-----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, LJUtOnQIwaLio2YAmqYuPhhP967mXjJefjS2sO4lNLjoNQLE7xWHIkAMXgUkyHr/ 1S4ijkY3ksfgBIYrh3U7FA== 0000728672-04-000235.txt : 20040820 0000728672-04-000235.hdr.sgml : 20040820 20040820105350 ACCESSION NUMBER: 0000728672-04-000235 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20040820 EFFECTIVENESS DATE: 20040820 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-07148 FILM NUMBER: 04987869 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/A 1 sandleroneil.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 30, 2004 Check here if Amendment [X]; Amendment Number: This amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Sandler O'Neill Asset Manageme Address: 780 3rd Ave, 30th Floor New York, NY 10017 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 July 23, 2004 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: 108 Form 13F Information Table Value Total: 320435 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 AFFILIATED MANAGERS GROUP INC COMMON STOCK 008252108 4130 82000 SH SOLE 82000 0 0 D ALABAMA NATL BANCORPORATION DE COMMON STOCK 010317105 4732 85300 SH SOLE 85300 0 0 D ALLIED CAPITAL CORP COM STK COMMON STOCK 01903Q108 343 14047 SH SOLE 14047 0 0 D ANCHOR BANCORP WISC INC COMMON STOCK 032839102 1639 62000 SH SOLE 62000 0 0 D ASSOCIATED BANC CORP COM COMMON STOCK 045487105 5496 185500 SH SOLE 185500 0 0 D ATLNTC LIB FINL COMMON STOCK 048668107 1474 80000 SH SOLE 80000 0 0 D BANCFIRST CORP COM COMMON STOCK 05945F103 1195 20000 SH SOLE 20000 0 0 D BANCORP BANK COMMON STOCK 05969F104 248 14000 SH SOLE 14000 0 0 D BANK NEW YORK INC COM COMMON STOCK 064057102 5424 184000 SH SOLE 184000 0 0 D BANK OF AMERICA CORP COM STK COMMON STOCK 060505104 5373 63500 SH SOLE 63500 0 0 D BANK OF THE OZARKS INC COM COMMON STOCK 063904106 1238 53100 SH SOLE 53100 0 0 D BANKNORTH GROUP INC COM STK NE COMMON STOCK 06646R107 3183 98000 SH SOLE 98000 0 0 D BEAR STEARNS COS INC USD1 COM COMMON STOCK 073902108 4173 49500 SH SOLE 49500 0 0 D BOSTON PRIVATE BANCORP INC COMMON STOCK 101119105 1888 81500 SH SOLE 81500 0 0 D CARDINAL FINANCIAL CORP COM ST COMMON STOCK 14149F109 998 110000 SH SOLE 110000 0 0 D CITIGROUP INC COM STK COMMON STOCK 172967101 13834 297500 SH SOLE 297500 0 0 D CITIGROUP INC LITIGATION TRACK WARRANTS 172967127 131 150000 SH SOLE 150000 0 0 D CITIZENS 1ST BANCORP COM COMMON STOCK 17461R106 1740 74000 SH SOLE 74000 0 0 D CITY HOLDINGS CO COM COMMON STOCK 177835105 3622 114700 SH SOLE 114700 0 0 D CITY NATL CORP COM COMMON STOCK 178566105 6012 91500 SH SOLE 91500 0 0 D COLONIAL BANCGROUP INC COM COMMON STOCK 195493309 981 54000 SH SOLE 54000 0 0 D COLUMBIA BANCORP USD NPV COM COMMON STOCK 197227101 222 7600 SH SOLE 7600 0 0 D COMPASS BANCSHARES INC COMMON STOCK 20449H109 2034 47300 SH SOLE 47300 0 0 D COUNTRYWIDE FINANCIA L CORP COMMON STOCK 222372104 323 4600 SH SOLE 4600 0 0 D CULLEN FROST BANKER INC COMMON STOCK 229899109 5303 118500 SH SOLE 118500 0 0 D DIME BANCORP INC WTS EXP 1/01/ WARRANTS 25429Q110 22 200000 SH SOLE 200000 0 0 D DIME CMNTY BANCORP INC COM COMMON STOCK 253922108 4632 265000 SH SOLE 265000 0 0 D E TRADE FINANCIAL CORP COMMON STOCK 269246104 5491 492500 SH SOLE 492500 0 0 D EXCH NATL BANCSH COM STK COMMON STOCK 301309100 1188 40700 SH SOLE 40700 0 0 D FIFTH THIRD BANCORP COM COMMON STOCK 316773100 2151 40000 SH SOLE 40000 0 0 D FINANCIAL SELECT SECTOR SPDR OPTIONS - PUTS 81369Y9UB 857 30000 SH PUT SOLE 30000 0 0 D FINANCIAL SELECT SECTOR SPDR OPTIONS - PUTS 81369Y9UC 715 25000 SH PUT SOLE 25000 0 0 D FINANCIAL SELECT SECTOR SPDR OPTIONS - PUTS 81369Y9UD 1429 50000 SH PUT SOLE 50000 0 0 D FIRST CITZNS BANCSHARES INC NC COMMON STOCK 31946M103 488 4000 SH SOLE 4000 0 0 D FIRST DEFIANCE FINL CORP COM COMMON STOCK 32006W106 1702 77000 SH SOLE 77000 0 0 D FIRST FED CAP CORP COM COMMON STOCK 319960100 1060 38100 SH SOLE 38100 0 0 D FIRST FED FINANCIAL CORP COM COMMON STOCK 337907109 1198 28800 SH SOLE 28800 0 0 D FIRST FINL BANCORP COM COMMON STOCK 320209109 826 46600 SH SOLE 46600 0 0 D FIRST FRANKLIN CORP COM COMMON STOCK 320272107 861 45700 SH SOLE 45700 0 0 D FIRST HORIZON NATL CORP COMMON STOCK 320517105 8116 178500 SH SOLE 178500 0 0 D FIRST MIDWEST BANCORP INC DEL COMMON STOCK 320867104 4401 125000 SH SOLE 125000 0 0 D FIRST PACTRUST COMMON STOCK 33589V101 1214 54600 SH SOLE 54600 0 0 D FIRST REGIONAL BANCORP COMMON STOCK 33615C101 2913 97100 SH SOLE 97100 0 0 D FIRST SOUTH BANCORP COMM STOCK COMMON STOCK 33646W100 761 33900 SH SOLE 33900 0 0 D FIRSTBANK CORP MICH COM COMMON STOCK 33761G104 639 22000 SH SOLE 22000 0 0 D FLAG FINANCIAL CORP COM COMMON STOCK 33832H107 1421 110000 SH SOLE 110000 0 0 D FLUSHING FINL CORP COM COMMON STOCK 343873105 5900 334300 SH SOLE 334300 0 0 D FRANKLIN RES INC COM COMMON STOCK 354613101 2454 49000 SH SOLE 49000 0 0 D GOLDEN WEST FINL CORP DEL COM COMMON STOCK 381317106 4467 42000 SH SOLE 42000 0 0 D GREENPOINT FINL CORP COM COMMON STOCK 395384100 3057 77000 SH SOLE 77000 0 0 D HIBERNIA CORP CLASS A COMMON STOCK 428656102 7412 305000 SH SOLE 305000 0 0 D HINGHAM INSTN SVGS MASS COMMON STOCK 433323102 2603 65000 SH SOLE 65000 0 0 D HORIZON BANCORP IND COM COMMON STOCK 440407104 1016 43000 SH SOLE 43000 0 0 D INTERVEST BANCSHARES CORP COM COMMON STOCK 460927106 1155 68000 SH SOLE 68000 0 0 D K-FED BANCORP COMMON STOCK 48246S101 1033 81000 SH SOLE 81000 0 0 D LANDMARK BANCORP INC COM COMMON STOCK 51504L107 951 30320 SH SOLE 30320 0 0 D LEHMAN BROTHERS HLDGS INC COM COMMON STOCK 524908100 5681 75500 SH SOLE 75500 0 0 D LINCOLN BANCORP COM STK COMMON STOCK 532879103 3855 211100 SH SOLE 211100 0 0 D LNB BANCORP INC COM COMMON STOCK 502100100 293 15000 SH SOLE 15000 0 0 D M LYNCH REG BANK US ETFS OPTIONS - PUTS 75902E0TE 3261 25000 SH PUT SOLE 25000 0 0 D MAF BANCORP INC COM COMMON STOCK 55261R108 3628 85000 SH SOLE 85000 0 0 D MAIN STREET BANK INC COMMON STOCK 56034R102 776 27600 SH SOLE 27600 0 0 D MB FINANCIAL INC COMMON STOCK 55264U108 7841 213000 SH SOLE 213000 0 0 D MERCANTILE BANK CORP COM COMMON STOCK 587376104 3536 97000 SH SOLE 97000 0 0 D MERCANTILE BANKSHRS CORP COM COMMON STOCK 587405101 1405 30000 SH SOLE 30000 0 0 D MERCER INS GRP COMMON STOCK 587902107 1691 140200 SH SOLE 140200 0 0 D MERRILL LYNCH & CO INC USD1.33 COMMON STOCK 590188108 4453 82500 SH SOLE 82500 0 0 D MIDWEST BANC HLDGS INC COM COMMON STOCK 598251106 2230 100000 SH SOLE 100000 0 0 D MORGAN STANLEY & CO COM COMMON STOCK 617446448 3325 63000 SH SOLE 63000 0 0 D NATIONAL CITY CORP COM COMMON STOCK 635405103 1050 30000 SH SOLE 30000 0 0 D NORTH FORK BANCORPORATION COMMON STOCK 659424105 3063 80500 SH SOLE 80500 0 0 D NORTH VALLEY BANCORP COM COMMON STOCK 66304M105 4031 254800 SH SOLE 254800 0 0 D NORTHERN TR CORP COM COMMON STOCK 665859104 3995 94500 SH SOLE 94500 0 0 D NYMAGIC INC COM COMMON STOCK 629484106 1903 72100 SH SOLE 72100 0 0 D OAK HILL FINL INC COM COMMON STOCK 671337103 3096 98300 SH SOLE 98300 0 0 D OLD SECOND BANCORP INC ILL COMMON STOCK 680277100 4141 78500 SH SOLE 78500 0 0 D PENN TREATY AMER CORP COMMON STOCK 707874103 50 25000 SH SOLE 25000 0 0 D PHSB FINANCIAL CORP COMMON STOCK 69335T107 3598 179900 SH SOLE 179900 0 0 D PNC FINANCIAL SERVICES GRP COMMON STOCK 693475105 531 10000 SH SOLE 10000 0 0 D PROSPERITY BANCSHARES, INC COMMON STOCK 743606105 3239 133000 SH SOLE 133000 0 0 D PROVIDENT BANKSHARES CORP COMMON STOCK 743859100 1301 45100 SH SOLE 45100 0 0 D QUAKER CITY BANCORP INC COMMON STOCK 74731K106 637 11600 SH SOLE 11600 0 0 D RAINIER PAC FIN COMMON STOCK 75087U101 2124 130000 SH SOLE 130000 0 0 D REGIONS FINL CORP COM COMMON STOCK 758940100 9869 270000 SH SOLE 270000 0 0 D SECURITY BANK CORP COM COMMON STOCK 814047106 2592 74900 SH SOLE 74900 0 0 D SIERRA BANCORP COMMON STOCK 82620P102 471 29700 SH SOLE 29700 0 0 D SKY FINL GROUP INC COM COMMON STOCK 83080P103 12513 506000 SH SOLE 506000 0 0 D SOUND FEDERAL BANCOR P INC COMMON STOCK 83607V104 4362 325000 SH SOLE 325000 0 0 D SOUTHTRUST CORP COM COMMON STOCK 844730101 4541 117000 SH SOLE 117000 0 0 D SOUTHWEST BANCORP INC OKLA COMMON STOCK 844767103 4964 272000 SH SOLE 272000 0 0 D STATE BANCSHARES INC COM STK ( COMMON STOCK 595440108 414 17600 SH SOLE 17600 0 0 D SUNTRUST BKS INC COM COMMON STOCK 867914103 5394 83000 SH SOLE 83000 0 0 D SYNERGY FINANCIAL GROUP INC COMMON STOCK 87162V102 305 30000 SH SOLE 30000 0 0 D SYNOVUS FINL CORP COM OPTIONS - CALLS 87161C0GE 760 30000 SH CALL SOLE 30000 0 0 D TCF FINANCIAL CORP USD.01 COM COMMON STOCK 872275102 7488 129000 SH SOLE 129000 0 0 D UMB FINL CORP COM COMMON STOCK 902788108 2875 55700 SH SOLE 55700 0 0 D UMPQUA HOLDINGS CORP COMMON STOCK 904214103 6297 300000 SH SOLE 300000 0 0 D US BANCORP COM COMMON STOCK 902973304 6546 237500 SH SOLE 237500 0 0 D UTD CMNTY BK GA COMMON STOCK 90984P105 806 32000 SH SOLE 32000 0 0 D VIRGINIA COMMERCE BANCORP COMMON STOCK 92778Q109 1222 41400 SH SOLE 41400 0 0 D WADDELL & REED FINANCIAL INC COMMON STOCK 930059100 1327 60000 SH SOLE 60000 0 0 D WELLS FARGO COMPANY COMMON STOCK 949746101 7926 138500 SH SOLE 138500 0 0 D WESTAMERICA BANCORPORATION COMMON STOCK 957090103 2701 51500 SH SOLE 51500 0 0 D WESTERN SIERRA BANCORP INC COMMON STOCK 959522103 2997 96700 SH SOLE 96700 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 484 58550 SH SOLE 58550 0 0 D WINTON FINL CORP COM COMMON STOCK 976446104 373 25700 SH SOLE 25700 0 0 D YARDVILLE NATL BANCORP COM COMMON STOCK 985021104 2832 113500 SH SOLE 113500 0 0 D ZIONS BANCORP COM COMMON STOCK 989701107 7773 126500 SH SOLE 126500 0 0 S REPORT SUMMARY 108 DATA RECORDS 320435 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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