-----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, WPx2OL0W3Zo9Zpc8MQqouR1tBmOXxWWU1qDeayvEI9RDPVLUwsSeKWAEuTPveXcr TXc6Z+Mp2NTegb3wse60sQ== 0001193125-10-258661.txt : 20101112 0001193125-10-258661.hdr.sgml : 20101111 20101112150629 ACCESSION NUMBER: 0001193125-10-258661 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 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: 101185889 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, 2010 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 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/CEO Phone: (212) 486-7300 Signature, Place and Date of Signing: TERRY MALTESE November 11, 2010 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: 139 Form 13F Information Table Value Total: 596577
FORM 13F INFORMATION TABLE VOTING AUTHORITY VALUE SHARES/ SH/ PUT/ INVSTMT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP X ($1000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE ------------------------------- -------------- --------- --------- ------- --- ---- -------- -------- ------- ------ ---- D 1ST CENTY BK NATL AS SN COM ST COMMON STOCK 31943X102 3114 841600 SH SOLE 841600 0 0 D 1st United Bancorp Inc. (FL) C COMMON STOCK 33740N105 2829 440000 SH SOLE 440000 0 0 D ACCESS NATL CORP COM STK COMMON STOCK 004337101 1178 196300 SH SOLE 196300 0 0 D AFFILIATED MANAGERS GROUP INC COMMON STOCK 008252108 390 5000 SH SOLE 5000 0 0 D AMERICAN RIVER BANKSHARES COM COMMON STOCK 029326105 5210 829600 SH SOLE 829600 0 0 D AMERIS BANCORP COM STK COMMON STOCK 03076K108 2920 312271 SH SOLE 312271 0 0 D AON CORPORATION COMMON STOCK 037389103 13689 350000 SH SOLE 350000 0 0 D ATHENS BANCSHARES CORP COM STK COMMON STOCK 047042106 2800 254300 SH SOLE 254300 0 0 D BANCFIRST CORP COM STK COMMON STOCK 05945F103 7388 182600 SH SOLE 182600 0 0 D BANCORP RHODE ISLAND COMMON STOCK 059690107 1938 69400 SH SOLE 69400 0 0 D BANK HAWAII CORP COM STK COMMON STOCK 062540109 1047 23300 SH SOLE 23300 0 0 D BANK MUTUAL CORP COM STK COMMON STOCK 063750103 2455 473000 SH SOLE 473000 0 0 D BANK OF AMERICA 7.25% SER L PE PRFD STK (CONVRT 060505682 2460 2500 SH SOLE 2500 0 0 D BANK OF MARIN BANCORP COMMON STOCK 063425102 2363 73300 SH SOLE 73300 0 0 D BAR HARBOR BANKSHARES COM STK COMMON STOCK 066849100 5138 185500 SH SOLE 185500 0 0 D BENEFICIAL MUTAL BANCORP INC COMMON STOCK 08173R104 634 70700 SH SOLE 70700 0 0 D BLACKROCK INC COM NEW COMMON STOCK 09247X101 2060 12100 SH SOLE 12100 0 0 D BOK FINANCIAL CORP COM STK COMMON STOCK 05561Q201 2992 66300 SH SOLE 66300 0 0 D BRIDGE CAPITAL HOLDINGS COMMON STOCK 108030107 1313 150000 SH SOLE 150000 0 0 D BROOKLINE BANCORP INC DE COM COMMON STOCK 11373M107 1179 118100 SH SOLE 118100 0 0 D CAPITOL FED FINL COM STK COMMON STOCK 14057C106 3705 150000 SH SOLE 150000 0 0 D CARDINAL FINL CORP COM STK COMMON STOCK 14149F109 331 34400 SH SOLE 34400 0 0 D CENTER FINL CORP CAL IF COM ST COMMON STOCK 15146E102 661 129900 SH SOLE 129900 0 0 D CENTERSTATE BKS FLA INC COM ST COMMON STOCK 15201P109 5136 598600 SH SOLE 598600 0 0 D CENTURY BANCORP INC COMMON STOCK 156432106 6448 269900 SH SOLE 269900 0 0 D CHICOPEE BANCORP COMMON STOCK 168565109 2315 205200 SH SOLE 205200 0 0 D CITIGROUP INC COM STK COMMON STOCK 172967101 8602 2200000 SH SOLE 2200000 0 0 D CITIZENS & NORTHN CORP COM ST COMMON STOCK 172922106 8798 676800 SH SOLE 676800 0 0 D CITIZENS REPUBLIC BANCORP INC COMMON STOCK 174420109 1832 2032900 SH SOLE 2032900 0 0 D CITY NATIONAL CORP CA COM STK COMMON STOCK 178566105 5413 102000 SH SOLE 102000 0 0 D CNB FINANCIAL CORP (PA) COM S COMMON STOCK 126128107 6765 492000 SH SOLE 492000 0 0 D COLUMBIA BKG SYS INC COM STK COMMON STOCK 197236102 1179 60000 SH SOLE 60000 0 0 D CONNECTICUT BK & TR CO HARTFO COMMON STOCK 207546102 1385 288500 SH SOLE 288500 0 0 D DIME COMMUNITY BANCSHARES COM COMMON STOCK 253922108 1386 100000 SH SOLE 100000 0 0 D DORAL FINL CORP COM STK COMMON STOCK 25811P886 7171 4320000 SH SOLE 4320000 0 0 D EAGLE BANCORP INC COM STK COMMON STOCK 268948106 3322 289400 SH SOLE 289400 0 0 D EAGLE BANCORP MONTANA INC COM COMMON STOCK 26942G100 3126 343500 SH SOLE 343500 0 0 D EAST-WEST BANCORP INC COM STK COMMON STOCK 27579R104 1058 65000 SH SOLE 65000 0 0 D ENCORE BNCSHRS COMMON STOCK 29255V201 2517 350000 SH SOLE 350000 0 0 D ENTERPRISE BANCORP INC COMMON STOCK 293668109 706 64800 SH SOLE 64800 0 0 D EVANS BANCORP INC COM STK COMMON STOCK 29911Q208 3996 303900 SH SOLE 303900 0 0 D FIRST CALIFORNIA FINANCIAL GRP COMMON STOCK 319395109 1638 668700 SH SOLE 668700 0 0 D FIRST CMNTY BANCSHARES INC NE COMMON STOCK 31983A103 3136 243100 SH SOLE 243100 0 0 D FIRST FINANCIAL BANCORP OHIO COMMON STOCK 320209109 20933 1255000 SH SOLE 1255000 0 0 D FIRST FRANKLIN CORPORATION COMMON STOCK 320272107 437 60000 SH SOLE 60000 0 0 D FIRST HORIZON NATL CORP COMMON STOCK 320517105 3009 263700 SH SOLE 263700 0 0 D FIRST INTERSTATE BAN CSYSTEM I COMMON STOCK 32055Y201 6275 466200 SH SOLE 466200 0 0 D FIRST MIDWEST BANCOR P INC DEL COMMON STOCK 320867104 12799 1110100 SH SOLE 1110100 0 0 D FIRST NIAGARA FINL G ROUP INC COMMON STOCK 33582V108 9891 849000 SH SOLE 849000 0 0 D FIRST OF LONG ISLAND CORP COM COMMON STOCK 320734106 3662 146600 SH SOLE 146600 0 0 D FIRST PACTRUST BANCORP INC COMMON STOCK 33589V101 629 58800 SH SOLE 58800 0 0 D FIRST SECURITY GROUP INC COMMON STOCK 336312103 623 556400 SH SOLE 556400 0 0 D FIRSTBANK CORPORATION COMMON STOCK 33761G104 232 50000 SH SOLE 50000 0 0 D FIRSTMERIT CORP COM STK COMMON STOCK 337915102 11179 610200 SH SOLE 610200 0 0 D FOX CHASE BANCORP INC COM STK COMMON STOCK 35137T108 7568 799996 SH SOLE 799996 0 0 D FRANKLIN RESOURCES I NC. COM S COMMON STOCK 354613101 3816 35700 SH SOLE 35700 0 0 D GUARANTY BANCORP COM STK COMMON STOCK 40075T102 159 100000 SH SOLE 100000 0 0 D HAMPDEN BANCORP INC COM STK COMMON STOCK 40867E107 3632 365000 SH SOLE 365000 0 0 D HAWTHORN BANCSHARES INC COMMON STOCK 420476103 759 75326 SH SOLE 75326 0 0 D HERITAGE COMM CORP COM STK COMMON STOCK 426927109 3500 999998 SH SOLE 999998 0 0 D HERITAGE FINANCIAL C ORPORATIO COMMON STOCK 42722X106 1949 139200 SH SOLE 139200 0 0 D HERITAGE OAKS BANCOR P COM STK COMMON STOCK 42724R107 7211 2185200 SH SOLE 2185200 0 0 D HF FINANCIAL CORP COM STK COMMON STOCK 404172108 6786 647500 SH SOLE 647500 0 0 D HINGHAM INSTITUTION SAVINGS CO COMMON STOCK 433323102 4138 110000 SH SOLE 110000 0 0 D HMN FINANCIAL INC COM STK COMMON STOCK 40424G108 565 178700 SH SOLE 178700 0 0 D HOME BANCSHARES INC/ CONWAY A COMMON STOCK 436893200 1959 96400 SH SOLE 96400 0 0 D HOPFED BANCORP INC COM STK COMMON STOCK 439734104 6356 700011 SH SOLE 700011 0 0 D HUDSON VALLEY HOLDING CORP CO COMMON STOCK 444172100 4322 221400 SH SOLE 221400 0 0 D IBERIABANK CORP COM STK COMMON STOCK 450828108 4748 95000 SH SOLE 95000 0 0 D INDIANA COMMUNITY BANCORP COMMON STOCK 454674102 2698 215000 SH SOLE 215000 0 0 D INVESCO LTD COM STK COMMON STOCK G491BT108 6477 305100 SH SOLE 305100 0 0 D JP MORGAN CHASE & CO COMMON STOCK 46625H100 20933 550000 SH SOLE 550000 0 0 D JP MORGAN CHASE WRNT EXP 10/28 WARRANTS 46634E114 1707 146300 SH SOLE 146300 0 0 D KEYCORP NY COM STK COMMON STOCK 493267108 6862 862000 SH SOLE 862000 0 0 D LAKELAND FINL CORP COM STK COMMON STOCK 511656100 5057 271000 SH SOLE 271000 0 0 D LAZARD LTD COM COMMON STOCK G54050102 9647 275000 SH SOLE 275000 0 0 D LEGACY BANCORP INC COM STK COMMON STOCK 52463G105 4561 575900 SH SOLE 575900 0 0 D LOUISIANA BANCORP INC COM COMMON STOCK 54619P104 2944 208500 SH SOLE 208500 0 0 D MB FINANCIAL INC COMMON STOCK 55264U108 324 20000 SH SOLE 20000 0 0 D MERCHANTS BANCSHARES INC COM COMMON STOCK 588448100 219 8800 SH SOLE 8800 0 0 D MERIDIAN INTERSTATE BANCORP IN COMMON STOCK 58964Q104 3924 372300 SH SOLE 372300 0 0 D MIDWESTONE FINANCIAL GROUP INC COMMON STOCK 598511103 5537 377700 SH SOLE 377700 0 0 D MORGAN STANLEY COM STK COMMON STOCK 617446448 12834 520000 SH SOLE 520000 0 0 D MUTUALFIRST FINANCIA L INC COM COMMON STOCK 62845B104 1303 169400 SH SOLE 169400 0 0 D NATIONAL PENN BANCSH ARES INC COMMON STOCK 637138108 188 30000 SH SOLE 30000 0 0 D NBT BANCORP INC COM STK COMMON STOCK 628778102 7504 340000 SH SOLE 340000 0 0 D NEW CENTY BANCORP INC DUNN NC COMMON STOCK 64353M100 503 127000 SH SOLE 127000 0 0 D NEWPORT BANCORP INC COM STK COMMON STOCK 651754103 3886 328500 SH SOLE 328500 0 0 D NORTH VALLEY BANCORP COMMON STOCK 66304M105 231 142000 SH SOLE 142000 0 0 D NORTHRIM BANCORP INC COMMON STOCK 666762109 3305 199100 SH SOLE 199100 0 0 D NORTHWEST BANCSHARES INC/MD COMMON STOCK 667340103 1768 158100 SH SOLE 158100 0 0 D OBA FINANCIAL SERVIC ES INC COMMON STOCK 67424G101 1930 175000 SH SOLE 175000 0 0 D OCEANFIRST FINL CORP COM STK COMMON STOCK 675234108 3146 256400 SH SOLE 256400 0 0 D OLD NATIONAL BANCORP EVANSVIL COMMON STOCK 680033107 4370 416200 SH SOLE 416200 0 0 D OMNIAMERICAN BANCORP INC COMMON STOCK 68216R107 4508 400000 SH SOLE 400000 0 0 D ONEIDA FINANCIAL CORP COM STK COMMON STOCK 682479100 1696 224700 SH SOLE 224700 0 0 D ORITANI FINANCIAL CORP COM STK COMMON STOCK 68633D103 200 20000 SH SOLE 20000 0 0 D PACIFIC CONTINENTAL CORP COM S COMMON STOCK 69412V108 478 52800 SH SOLE 52800 0 0 D PACIFIC PREMIER BANC ORP COM S COMMON STOCK 69478X105 4401 988900 SH SOLE 988900 0 0 D PACWEST BANCORP COM STK COMMON STOCK 695263103 3841 201500 SH SOLE 201500 0 0
D PARK STERLING BK CHA RLOTTE N COMMON STOCK 70086W109 4832 792100 SH SOLE 792100 0 0 D PEOPLES UNITED FINANCIAL INC C COMMON STOCK 712704105 10270 784600 SH SOLE 784600 0 0 D PNC FINANCIAL SERVIC ES GROUP COMMON STOCK 693475105 11939 230000 SH SOLE 230000 0 0 D POPULAR INC COM STK COMMON STOCK 733174106 3991 1376166 SH SOLE 1376166 0 0 D PREFERRED BANK COM STK COMMON STOCK 740367107 7865 4885184 SH SOLE 4885184 0 0 D PROSPERITY BANCSHARE S INC COM COMMON STOCK 743606105 12205 375900 SH SOLE 375900 0 0 D PROVIDENT FINANCIAL HOLDINGS I COMMON STOCK 743868101 710 122000 SH SOLE 122000 0 0 D RIVERVIEW BANCORP INC COM STK COMMON STOCK 769397100 2457 1241000 SH SOLE 1241000 0 0 D RODMAN & RENSHAW CAP GROUP INC COMMON STOCK 77487R100 1606 747100 SH SOLE 747100 0 0 D SANDY SPRING BANCORP INC COM COMMON STOCK 800363103 388 25000 SH SOLE 25000 0 0 D SAVANNAH BANCORP INC COM STK COMMON STOCK 804748101 2380 263000 SH SOLE 263000 0 0 D SCBT FINANCIAL CORP COM STK COMMON STOCK 78401V102 720 23100 SH SOLE 23100 0 0 D SEACOAST BKG CORP FLA COMMON COMMON STOCK 811707306 4534 3716769 SH SOLE 3716769 0 0 D SIERRA BANCORP COMMON STOCK 82620P102 751 60800 SH SOLE 60800 0 0 D SIMMONS FIRST NATION AL CORP C COMMON STOCK 828730200 10098 357200 SH SOLE 357200 0 0 D SOMERSET HILLS BANCO RP BERNA COMMON STOCK 834728107 2615 326864 SH SOLE 326864 0 0 D SOUTHWEST BANCORP IN C OKLA CO COMMON STOCK 844767103 3233 249300 SH SOLE 249300 0 0 D STATE BANCORP INC N Y COM STK COMMON STOCK 855716106 5797 645500 SH SOLE 645500 0 0 D STATE STREET CORPORATION COMMON STOCK 857477103 19225 510500 SH SOLE 510500 0 0 D STERLING BANCORP COM STK COMMON STOCK 859158107 4667 537100 SH SOLE 537100 0 0 D STERLING BANCSHARES INC COM ST COMMON STOCK 858907108 7979 1485800 SH SOLE 1485800 0 0 D TCF FINL CORP COM STK COMMON STOCK 872275102 810 50000 SH SOLE 50000 0 0 D TEXAS CAP BANCSHARES INC COM COMMON STOCK 88224Q107 7378 427200 SH SOLE 427200 0 0 D UNITED CMNTY FINL CO RP OHIO C COMMON STOCK 909839102 71 53400 SH SOLE 53400 0 0 D UNITED COMMUNITY BAN KS INC CO COMMON STOCK 90984P105 896 400000 SH SOLE 400000 0 0 D US BANCORP COM COMMON STOCK 902973304 25790 1192900 SH SOLE 1192900 0 0 D VERISK ANALYTICS INC -CL A COMMON STOCK 92345Y106 2101 75000 SH SOLE 75000 0 0 D WADDELL & REED FINL INC CL A C COMMON STOCK 930059100 410 15000 SH SOLE 15000 0 0 D WASHINGTON FEDERAL I NC COM ST COMMON STOCK 938824109 1662 108800 SH SOLE 108800 0 0 D WELLS FARGO & CO 7.5% SER L PRFD STK (CONVRT 949746804 9156 9101 SH SOLE 9101 0 0 D WELLS FARGO & CO-CW1 8 WT EXP1 WARRANTS 949746119 3152 400000 SH SOLE 400000 0 0 D WELLS FARGO COMPANY COMMON STOCK 949746101 6654 265000 SH SOLE 265000 0 0 D WEST BANCORPORATION COMMON STOCK 95123P106 614 97400 SH SOLE 97400 0 0 D WEST COAST BANCORP O RE NEW CO COMMON STOCK 952145100 940 412400 SH SOLE 412400 0 0 D WILLIS GROUP HOLDINGS PLC COM COMMON STOCK G96666105 1541 50000 SH SOLE 50000 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 1560 155100 SH SOLE 155100 0 0 D WINTRUST FINL CORP COM STK COMMON STOCK 97650W108 5024 155000 SH SOLE 155000 0 0 D WSFS FINL CORP COM STK COMMON STOCK 929328102 2386 63600 SH SOLE 63600 0 0 D ZIONS BANCORPORATION COM STK COMMON STOCK 989701107 10328 483500 SH SOLE 483500 0 0 S REPORT SUMMARY 139 DATA RECORDS 596577 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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