-----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, V33oDxPbmf0mIULe7dJv6aBwpJn+K+VBNz++R1knp023H5bC4uAtcqYHLuufbDJG zJhmbrAlShWYIZ4GVHGYaA== 0000728672-02-000026.txt : 20020414 0000728672-02-000026.hdr.sgml : 20020414 ACCESSION NUMBER: 0000728672-02-000026 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020212 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: 02535845 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: December 31, 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 January 24, 2002 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: 79 Form 13F Information Table Value Total: 109154 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 ABC BANCORP COM COMMON STOCK 000400101 1335 100000 SH SOLE 100000 0 0 D ABINGTON BANCORP INC MASS COMMON STOCK 00350P100 1284 84800 SH SOLE 84800 0 0 D ACADIANA BANCSHARES INC LA NEW COMMON STOCK 004280103 429 18500 SH SOLE 18500 0 0 D ALLEGIANT BANCORP INC COM COMMON STOCK 017476102 578 42000 SH SOLE 42000 0 0 D AMER HOME MTG COM STK COMMON STOCK 02660M108 575 47500 SH SOLE 47500 0 0 D APEX MORTGAGE CAPITAL INC COM COMMON STOCK 037564101 1575 140000 SH SOLE 140000 0 0 D ASTORIA FINL CORP COM COMMON STOCK 046265104 2911 110000 SH SOLE 110000 0 0 D BANK NEW YORK INC COM COMMON STOCK 064057102 816 20000 SH SOLE 20000 0 0 D BANK OF AMERICA CORP COM STK COMMON STOCK 060505104 1259 20000 SH SOLE 20000 0 0 D BANK OF AMERICA CORP COM STK OPTIONS - CALLS 0605050AH 1574 25000 SH CALL SOLE 25000 0 0 D BANKNORTH GROUP INC COM STK NE COMMON STOCK 06646R107 3378 150000 SH SOLE 150000 0 0 D BANKUNITED FINL CORP CL A COMMON STOCK 06652B103 1406 94700 SH SOLE 94700 0 0 D BAY STATE BANCORP INC COM COMMON STOCK 072611106 1553 42500 SH SOLE 42500 0 0 D BAY VIEW CAP CORP CALIF COMMON STOCK 07262L101 1429 195000 SH SOLE 195000 0 0 D CAPITAL BANK CORP COMM COMMON STOCK 139793103 1674 155000 SH SOLE 155000 0 0 D CCBT FINANCIAL COMPANIES INC COMMON STOCK 12500Q102 1935 82000 SH SOLE 82000 0 0 D CHESTERFIELD FINANCI AL CORP COMMON STOCK 166435107 2338 143000 SH SOLE 143000 0 0 D CITIGROUP INC COM STK COMMON STOCK 172967101 2650 52500 SH SOLE 52500 0 0 D CITIZENS 1ST BANCORP COM COMMON STOCK 17461R106 707 45055 SH SOLE 45055 0 0 D CITY HOLDINGS CO COM COMMON STOCK 177835105 207 17200 SH SOLE 17200 0 0 D CITY NATL CORP COM COMMON STOCK 178566105 703 15000 SH SOLE 15000 0 0 D COAST FED LITIGATION CONTIGENT RIGHTS 19034Q110 12 55000 SH SOLE 55000 0 0 D COASTAL BANCORP INC COM COMMON STOCK 19041P105 2890 100000 SH SOLE 100000 0 0 D COUNTRYWIDE CR INDS INC COM COMMON STOCK 222372104 1229 30000 SH SOLE 30000 0 0 D DIME BANCORP INC WTS EXP 1/01/ WARRANTS 25429Q110 30 200000 SH SOLE 200000 0 0 D EFUNDS CORP COM STK COMMON STOCK 28224R101 1031 75000 SH SOLE 75000 0 0 D EQUITABLE BANK COM SKT COMMON STOCK 29444Q105 2748 109500 SH SOLE 109500 0 0 D EVERTRUST FINL COM STK COMMON STOCK 300412103 1396 91870 SH SOLE 91870 0 0 D FALMOUTH BANCORP INC COM COMMON STOCK 306754102 218 10400 SH SOLE 10400 0 0 D FINGER LAKES COM STK COMMON STOCK 31787C107 1978 184000 SH SOLE 184000 0 0 D FIRST COMMUNITY BANCORP /CA COMMON STOCK 31983B101 308 15700 SH SOLE 15700 0 0 D FIRST FED FINANCIAL CORP COM COMMON STOCK 337907109 1474 57500 SH SOLE 57500 0 0 D FIRST KANSAS FINANCIAL CORP COMMON STOCK 320651102 1421 101500 SH SOLE 101500 0 0 D FLORIDA FIRST BANCORP(NEW) COMMON STOCK 343258109 2446 152000 SH SOLE 152000 0 0 D FRIEDMAN BILLINGS RAMSEY-A COMMON STOCK 358433100 753 145000 SH SOLE 145000 0 0 D GA FINL INC COM COMMON STOCK 361437106 2278 136000 SH SOLE 136000 0 0 D GBC BANCORP CALIF COM COMMON STOCK 361475106 1106 37500 SH SOLE 37500 0 0 D GOLDEN STATE BANCORP COM STK COMMON STOCK 381197102 2746 105000 SH SOLE 105000 0 0 D GOLDEN STATE BANCORP LITIG WT WARRANTS 381197136 177 150000 SH SOLE 150000 0 0 D HANCOCK JOHN BK & THRIFT OPPOR COMMON STOCK 409735107 620 75000 SH SOLE 75000 0 0 D HAWTHORNE FINL CORP COM COMMON STOCK 420542102 2112 110000 SH SOLE 110000 0 0 D HIBERNIA CORP CLASS A COMMON STOCK 428656102 445 25000 SH SOLE 25000 0 0 D HINGHAM INSTN SVGS MASS COMMON STOCK 433323102 929 39300 SH SOLE 39300 0 0 D INDYMAC BANCORP, INC COM STK COMMON STOCK 456607100 1052 45000 SH SOLE 45000 0 0 D KEYCORP NEW COM COMMON STOCK 493267108 1217 50000 SH SOLE 50000 0 0 D LAKELAND FINL CORP COM COMMON STOCK 511656100 2194 124500 SH SOLE 124500 0 0 D LINCOLN BANCORP COM STK COMMON STOCK 532879103 1833 103000 SH SOLE 103000 0 0 D LOCAL FINANCIAL CORP COMMON COMMON STOCK 539553107 1469 105000 SH SOLE 105000 0 0 D MBNA CORP COM COMMON STOCK 55262L100 880 25000 SH SOLE 25000 0 0 D MERCANTILE BANK CORP COM COMMON STOCK 587376104 621 35000 SH SOLE 35000 0 0 D MERRILL LYNCH & CO INC USD1.33 COMMON STOCK 590188108 1042 20000 SH SOLE 20000 0 0 D MUTUAL FIRST FINL INC COMMON STOCK 62845B104 1359 90000 SH SOLE 90000 0 0 D NET BANK INC COM COMMON STOCK 640933107 524 50000 SH SOLE 50000 0 0 D NEW CENTURY FINL CORP COMMON STOCK 64352D101 474 35000 SH SOLE 35000 0 0 D NORTH FORK BANCORPORATION COMMON STOCK 659424105 3714 116100 SH SOLE 116100 0 0 D NORTH VALLEY BANCORP COM COMMON STOCK 66304M105 1369 100000 SH SOLE 100000 0 0 D NORTHEAST BANCORP COM COMMON STOCK 663904100 2075 161100 SH SOLE 161100 0 0 D PACIFIC CREST CAP INC COM COMMON STOCK 694166109 1842 87500 SH SOLE 87500 0 0 D PHOENIX COMPANIES INC NEW COM COMMON STOCK 71902E109 2313 125000 SH SOLE 125000 0 0 D PRESIDENTIAL LIFE CORP COM COMMON STOCK 740884101 1285 62500 SH SOLE 62500 0 0 D QUAKER CITY BANCORP INC COMMON STOCK 74731K106 2985 100000 SH SOLE 100000 0 0 D RESOURCE BANCSHARES MTG GROUP COMMON STOCK 761197102 1948 170000 SH SOLE 170000 0 0 D SIEBEL SYS INC COM COMMON STOCK 826170102 280 10000 SH SOLE 10000 0 0 D SKY FINL GROUP INC COM COMMON STOCK 83080P103 1119 55000 SH SOLE 55000 0 0 D SOUTHSIDE BANCSH COM STK COMMON STOCK 84470P109 236 18775 SH SOLE 18775 0 0 D SOUTHSIDE CAPITAL TRUST II PFRD STK CONV SU 84471C206 1827 135300 SH SOLE 135300 0 0 D SOVEREIGN BANCORP INC COMMON STOCK 845905108 2693 220000 SH SOLE 220000 0 0 D SOVEREIGN BANCORP INC OPTIONS - CALLS 8459053AA 979 80000 SH CALL SOLE 80000 0 0 D STILWELL FIN INC COM STK COMMON STOCK 860831106 1361 50000 SH SOLE 50000 0 0 D SUPERIOR FINANCIAL CORP DEL COMMON STOCK 868161100 783 50000 SH SOLE 50000 0 0 D SYNOVUS FINL CORP COM COMMON STOCK 87161C105 1503 60000 SH SOLE 60000 0 0 D THISTLE GROUP HLDGS CO COMMON STOCK 88431E103 1490 152000 SH SOLE 152000 0 0 D UNION ACCEPTANCE CORP COM COMMON STOCK 904832102 2148 429500 SH SOLE 429500 0 0 D USA Education Inc Com COMMON STOCK 90390U102 1134 13500 SH SOLE 13500 0 0 D VAN DER MOOLEN HOLDI NG NV (FO ADRS STOCKS 921020103 938 32000 SH SOLE 32000 0 0 D W. P. STEWART & CO. LTD COMMON STOCK G84922106 1829 69800 SH SOLE 69800 0 0 D WASHINGTON SVGS BK FSB WALDORF COMMON STOCK 939696100 228 44600 SH SOLE 44600 0 0 D WILLIS GROUP HDLS LTD SHARES COMMON STOCK G96655108 1413 60000 SH SOLE 60000 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 334 71900 SH SOLE 71900 0 0 S REPORT SUMMARY 79 DATA RECORDS 109154 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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