-----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, NtTrAx/BrNp3ymrcKRnbVVoUbUA6+/x9Gbinr/CXNDty5FbvKRFX3vVjEAHvDwcY UmyqhBPj/9NIy8s50BSOug== /in/edgar/work/0000728672-00-000198/0000728672-00-000198.txt : 20001115 0000728672-00-000198.hdr.sgml : 20001115 ACCESSION NUMBER: 0000728672-00-000198 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000929 FILED AS OF DATE: 20001114 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: 764409 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 0001.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: September 29, 2000 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 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: Phone: Signature, Place and Date of Signing: TERRY MALTESE October 26, 2000 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: 86 Form 13F Information Table Value Total: 95448 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 ACADIANA BANCSHARES INC LA NEW COMMON STOCK 004280103 722 45500 SH SOLE 45500 0 0 D ACE LTD COM COMMON STOCK G0070K103 981 25000 SH SOLE 25000 0 0 D ADVANCE FINL BANCORP COM COMMON STOCK 007437106 944 87800 SH SOLE 87800 0 0 D ADVANTA CORP USD.01 CL-B NONVT COMMON STOCK 007942204 570 70000 SH SOLE 70000 0 0 D AFFILIATED MANAGERS GROUP INC COMMON STOCK 008252108 285 5000 SH SOLE 5000 0 0 D ALLMERICA FINL CORP COM COMMON STOCK 019754100 639 10000 SH SOLE 10000 0 0 D AMER HOME MTG COM STK COMMON STOCK 02660M108 551 105000 SH SOLE 105000 0 0 D AMERICAN GEN CORP COM COMMON STOCK 026351106 975 12500 SH SOLE 12500 0 0 D ASSOCIATED BANC CORP COM COMMON STOCK 045487105 656 25000 SH SOLE 25000 0 0 D ASTORIA FINL CORP COM COMMON STOCK 046265104 4944 128000 SH SOLE 128000 0 0 D BANK NEW YORK INC COM COMMON STOCK 064057102 3644 65000 SH SOLE 65000 0 0 D BANK OF AMERICA CORP COM STK COMMON STOCK 060505104 786 15000 SH SOLE 15000 0 0 D BANK OF AMERICA CORP COM STK OPTIONS - CALLS 0605050AH 786 15000 SH CALL SOLE 15000 0 0 D BANKNORTH GROUP INC COM STK NE COMMON STOCK 06646R107 1341 75000 SH SOLE 75000 0 0 D BERKSHIRE HILL COM STK COMMON STOCK 084680107 683 47500 SH SOLE 47500 0 0 D BOSTON PRIVATE BANCORP INC COMMON STOCK 101119105 1568 95000 SH SOLE 95000 0 0 D BOSTONFED BANCORP INC COM COMMON STOCK 101178101 586 27500 SH SOLE 27500 0 0 D CAPITAL BANK CORP COMM COMMON STOCK 139793103 649 70200 SH SOLE 70200 0 0 D CENTURA BKS INC COM COMMON STOCK 15640T100 586 15300 SH SOLE 15300 0 0 D CHASE MANHATTAN CORP COM NEW COMMON STOCK 16161A108 693 15000 SH SOLE 15000 0 0 D COAST FED LITIGATION CONTIGENT RIGHTS 19034Q110 83 55000 SH SOLE 55000 0 0 D COASTAL BANCORP INC COM COMMON STOCK 19041P105 1296 72500 SH SOLE 72500 0 0 D COMDISCO INC COM COMMON STOCK 200336105 477 25000 SH SOLE 25000 0 0 D COMMERCIAL BK N Y COM COMMON STOCK 201462108 1789 132500 SH SOLE 132500 0 0 D CRUSADER HOLDING CORP COM COMMON STOCK 228840104 593 68248 SH SOLE 68248 0 0 D CT BANCSHARES COM STK COMMON STOCK 207540105 568 30000 SH SOLE 30000 0 0 D DIGITAS INC COM STK COMMON STOCK 25388K104 710 40000 SH SOLE 40000 0 0 D DIME BANCORP INC NEW, COM COMMON STOCK 25429Q102 2588 120000 SH SOLE 120000 0 0 D DUTCHFORK BNCSH COM STK COMMON STOCK 26704P108 900 73500 SH SOLE 73500 0 0 D ENHANCE FINL SVCS GROUP INC COMMON STOCK 293310108 780 60000 SH SOLE 60000 0 0 D EQUITABLE BANK COM SKT COMMON STOCK 29444Q105 928 70000 SH SOLE 70000 0 0 D ESPEED INC COM STK COMMON STOCK 296643109 512 18000 SH SOLE 18000 0 0 D EVEREST RE GROUP LTD COM STK COMMON STOCK G3223R108 1114 22500 SH SOLE 22500 0 0 D EVERTRUST FINL COM STK COMMON STOCK 300412103 1250 100000 SH SOLE 100000 0 0 D FIRST COMMUNITY FINL CORP/NC COMMON STOCK 31984M106 793 45000 SH SOLE 45000 0 0 D FIRST FED FINANCIAL CORP COM COMMON STOCK 337907109 3278 142500 SH SOLE 142500 0 0 D FIRST KANSAS FINANCIAL CORP COMMON STOCK 320651102 1413 112500 SH SOLE 112500 0 0 D FIRST REPUBLIC BANK COM COMMON STOCK 336158100 1958 65000 SH SOLE 65000 0 0 D FIRST STERLING COMMON STOCK 33709Q107 418 35000 SH SOLE 35000 0 0 D FIRST TENN NATL CORP COM OPTIONS - CALLS 3371622BC 613 30000 SH CALL SOLE 30000 0 0 D FIRST TENN NATL CORP COM OPTIONS - CALLS 3371622KC 307 15000 SH CALL SOLE 15000 0 0 D FLEET BOSTON FINANCIAL CORP COMMON STOCK 339030108 1170 30000 SH SOLE 30000 0 0 D FLEET BOSTON FINANCIAL CORP OPTIONS - CALLS 3390301AG 488 12500 SH CALL SOLE 12500 0 0 D FNB CORP/NORTH CAROLINA COMMON STOCK 302519103 727 63900 SH SOLE 63900 0 0 D GOLDEN STATE BANCORP COM STK COMMON STOCK 381197102 3071 130000 SH SOLE 130000 0 0 D GOLDEN STATE BANCORP LITIG WT WARRANTS 381197136 122 100000 SH SOLE 100000 0 0 D HAMILTON BANCORP INC COM COMMON STOCK 407013101 170 10000 SH SOLE 10000 0 0 D HIGH COUNTRY BANCORP INC COMMON STOCK 42965Q107 1138 100000 SH SOLE 100000 0 0 D INDEPENDENT BANK CORP MICH COMMON STOCK 453838104 2060 119000 SH SOLE 119000 0 0 D INDYMAC BANCORP, INC COM STK COMMON STOCK 456607100 1234 60000 SH SOLE 60000 0 0 D INVESTMENT TECHNOLOGY GROUP COMMON STOCK 46145F105 599 15000 SH SOLE 15000 0 0 D JEFFERSON PILOT CORP COM COMMON STOCK 475070108 686 10100 SH SOLE 10100 0 0 D KEYCORP NEW COM OPTIONS - CALLS 4932670CW 253 10000 SH CALL SOLE 10000 0 0 D LEHMAN BROTHERS HLDGS INC COM COMMON STOCK 524908100 1921 13000 SH SOLE 13000 0 0 D LINCOLN BANCORP COM STK COMMON STOCK 532879103 1726 144547 SH SOLE 144547 0 0 D MELLON FINANCIAL CORP COMMON STOCK 58551A108 3710 80000 SH SOLE 80000 0 0 D MERRILL LYNCH & CO INC USD1.33 COMMON STOCK 590188108 990 15000 SH SOLE 15000 0 0 D MYSTIC FINANCIAL INC COM COMMON STOCK 628643108 1545 115000 SH SOLE 115000 0 0 D NATIONAL CITY CORP COM COMMON STOCK 635405103 996 45000 SH SOLE 45000 0 0 D NAVISTAR INTL CORP NEW COMMON STOCK 63934E108 449 15000 SH SOLE 15000 0 0 D NORTH FORK BANCORPORATION COMMON STOCK 659424105 2271 105000 SH SOLE 105000 0 0 D ONLINE RESOURCES AND COMM CORP COMMON STOCK 68273G101 319 85000 SH SOLE 85000 0 0 D PACIFIC CREST CAP INC COM COMMON STOCK 694166109 2391 170000 SH SOLE 170000 0 0 D PNC FINANCIAL SERVICES GRP COMMON STOCK 693475105 975 15000 SH SOLE 15000 0 0 D PORT FINANCIAL CORP COM STK COMMON STOCK 734119100 1154 65000 SH SOLE 65000 0 0 D PRESIDENTIAL LIFE CORP COM COMMON STOCK 740884101 1419 95000 SH SOLE 95000 0 0 D PROSPERITY BANCSHARES, INC COMMON STOCK 743606105 827 45000 SH SOLE 45000 0 0 D PROVIDENT FIANANCIAL GROUP INC COMMON STOCK 743866105 1028 35000 SH SOLE 35000 0 0 D PROVIDIAN FINL CORP COM COMMON STOCK 74406A102 635 5000 SH SOLE 5000 0 0 D QUEENS CNTY BANCORP INC COM COMMON STOCK 748242104 722 25000 SH SOLE 25000 0 0 D SIEBEL SYS INC COM COMMON STOCK 826170102 1948 17500 SH SOLE 17500 0 0 D SKY FINL GROUP INC COM COMMON STOCK 83080P103 178 10000 SH SOLE 10000 0 0 D SOUTHTRUST CORP COM COMMON STOCK 844730101 629 20000 SH SOLE 20000 0 0 D SOVEREIGN BANCORP INC COMMON STOCK 845905108 1018 110000 SH SOLE 110000 0 0 D SOVEREIGN BANCORP INC OPTIONS - CALLS 8459051AA 740 80000 SH CALL SOLE 80000 0 0 D SUMMIT BANCORP COM COMMON STOCK 866005101 863 25000 SH SOLE 25000 0 0 D SUNTRUST BKS INC COM COMMON STOCK 867914103 498 10000 SH SOLE 10000 0 0 D SUPERIOR FINANCIAL CORP DEL COMMON STOCK 868161100 2145 195000 SH SOLE 195000 0 0 D TEXARKANA FIRST FINL CORP COM COMMON STOCK 881801104 1027 45400 SH SOLE 45400 0 0 D THISTLE GROUP HLDGS CO COMMON STOCK 88431E103 1240 160000 SH SOLE 160000 0 0 D U.S. BANCORP COM COMMON STOCK 902973106 1365 60000 SH SOLE 60000 0 0 D U.S. BANCORP COM OPTIONS - CALLS 902973ECW 341 15000 SH CALL SOLE 15000 0 0 D UNION ACCEPTANCE CORP COM COMMON STOCK 904832102 558 95000 SH SOLE 95000 0 0 D UNUMPROVIDENT CORP COM COMMON STOCK 91529Y106 1839 67500 SH SOLE 67500 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 991 155500 SH SOLE 155500 0 0 D WINTRUST FINCL CORP COM COMMON STOCK 97650W108 315 18500 SH SOLE 18500 0 0 S REPORT SUMMARY 86 DATA RECORDS 95448 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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