-----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, QW9rWlnnX2xCjS3dy7mF1AH9ZjRz/9bb3h7i5ckGHkzqI0leh0reu7dp7KhyhTtm W5zbSg17ShMY3SgVymq1ng== 0000728672-01-500097.txt : 20021122 0000728672-01-500097.hdr.sgml : 20021122 20010813110321 ACCESSION NUMBER: 0000728672-01-500097 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010629 FILED AS OF DATE: 20010813 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: 01705661 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 sandleroneill.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: June 29, 2001 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 August 1, 2001 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: 126283 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 ABINGTON BANCORP INC MASS COMMON STOCK 00350P100 1162 73800 SH SOLE 73800 0 0 D ADVANCE FINL BANCORP COM COMMON STOCK 007437106 640 50000 SH SOLE 50000 0 0 D ALLMERICA FINL CORP COM COMMON STOCK 019754100 575 10000 SH SOLE 10000 0 0 D AMER HOME MTG COM STK COMMON STOCK 02660M108 2101 176500 SH SOLE 176500 0 0 D AMERICA FIRST MORTGAGE INVESTM COMMON STOCK 023934102 928 125000 SH SOLE 125000 0 0 D ANNUITY AND LIFE RE HLDGS COMMON STOCK G03910109 393 11000 SH SOLE 11000 0 0 D ASTORIA FINL CORP COM COMMON STOCK 046265104 3025 55000 SH SOLE 55000 0 0 D BANK NEW YORK INC COM COMMON STOCK 064057102 4080 85000 SH SOLE 85000 0 0 D BANK OF AMERICA CORP COM STK COMMON STOCK 060505104 450 7500 SH SOLE 7500 0 0 D BANK OF AMERICA CORP COM STK OPTIONS - CALLS 0605050AH 1501 25000 SH CALL SOLE 25000 0 0 D BANKATLANTIC BANCORP CL A NON COMMON STOCK 065908501 1477 170000 SH SOLE 170000 0 0 D BANKNORTH GROUP INC COM STK NE COMMON STOCK 06646R107 1699 75000 SH SOLE 75000 0 0 D BANKUNITED FINL CORP CL A COMMON STOCK 06652B103 2747 195500 SH SOLE 195500 0 0 D BAY VIEW CAP CORP CALIF COMMON STOCK 07262L101 4002 535000 SH SOLE 535000 0 0 D CAPITAL BANK CORP COMM COMMON STOCK 139793103 1697 145000 SH SOLE 145000 0 0 D CCBT FINANCIAL COMPANIES INC COMMON STOCK 12500Q102 1882 62750 SH SOLE 62750 0 0 D CHESTERFIELD FINANCI AL CORP COMMON STOCK 166435107 2129 143000 SH SOLE 143000 0 0 D CITIGROUP INC COM STK COMMON STOCK 172967101 1057 20000 SH SOLE 20000 0 0 D CITIZENS 1ST BANCORP COM COMMON STOCK 17461R106 879 60000 SH SOLE 60000 0 0 D COAST FED LITIGATION CONTIGENT RIGHTS 19034Q110 52 55000 SH SOLE 55000 0 0 D COASTAL BANCORP INC COM COMMON STOCK 19041P105 2598 81300 SH SOLE 81300 0 0 D COMERICA INC COM COMMON STOCK 200340107 1440 25000 SH SOLE 25000 0 0 D COMMUNITY BK SYS INC COM COMMON STOCK 203607106 490 17500 SH SOLE 17500 0 0 D COMMUNITY FIRST BANKING INC COMMON STOCK 203913108 964 40000 SH SOLE 40000 0 0 D COMMUNITY SAVINGS BANKSHARES C COMMON STOCK 204037105 1734 120000 SH SOLE 120000 0 0 D COMPASS BANCSHARES INC COMMON STOCK 20449H109 1988 75000 SH SOLE 75000 0 0 D CRIIMI MAE INC COM COMMON STOCK 226603108 62 100000 SH SOLE 100000 0 0 D CRUSADER HOLDING CORP COM COMMON STOCK 228840104 407 42000 SH SOLE 42000 0 0 D DIGITAS INC COM STK COMMON STOCK 25388K104 176 40000 SH SOLE 40000 0 0 D DIME BANCORP INC NEW, COM COMMON STOCK 25429Q102 3725 100000 SH SOLE 100000 0 0 D DIME BANCORP INC WTS EXP 1/01/ WARRANTS 25429Q110 56 200000 SH SOLE 200000 0 0 D DOWNEY FINL CORP COM COMMON STOCK 261018105 2363 50000 SH SOLE 50000 0 0 D EFUNDS CORP COM STK COMMON STOCK 28224R101 1349 72500 SH SOLE 72500 0 0 D EQUITABLE BANK COM SKT COMMON STOCK 29444Q105 2084 96500 SH SOLE 96500 0 0 D EVEREST RE GROUP LTD COM STK COMMON STOCK G3223R108 935 12500 SH SOLE 12500 0 0 D EVERTRUST FINL COM STK COMMON STOCK 300412103 1301 90000 SH SOLE 90000 0 0 D EXCH NATL BANCSH COM STK COMMON STOCK 301309100 553 25000 SH SOLE 25000 0 0 D FIDELITY BANKSHARES INC COMMON STOCK 31604Q107 1079 75000 SH SOLE 75000 0 0 D FINGER LAKES COM STK COMMON STOCK 31787C107 2363 234000 SH SOLE 234000 0 0 D FIRST FED FINANCIAL CORP COM COMMON STOCK 337907109 1508 50600 SH SOLE 50600 0 0 D FIRST KANSAS FINANCIAL CORP COMMON STOCK 320651102 1431 101500 SH SOLE 101500 0 0 D FIRST ST BANCORPORATION COMMON STOCK 336453105 1164 60000 SH SOLE 60000 0 0 D FLAG FINANCIAL CORP COM COMMON STOCK 33832H107 361 55600 SH SOLE 55600 0 0 D FLORIDA FIRST BANCORP(NEW) COMMON STOCK 343258109 2273 151000 SH SOLE 151000 0 0 D FNB CORP/NORTH CAROLINA COMMON STOCK 302519103 1450 100000 SH SOLE 100000 0 0 D FRIEDMAN BILLINGS RAMSEY-A COMMON STOCK 358433100 840 120000 SH SOLE 120000 0 0 D GA FINL INC COM COMMON STOCK 361437106 1570 101900 SH SOLE 101900 0 0 D GOLDEN STATE BANCORP COM STK COMMON STOCK 381197102 2156 70000 SH SOLE 70000 0 0 D GOLDEN STATE BANCORP LITIG WT WARRANTS 381197136 197 150000 SH SOLE 150000 0 0 D HIBERNIA CORP CLASS A COMMON STOCK 428656102 1513 85000 SH SOLE 85000 0 0 D HIGH COUNTRY BANCORP INC COMMON STOCK 42965Q107 1240 80000 SH SOLE 80000 0 0 D HINGHAM INSTN SVGS MASS COMMON STOCK 433323102 555 25800 SH SOLE 25800 0 0 D HUDSON UNITED BANCORP COMMON STOCK 444165104 510 20000 SH SOLE 20000 0 0 D KEYCORP NEW COM COMMON STOCK 493267108 1042 40000 SH SOLE 40000 0 0 D LAKELAND FINL CORP COM COMMON STOCK 511656100 1455 99000 SH SOLE 99000 0 0 D LEHMAN BROTHERS HLDGS INC COM COMMON STOCK 524908100 2317 30000 SH SOLE 30000 0 0 D LINCOLN BANCORP COM STK COMMON STOCK 532879103 2228 158000 SH SOLE 158000 0 0 D MAIN STREET BANCORP INC COMMON STOCK 559906102 1494 134000 SH SOLE 134000 0 0 D MELLON FINANCIAL CORP COMMON STOCK 58551A108 3137 70000 SH SOLE 70000 0 0 D MERRILL LYNCH & CO INC USD1.33 COMMON STOCK 590188108 444 7500 SH SOLE 7500 0 0 D MUTUAL FIRST FINL INC COMMON STOCK 62845B104 334 23000 SH SOLE 23000 0 0 D MYSTIC FINANCIAL INC COM COMMON STOCK 628643108 1940 123745 SH SOLE 123745 0 0 D NORTH FORK BANCORPORATION COMMON STOCK 659424105 3643 117500 SH SOLE 117500 0 0 D NORTH VALLEY BANCORP COM COMMON STOCK 66304M105 3863 274000 SH SOLE 274000 0 0 D NORTHEAST BANCORP COM COMMON STOCK 663904100 2158 167300 SH SOLE 167300 0 0 D PACIFIC CREST CAP INC COM COMMON STOCK 694166109 2277 115000 SH SOLE 115000 0 0 D PNC FINANCIAL SERVICES GRP COMMON STOCK 693475105 1645 25000 SH SOLE 25000 0 0 D PORT FINANCIAL CORP COM STK COMMON STOCK 734119100 1519 75000 SH SOLE 75000 0 0 D PRESIDENTIAL LIFE CORP COM COMMON STOCK 740884101 1456 65000 SH SOLE 65000 0 0 D QUAKER CITY BANCORP INC COMMON STOCK 74731K106 2614 88700 SH SOLE 88700 0 0 D SIEBEL SYS INC COM COMMON STOCK 826170102 704 15000 SH SOLE 15000 0 0 D SKY FINL GROUP INC COM COMMON STOCK 83080P103 663 35000 SH SOLE 35000 0 0 D SOUTHSIDE CAPITAL TRUST II PFRD STK CONV SU 84471C206 600 50000 SH SOLE 50000 0 0 D SOVEREIGN BANCORP INC COMMON STOCK 845905108 1300 100000 SH SOLE 100000 0 0 D SOVEREIGN BANCORP INC OPTIONS - CALLS 8459050AA 1040 80000 SH CALL SOLE 80000 0 0 D SUPERIOR FINANCIAL CORP DEL COMMON STOCK 868161100 2384 160000 SH SOLE 160000 0 0 D THISTLE GROUP HLDGS CO COMMON STOCK 88431E103 1452 152000 SH SOLE 152000 0 0 D TRENWICK GROUP LTD COMMON STOCK G9032C109 1733 75600 SH SOLE 75600 0 0 D TUCKER ANTHONY SUTRO COM STK COMMON STOCK 898647102 847 38500 SH SOLE 38500 0 0 D UNION ACCEPTANCE CORP COM COMMON STOCK 904832102 2896 512625 SH SOLE 512625 0 0 D USA EDUCATION INC COM COMMON STOCK 90390U102 730 10000 SH SOLE 10000 0 0 D W. P. STEWART & CO. LTD COMMON STOCK G84922106 730 29800 SH SOLE 29800 0 0 D WASHINGTON SVGS BK FSB WALDORF COMMON STOCK 939696100 162 33500 SH SOLE 33500 0 0 D WEBSTER FINL CORP WATERBURY CO COMMON STOCK 947890109 983 30000 SH SOLE 30000 0 0 D WELLS FARGO COMPANY COMMON STOCK 949746101 696 15000 SH SOLE 15000 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 886 80000 SH SOLE 80000 0 0 S REPORT SUMMARY 86 DATA RECORDS 126283 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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