-----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, RhYsDIKaYLrrFdrJTlOl+N7WM5VfHwI3f+tTVcU3tSfenqwPnmvhS4TwZrhF+gfI Rxx+yuVmEYuBD9FCsAM0MQ== 0001193125-06-232889.txt : 20061113 0001193125-06-232889.hdr.sgml : 20061113 20061113161603 ACCESSION NUMBER: 0001193125-06-232889 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061113 DATE AS OF CHANGE: 20061113 EFFECTIVENESS DATE: 20061113 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: 061209130 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 d13fhr.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 30, 2006 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'Neill Asset Management,LLC Address: 780 3rd Ave, 5th 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: President Phone: 212-486-7300 Signature, Place and Date of Signing: TERRY MALTESE November 10, 2006 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: 137 Form 13F Information Table Value Total: 626,326,000
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 ALLIED CAPITAL CORP COM STK COMMON STOCK 01903Q108 373 12347 SH SOLE 12347 0 0 D AMCORE FINL INC COM STK COMMON STOCK 023912108 5392 178000 SH SOLE 178000 0 0 D AMERICAN BANCORP OF NEW JERSEY COMMON STOCK 02407E104 1185 100000 SH SOLE 100000 0 0 D AMERICAN COMMUNITY B ANCSHARES COMMON STOCK 02520W106 156 13800 SH SOLE 13800 0 0 D AMERICAN RIVER BANKS HARES COM COMMON STOCK 029326105 1250 50000 SH SOLE 50000 0 0 D ANNALY CAPITAL MGMT INC COMMON STOCK 035710409 2957 225000 SH SOLE 225000 0 0 D ASTORIA FINL CORP COM STK COMMON STOCK 046265104 925 30000 SH SOLE 30000 0 0 D BANCFIRST CORP COM STK COMMON STOCK 05945F103 1271 27200 SH SOLE 27200 0 0 D BANCSHARES OF FLORID A INC COM COMMON STOCK 05976U102 5270 250000 SH SOLE 250000 0 0 D BANK HAWAII CORP COM STK COMMON STOCK 062540109 10879 225900 SH SOLE 225900 0 0 D BANK OF AMERICA CORP COM STK COMMON STOCK 060505104 6696 125000 SH SOLE 125000 0 0 D BANK OF NEW YORK CO INC COM ST COMMON STOCK 064057102 10098 286400 SH SOLE 286400 0 0 D BANKFINANCIAL CORP COM STK COMMON STOCK 06643P104 4364 249500 SH SOLE 249500 0 0 D BANKUNITED FINANCIAL CORP CL COMMON STOCK 06652B103 8885 340800 SH SOLE 340800 0 0 D BEACH FIRST NATL BAN CSHARES COMMON STOCK 073334104 3352 133300 SH SOLE 133300 0 0 D BEAR STEARNS COMPANI ES INC CO COMMON STOCK 073902108 1401 10000 SH SOLE 10000 0 0 D BEAR STEARNS COMPANI ES INC CO OPTIONS - CALLS 99O95LCZ6 2802 20000 SH CALL SOLE 20000 0 0 D BERKSHIRE HATHAWAY INC CLASS B COMMON STOCK 084670207 794 250 SH SOLE 250 0 0 D BFC FIN CORP CL A COM STK COMMON STOCK 055384200 2123 363592 SH SOLE 363592 0 0 D BOK FINANCIAL CORP COM STK COMMON STOCK 05561Q201 1189 22600 SH SOLE 22600 0 0 D BOSTON PRIVATE FINL HLDGS INC COMMON STOCK 101119105 697 25000 SH SOLE 25000 0 0 D CALIFORNIA FIRST NAT L BANCORP COMMON STOCK 130222102 824 55300 SH SOLE 55300 0 0 D CAMDEN NATL CORP COM STK COMMON STOCK 133034108 1407 35000 SH SOLE 35000 0 0 D CENTENNIAL BANK HOLD INGS INC COMMON STOCK 151345303 879 90800 SH SOLE 90800 0 0 D CENTER BANCORP INC COM STK COMMON STOCK 151408101 4874 297200 SH SOLE 297200 0 0 D CHITTENDEN CORP COM COMMON STOCK 170228100 2439 85000 SH SOLE 85000 0 0 D CITIGROUP INC COM STK COMMON STOCK 172967101 13719 276200 SH SOLE 276200 0 0 D CITIZENS BKG CORP MI CH COM ST COMMON STOCK 174420109 1970 75000 SH SOLE 75000 0 0 D CITY NATIONAL CORP CA COM STK COMMON STOCK 178566105 11803 176000 SH SOLE 176000 0 0 D COASTAL FINANCIAL CO RP DEL CO COMMON STOCK 19046E105 4094 324940 SH SOLE 324940 0 0 D COBIZ INC COMMON STOCK 190897108 4343 190000 SH SOLE 190000 0 0 D COLONIAL BANCGROUP I NC COM ST COMMON STOCK 195493309 12250 500000 SH SOLE 500000 0 0 D COLUMBIA BKG SYS INC COM STK COMMON STOCK 197236102 2721 85000 SH SOLE 85000 0 0 D COMERICA INC COM STK COMMON STOCK 200340107 6546 115000 SH SOLE 115000 0 0 D COMMERCE BANCSHARES INC COM ST COMMON STOCK 200525103 8850 175000 SH SOLE 175000 0 0 D COMMUNITY BANCORP IN C FALLBR COMMON STOCK 20342P109 2481 60700 SH SOLE 60700 0 0 D COMMUNITY BANCORP NE V COM STK COMMON STOCK 20343T100 711 23300 SH SOLE 23300 0 0 D COMMUNITY BANCSHARES INC DEL COMMON STOCK 20343H106 500 50000 SH SOLE 50000 0 0 D COMMUNITY TR BANCORP INC COM COMMON STOCK 204149108 1111 29500 SH SOLE 29500 0 0 D COMPASS BANCSHARES I NC COM ST COMMON STOCK 20449H109 10017 175800 SH SOLE 175800 0 0 D CONNECTICUT BK & TR CO HARTFO COMMON STOCK 207546102 2326 293300 SH SOLE 293300 0 0 D COUNTRYWIDE FINANCIA L CORP CO COMMON STOCK 222372104 7919 226000 SH SOLE 226000 0 0 D CULLEN FROST BANKER INC COMMON STOCK 229899109 9482 164000 SH SOLE 164000 0 0 D CVB FINL CORP COM STK COMMON STOCK 126600105 5022 340000 SH SOLE 340000 0 0 D DESERT COMMUNITY BAN K (VICTOR COMMON STOCK 25037Y109 3166 175000 SH SOLE 175000 0 0 D DIME BANCORP INC WTS EXP 1/01/ WARRANTS 25429Q110 22 200000 SH SOLE 200000 0 0 D EAST-WEST BANCORP IN C COM STK COMMON STOCK 27579R104 4979 125700 SH SOLE 125700 0 0 D EUROBANCSHARES INC COM STK COMMON STOCK 298716101 1250 132000 SH SOLE 132000 0 0 D EXCHANGE NATIONAL BA NCSHARES COMMON STOCK 301309100 3739 123000 SH SOLE 123000 0 0 D F N B CORP N C COM STK COMMON STOCK 302519103 687 36900 SH SOLE 36900 0 0 D FINANCIAL SELECT SEC TOR SPDR OPTIONS - PUTS 99O993BZ3 3462 100000 SH PUT SOLE 100000 0 0 D FIRST BUSEY CORP COM STK COMMON STOCK 319383105 7998 352200 SH SOLE 352200 0 0 D FIRST CHARTER CORP COM STK COMMON STOCK 319439105 1583 65800 SH SOLE 65800 0 0 D FIRST CMNTY BANCORP CALIF COM COMMON STOCK 31983B101 5657 101100 SH SOLE 101100 0 0 D FIRST FINL BANKSHARE S INC COM COMMON STOCK 32020R109 973 25500 SH SOLE 25500 0 0 D FIRST INDIANA CORP COM STK COMMON STOCK 32054R108 1170 45000 SH SOLE 45000 0 0 D FIRST M & F CORPORAT ION COM S COMMON STOCK 320744105 3656 200000 SH SOLE 200000 0 0 D FIRST MIDWEST BANCOR P INC DEL COMMON STOCK 320867104 15572 410989 SH SOLE 410989 0 0 D FIRST MUTUAL BANCSHA RES INC C COMMON STOCK 32190E102 3112 115200 SH SOLE 115200 0 0 D FIRST PACTRUST BANCO RP INC CO COMMON STOCK 33589V101 2787 98100 SH SOLE 98100 0 0 D FIRST REGL BANCORP COM STK COMMON STOCK 33615C101 1513 44400 SH SOLE 44400 0 0 D FIRST SOUTH BANCORP INC VA COM COMMON STOCK 33646W100 4179 136600 SH SOLE 136600 0 0 D FIRST ST BANCORPORAT ION COM S COMMON STOCK 336453105 4965 191200 SH SOLE 191200 0 0 D FLAG FINANCIAL CORP COM STK COMMON STOCK 33832H107 1761 70340 SH SOLE 70340 0 0 D FLUSHING FINANCIAL C ORP COM S COMMON STOCK 343873105 3558 203300 SH SOLE 203300 0 0 D FRANKLIN RESOURCES I NC. COM S COMMON STOCK 354613101 4759 45000 SH SOLE 45000 0 0 D GLACIER BANCORP INC NEW COM ST COMMON STOCK 37637Q105 1709 50000 SH SOLE 50000 0 0 D GREAT LAKES BANCORP INC COM COMMON STOCK 390914109 1025 63800 SH SOLE 63800 0 0 D GREENVILLE FIRST BAN CSHARES COMMON STOCK 39607Y100 416 22200 SH SOLE 22200 0 0 D HABERSHAM BANCORP COM STK COMMON STOCK 404459109 672 27609 SH SOLE 27609 0 0 D HERITAGE OAKS BANCOR P COM STK COMMON STOCK 42724R107 4673 286700 SH SOLE 286700 0 0 D HINGHAM INSTITUTION SAVINGS CO COMMON STOCK 433323102 1751 46200 SH SOLE 46200 0 0 D HMN FINANCIAL INC COM STK COMMON STOCK 40424G108 4164 119800 SH SOLE 119800 0 0 D HOME FEDERAL BANCORP COM STK COMMON STOCK 436926109 2775 100000 SH SOLE 100000 0 0 D INDEPENDENT BANK COR P MICHIGA COMMON STOCK 453838104 1275 52500 SH SOLE 52500 0 0 D INDEPENDENT BK CORP MASS COM S COMMON STOCK 453836108 2198 67600 SH SOLE 67600 0 0 D INTEGRA BK CORP COM STK COMMON STOCK 45814P105 4202 166200 SH SOLE 166200 0 0 D INTERNATIONAL BANCSH ARES CORP COMMON STOCK 459044103 7473 251800 SH SOLE 251800 0 0 D IRWIN FINL CORP COM COMMON STOCK 464119106 4890 250000 SH SOLE 250000 0 0 D LAKELAND FINL CORP COM STK COMMON STOCK 511656100 10638 452500 SH SOLE 452500 0 0 D LEGACY BANCORP INC COM STK COMMON STOCK 52463G105 4810 309300 SH SOLE 309300 0 0 D LEGG MASON INC COM STK COMMON STOCK 524901105 3530 35000 SH SOLE 35000 0 0 D LEHMAN BROTHERS HLDG S INC MED COMMON STOCK 524908100 2216 30000 SH SOLE 30000 0 0 D MACATAWA BK CORP COM STK COMMON STOCK 554225102 572 25000 SH SOLE 25000 0 0 D MAINSOURCE FINL GROU P INC COM COMMON STOCK 56062Y102 6788 400000 SH SOLE 400000 0 0 D MARSHALL & ILSLEY CORP COM COMMON STOCK 571834100 6023 125000 SH SOLE 125000 0 0
D MB FINANCIAL INC COMMON STOCK 55264U108 9218 250000 SH SOLE 250000 0 0 D MELLON FINANCIAL COR P COM STK COMMON STOCK 58551A108 3910 100000 SH SOLE 100000 0 0 D MERCANTILE BANKSHARE S CORP CO COMMON STOCK 587405101 12927 356400 SH SOLE 356400 0 0 D MERRILL LYNCH & CO I NC COM ST COMMON STOCK 590188108 3911 50000 SH SOLE 50000 0 0 D MFA MTG INVTS INC COM STK COMMON STOCK 55272X102 5178 695000 SH SOLE 695000 0 0 D MORGAN STANLEY COM STK COMMON STOCK 617446448 8479 116300 SH SOLE 116300 0 0 D NEW YORK COMM BANCORP DUE 11/1 PRFD STK (CONVRT 64944P307 4772 101199 SH SOLE 101199 0 0 D NEWPORT BANCORP INC COM STK COMMON STOCK 651754103 735 52500 SH SOLE 52500 0 0 D NORTH BAY BANCORP NA PA CALIF COMMON STOCK 657477105 1558 58200 SH SOLE 58200 0 0 D NORTH FORK BANCORPOR ATION INC OPTIONS - CALLS 99O96JD63 1174 41000 SH CALL SOLE 41000 0 0 D NORTHEAST BANCORP COM STK COMMON STOCK 663904100 510 26100 SH SOLE 26100 0 0 D NORTHERN TRUST CORP COM STK COMMON STOCK 665859104 9349 160000 SH SOLE 160000 0 0 D NORTHWEST BANCORP IN C PA COM COMMON STOCK 667328108 250 9800 SH SOLE 9800 0 0 D OLD SECOND BANCORP I NC DEL CO COMMON STOCK 680277100 3532 117900 SH SOLE 117900 0 0 D ORIENTAL FINANCIAL G ROUP INC COMMON STOCK 68618W100 2265 190000 SH SOLE 190000 0 0 D PACIFIC CONTINENTAL CORP COM S COMMON STOCK 69412V108 1368 75000 SH SOLE 75000 0 0 D PACIFIC ST BANCORP COM STK COMMON STOCK 694864109 1159 60500 SH SOLE 60500 0 0 D PNC FINANCIAL SERVIC ES GROUP COMMON STOCK 693475105 19993 276000 SH SOLE 276000 0 0 D PREFERRED BANK COM STK COMMON STOCK 740367107 5931 98900 SH SOLE 98900 0 0 D PROVIDENT FINANCIAL HOLDINGS I COMMON STOCK 743868101 1254 41600 SH SOLE 41600 0 0 D RAINIER PACIFIC FINA NCIAL GRO COMMON STOCK 75087U101 1456 80000 SH SOLE 80000 0 0 D SAVANNAH BANCORP INC COM STK COMMON STOCK 804748101 5356 160846 SH SOLE 160846 0 0 D SIERRA BANCORP COM STK COMMON STOCK 82620P102 797 25500 SH SOLE 25500 0 0 D SKY FINANCIAL GROUP INC COM ST COMMON STOCK 83080P103 14990 602000 SH SOLE 602000 0 0 D SMITHTOWN BANCORP IN C COM STK COMMON STOCK 832449102 1454 53875 SH SOLE 53875 0 0 D SOUTHSIDE BANCSHARES INC COM COMMON STOCK 84470P109 296 11100 SH SOLE 11100 0 0 D SOUTHWEST BANCORP IN C OKLA CO COMMON STOCK 844767103 3202 124000 SH SOLE 124000 0 0 D STATE STR CORP COM STK COMMON STOCK 857477103 3120 50000 SH SOLE 50000 0 0 D SUPERIOR BANCORP COM COMMON STOCK 86806M106 7539 655600 SH SOLE 655600 0 0 D SVB FINANCIAL GROUP COM STK COMMON STOCK 78486Q101 3348 75000 SH SOLE 75000 0 0 D SYNOVUS FINL CORP COM COMMON STOCK 87161C105 19155 652200 SH SOLE 652200 0 0 D TAYLOR CAP GROUP INC COM STK COMMON STOCK 876851106 5910 200000 SH SOLE 200000 0 0 D TCF FINL CORP COM STK COMMON STOCK 872275102 14528 552600 SH SOLE 552600 0 0 D TEXAS CAP BANCSHARES INC COM COMMON STOCK 88224Q107 4680 250000 SH SOLE 250000 0 0 D UNION BANKSHARES COR P COM STK COMMON STOCK 905399101 1480 33400 SH SOLE 33400 0 0 D UNIONBANCAL CORP COM STK COMMON STOCK 908906100 2960 48600 SH SOLE 48600 0 0 D UNITED COMMUNITY BAN KS INC CO COMMON STOCK 90984P105 7597 252800 SH SOLE 252800 0 0 D US BANCORP COM COMMON STOCK 902973304 18434 554900 SH SOLE 554900 0 0 D VALLEY NATIONAL BANC ORP COM S COMMON STOCK 919794107 9589 375000 SH SOLE 375000 0 0 D VIRGINIA COMM BANCOR P INC COM COMMON STOCK 92778Q109 4884 220000 SH SOLE 220000 0 0 D W. P. STEWART & CO. LTD COMMON STOCK G84922106 623 50000 SH SOLE 50000 0 0 D WADDELL & REED FINL INC CL A C COMMON STOCK 930059100 7178 290000 SH SOLE 290000 0 0 D WAUWATOSA HOLDINGS I NC WAUWA COMMON STOCK 94348P108 706 40000 SH SOLE 40000 0 0 D WELLS FARGO COMPANY COMMON STOCK 949746101 19982 552300 SH SOLE 552300 0 0 D WEST COAST BANCORP O RE NEW CO COMMON STOCK 952145100 4153 136000 SH SOLE 136000 0 0 D WESTAMERICA BANCORPO RATION CO COMMON STOCK 957090103 3788 75000 SH SOLE 75000 0 0 D WESTFIELD FINL INC COM STK COMMON STOCK 96008D101 848 26700 SH SOLE 26700 0 0 D WHITNEY HLDG CORP COM STK COMMON STOCK 966612103 2683 75000 SH SOLE 75000 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 2189 237900 SH SOLE 237900 0 0 D WILMINGTON TRUST COR P COM STK COMMON STOCK 971807102 5257 118000 SH SOLE 118000 0 0 D ZIONS BANCORPORATION COM STK COMMON STOCK 989701107 9976 125000 SH SOLE 125000 0 0 S REPORT SUMMARY 137 DATA RECORDS 626326 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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