13F-HR 1 ba00705001ar9.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: September 30, 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: Basswood Partners, L.L.C. Address: 645 Madison Avenue, 10th Floor New York, New York 10022 Form 13F File Number: 28-04683 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: Matthew Lindenbaum Title: Managing Member Phone: (212) 521-9500 Signature, Place, and Date of Signing: /s/Matthew Lindenbaum New York, New York 11/9/01 ------------------- ------------------ ----------------- [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).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28- [Repeat as necessary.] 2 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 3 Form 13F Information Table Entry Total: 95 Form 13F Information Table Value Total: $640,589,791 The Institutional Investment Manager has requested confidential treatment for certain positions, which are omitted from this report and are being filed separately with the Securities and Exchange Commission. List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 1 28- Basswood Capital Management, LLC 2 28- Bennett Lindenbaum 3 28- Matthew Lindenbaum 3 BASSWOOD PARTNERS COMBINATION REPORT September 30, 2001
ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 ------ ------ ------ ------ ------ ------ ------ ------ INVESTMENT DISCRETION VOTING AUTHORITY (b) (SHARES) FAIR SHARED (c) TITLE CUSIP MARKET SHRS OR (a) SEE SHARED- MANAGERS (a) (b) (c) NAME OF ISSUER OF CLASS NUMBER VALUE PRN AMT SOLE INSTR. V OTHER SEE INSTR. V SOLE SHARED NONE -------------- -------- ------ ------ ------- ---- ----------- ----- ------------ ---- ------ ---- American Express Co. (AXP) Common 025816109 1,232,260 42,404 X 1,2,3 X Astoria Financial Corp.(ASFC) Common 046265104 23,013,147 388,342 X 1,2,3 X Automatic Data Processing (ADP) Common 053015103 4,078,368 86,700 X 1,2,3 X Banc One Corp. (ONE) Common 06423A103 18,426,692 585,532 X 1,2,3 X Bank of New York (BK) Common 064057102 17,801,945 508,627 X 1,2,3 X Bay View Capital Corp. (BVC) Common 07262L101 650,944 92,992 X 1,2,3 X Bear Stearns (BSC) Common 073902108 25,291,731 505,733 X 1,2,3 X Blyth Inc. (BTH) Common 09643P108 515,589 25,922 X 1,2,3 X Brookfield Property Corp.(BPO) Common 112900105 4,792,943 262,627 X 1,2,3 X Capital One Financial Corp. (COF) Common 14040H105 1,181,222 25,662 X 1,2,3 X Carnival Corp. (CCL) Common 143658102 897,007 40,736 X 1,2,3 X Citigroup Inc. (C) Common 172967101 15,180,845 374,836 X 1,2,3 X City National Corp. (CYN) Common 178566105 13,827,763 320,458 X 1,2,3 X Comerica, Inc. (CMA) Common 200340107 20,036,806 361,675 X 1,2,3 X Community State Bank (TNEK) Common 204136105 545,590 54,559 X 1,2,3 X Compucredit Corp. (CCRT) Common 20478N100 1,646,155 225,810 X 1,2,3 X Countrywide Credit (CCR) Common 222372104 12,222,293 278,222 X 1,2,3 X Crossman Communities Inc (CROS) Common 22764E109 448,009 17,054 X 1,2,3 X D. R. Horton, Inc. (DHI) Common 23331A109 13,266,835 635,994 X 1,2,3 X DAL Tile Intl Inc. (DTL) Common 23426R108 402,449 26,150 X 1,2,3 X Dime Bancorp (DME) Common 25429Q102 5,044,206 128,286 X 1,2,3 X 4 E*Trade Group, Inc. (ET) Common 269246104 655,360 108,324 X 1,2,3 X Eaton Vance Corp. (EV) Common 278265103 1,904,387 60,746 X 1,2,3 X Edwards A G Inc. (AGE) Common 281760108 18,653,627 531,291 X 1,2,3 X Ethan Allen Interiors Inc. (ETH) Common 297602104 361,680 13,152 X 1,2,3 X Family Dollar Stores, Inc. (FDO) Common 307000109 309,050 11,230 X 1,2,3 X Fastenal Co (FAST) Common 311900104 1,473,902 25,867 X 1,2,3 X Federated Investors Inc. (FII) Common 314211103 13,432,599 453,804 X 1,2,3 X Fidelity National Financial Inc. (FNF) Common 316326107 25,812,714 959,938 X 1,2,3 X Fifth Third Bancorp (FITB) Common 316773100 5,754,958 93,607 X 1,2,3 X Financial Federal Corp. (FIF) Common 317492106 8,270,662 337,578 X 1,2,3 X Finova Corp. (FNV) Common 317928109 104,061 92,912 X 1,2,3 X First American Corp. (FAF) Common 318522307 2,852,739 140,876 X 1,2,3 X Fleetboston Financial Corp. (FBF) Common 339030108 13,033,984 354,666 X 1,2,3 X Franklin Resources Inc. (BEN) Common 354613101 2,223,942 64,146 X 1,2,3 X Freddie Mac (FRE) Common 313400301 20,043,205 308,357 X 1,2,3 X G&K Services Inc. (GKSRA) Common 361268105 1,106,179 41,664 X 1,2,3 X Gannett Inc. (GCI) Common 364730101 676,057 11,247 X 1,2,3 X Golden State Bancorp (GSB) Common 381197102 1,796,518 59,096 X 1,2,3 X Golden West Financial Corp. (GDW) Common 381317106 4,903,756 84,402 X 1,2,3 X Goldman Sachs & Co. (GS) Common 38141G104 1,506,769 21,118 X 1,2,3 X Household International (HI) Common 441815107 3,277,425 58,131 X 1,2,3 X IMC Mortgage Co. (IMCC) Common 449923101 689 229,516 X 1,2,3 X Interpublic Group Cos Inc. (IPG) Common 460690100 709,920 34,800 X 1,2,3 X Intimate Brands Inc. (IBI) Common 461156101 340,920 37,880 X 1,2,3 X JLG Industries Inc. (JLG) Common 466210101 1,227,889 134,049 X 1,2,3 X John Hancock & Thrift (BTO) Common 409735107 4,954,381 605,670 X 1,2,3 X John Nuveen Co. (JNC) Common 478035108 4,609,452 104,215 X 1,2,3 X Knight Trading Group Inc. (NITE) Common 499063105 469,855 60,941 X 1,2,3 X 5 Lehman Brothers Holdings, Inc. (LEH) Common 524908100 8,121,705 142,862 X 1,2,3 X Linens N Things Inc. (LIN) Common 535679104 217,089 11,684 X 1,2,3 X LNR Property Corp. (LNR) Common 501940100 8,690,741 290,175 X 1,2,3 X Lowe's Companies (LOW) Common 548661107 473,357 14,956 X 1,2,3 X M&T Bank Corporation (MTB) Common 55261F104 2,288,968 30,932 X 1,2,3 X Masco Corp. (MAS) Common 574599106 763,087 37,333 X 1,2,3 X MBNA Corp. (KRB) Common 55262L100 18,921,739 624,686 X 1,2,3 X McDonalds Corporation (MCD) Common 580135101 804,023 29,625 X 1,2,3 X Mellon Financial Corp. (MEL) Common 58551A108 12,350,316 382,008 X 1,2,3 X Merrill Lynch Co. (MER) Common 590188108 15,887,917 391,328 X 1,2,3 X Mohawk Inds. Inc. (MHK) Common 608190104 1,360,889 37,031 X 1,2,3 X Moody's Corp. (MCO) Common 615369105 15,471,624 418,152 X 1,2,3 X Morgan Stanley Dean Witter (MWD) Common 617446448 1,631,798 35,206 X 1,2,3 X Nasdaq 100 Financial Trust (QQQ) Common 631100104 231,869 8,001 X 1,2,3 X National City Corp. (NCC) Common 635405103 351,254 11,728 X 1,2,3 X Nationwide Financial Services (NFS) Common 638612101 4,798,637 129,065 X 1,2,3 X NCI Building Systems Inc. (NCS) Common 628852105 633,547 55,091 X 1,2,3 X Nextcard, Inc. (NXCD) Common 65332K107 227,708 35,747 X 1,2,3 X Northern Trust Corp. (NTRS) Common 665859104 4,322,725 82,369 X 1,2,3 X Paccar Inc. (PCAR) Common 693718108 636,683 12,975 X 1,2,3 X Pacific Capital Bancorp (SABB) Common 69404P101 1,607,433 55,486 X 1,2,3 X Plexus Corp. (PLXS) Common 729132100 403,595 17,116 X 1,2,3 X PNC Bancorp (PNC) Common 693475105 6,959,253 121,559 X 1,2,3 X Pro Business Services Inc. (PRBZ) Common 742674104 2,683,513 181,441 X 1,2,3 X Progressive Corp. (PGR) Common 743315103 2,853,141 21,308 X 1,2,3 X Providian Financial Corp. (PVN) Common 74406A102 7,021,973 348,485 X 1,2,3 X Raymond James Financial, Inc. (RJF) Common 754730109 9,532,446 351,103 X 1,2,3 X Ross Stores Inc. (ROST) Common 778296103 823,388 28,150 X 1,2,3 X 6 SEI Investments Company (SEIC) Common 784117103 2,672,896 83,528 X 1,2,3 X Southern Pacific Funding Corp. (SFCFQ) Common 843576109 650 162,529 X 1,2,3 X Southtrust Corp (SOTR) Common 844730101 6,278,355 246,500 X 1,2,3 X Sovereign Bancorp(SOV) Common 845905108 9,105,931 958,519 X 1,2,3 X State Street Corp. (STT) Common 857477103 14,483,515 318,319 X 1,2,3 X Summit Bancorp (SUB) Common 866005101 25,526,256 607,768 X 1,2,3 X TCF Financial Corp. (TCB) Common 872275102 3,292,875 71,491 X 1,2,3 X TD Waterhouse Group, Inc. (TWE) Common 872362108 962,752 156,800 X 1,2,3 X Tiffany & Co. (TIF) Common 886547108 1,298,567 59,980 X 1,2,3 X Toll Brothers Inc. (TOL) Common 889478103 28,281,741 953,210 X 1,2,3 X UnionBancal Corp. (UB) Common 908906100 1,653,727 48,869 X 1,2,3 X United Companies Financial Corp. (UCFNQ) Common 909870107 1,954 150,305 X 1,2,3 X United Parcel Service (UPS) Common 911312106 1,197,307 23,034 X 1,2,3 X US Bancorp (USB) Common 902973304 26,611,893 1,199,815 X 1,2,3 X Wachovia Corp. (WB) Common 929903102 2,051,022 66,162 X 1,2,3 X Washington Mutual (WM) Common 939322103 22,816,897 592,955 X 1,2,3 X Wells Fargo & Co (WFC) Common 949746101 34,682,424 780,257 X 1,2,3 X Westamerica Banc (WABC) Common 957090103 7,633,984 211,761 X 1,2,3 X Total $640,589,791
7 00705001.AR9