 768475105 536 40500 SH SOLE 40500 0 0 D SOUTH JERSEY FINANCIAL CORP COMMON STOCK 838493104 1544 135000 SH SOLE 135000 0 0 D SOUTHERN BANC INC COM COMMON STOCK 842233108 697 60000 SH SOLE 60000 0 0 D SOUTHWEST BANCORP INC OKLA COMMON STOCK 844767103 1729 75000 SH SOLE 75000 0 0 D STATEWIDE FINL CORP COM COMMON STOCK 857914105 392 20000 SH SOLE 20000 0 0 D STERLING FINL CORP WASH COM COMMON STOCK 859319105 790 51000 SH SOLE 51000 0 0 D TCF FINANCIAL CORP USD.01 COM COMMON STOCK 872275102 651 25000 SH SOLE 25000 0 0 D TEXARKANA FIRST FINL CORP COM COMMON STOCK 881801104 2318 97600 SH SOLE 97600 0 0 D THISTLE GROUP HLDGS CO COMMON STOCK 88431E103 1564 184000 SH SOLE 184000 0 0 D UCBH HOLDINGS INC COM COMMON STOCK 90262T308 2818 205000 SH SOLE 205000 0 0 D USBANCSHARES INC COM COMMON STOCK 917289100 1091 136410 SH SOLE 136410 0 0 D WESTERN BANCORP COM COMMON STOCK 957683105 309 10000 SH SOLE 10000 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 1487 85000 SH SOLE 85000 0 0 D WOOD BANCORP INC COM COMMON STOCK 978237105 501 27500 SH SOLE 27500 0 0 D WORONOCO BANCORP INC COM COMMON STOCK 981630106 994 104700 SH SOLE 104700 0 0 S REPORT SUMMARY 77 DATA RECORDS 85342 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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