13F-HR 1 y48957ae13f-hr.txt SECOND CURVE CAPITAL LLC 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F-HR Form 13F COVER PAGE Report for the Calendar Year of Quarter Ended: 03-31-01 --------- 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: Second Curve Capital, LLC Address: 200 Park Ave., New York, NY 10166 Form 13F File Number: 28- 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 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: Stephen D. Krug Title: COO Phone: 212-808-3546 Signature, Place, and Date of Signing: /s/ Stephen D. Krug New York, New York May 9, 2001 --------------------------- ------------------ ------------ [Signature] [City, State] [Date] Report Type (Check only one.): [X ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) 2 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 25 ----------- Form 13F Information Table Value Total: $ 243 ----------- (thousands) List of Other Included Managers: None 3 FORM 13F INFORMATION TABLE - SECOND CURVE CAPITAL LLC (3/31/01)
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------- -------- -------- -------- -------- -------- -------- -------- VOTING AUTHORITY ---------------- ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP (X1000) PRN AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ AMERICREDIT CORP COM 03060R101 3,829 118,072 SH SOLE 118,072 AMERITRADE HLDG CORP CL A CL A 03072H109 2,113 400,119 SH SOLE 400,119 BANK OF AMERICA COM 60505104 16,433 300,148 SH SOLE 300,148 BLACKROCK INC CL A CL A 09247X101 5,160 143,342 SH SOLE 143,342 CAPITAL ONE FINCL CORP COM 14040H105 19,590 352,975 SH SOLE 352,975 COMMERCE BANCORP INC-NJ COM 200519106 10,585 176,419 SH SOLE 176,419 CORILLIAN CORP COM 218725109 3,066 516,390 SH SOLE 516,390 DIME BANCORP INC COM 25429Q102 15,900 485,493 SH SOLE 485,493 E TRADE GROUP INC COM 269246104 1,151 164,856 SH SOLE 164,856 FIRST REPUBLIC INC COM 336158100 7,260 329,997 SH SOLE 329,997 FIRST UNION CORP COM 337358105 15,881 481,247 SH SOLE 481,247 GOLDEN STATE BANCORP COM 381197102 11,466 411,246 SH SOLE 411,246 GOLDEN WEST FINANCIAL CORP COM 381317106 1,877 28,914 SH SOLE 28,914 GREENPOINT FINCL CORP COM 395384100 14,547 446,228 SH SOLE 446,228 HIBERNIA CORP CL A 428656102 3,635 260,226 SH SOLE 260,226 NEXTCARD INC COM 441815107 10,411 1,009,557 SH SOLE 1,009,557 PACIFIC CENTURY FINCL CORP COM 694058108 16,600 873,664 SH SOLE 873,664 PROVIDIAN FINCL GROUP COM 65332K107 17,416 355,069 SH SOLE 355,069 RESOURCE BANCSHARES MTG GRP COM 761197102 129 17,202 SH SOLE 17,202 S1 CORP COM 78463B101 1,955 269,710 SH SOLE 269,710 SOVEREIGN BANCORP COM 845905108 16,316 1,926,645 SH SOLE 1,926,645 TCF FINCL CORP COM 87161C105 5,645 149,391 SH SOLE 149,391 UNIONBANCAL CORP COM 872275102 20,700 712,551 SH SOLE 712,551 WASHINGTON MUTUAL COM 908906100 18,351 335,181 SH SOLE 335,181 WELLS FARGO COM 939322103 7,162 144,780 SH SOLE 144,780