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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, 1999
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: Financial Stocks, Inc.
Address: 507 Carew Tower
441 Vine Street
Cincinnati, Ohio 45202
13F File Number: 28-6728
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: John M. Stein
Title: President
Phone: (513) 241-6166
Signature, Place, and Date of Signing:
/s/ John M. Stein Cincinnati, Ohio October 20, 1999
---------------------- ---------------- ----------------
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: N/A
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FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: -0-
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Form 13F Information Table Entry Total: 44
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Form 13F Information Table Value Total: $101,017
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(thousands)
List of Other Included Managers: None
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<TABLE>
<CAPTION>
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6
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Name of Issuer Title of Class CUSIP FMV (000's) Shares SH\PRN PUT\CALL Investment Dis
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<S> <C> <C> <C> <C> <C> <C> <C>
BankUnited Financial Corp-CL A Common 06652B103 $ 5,397 679,900 SH Sole
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Boston Private Financial Hldgs Inc. Common 101119105 $ 5,382 602,200 SH Sole
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First Citizens Bancshares Inc Common 31946M103 $ 6,528 85,050 SH Sole
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Financial Industries Corp Common 317574101 $ 964 98,890 SH Sole
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Hawthorne Financial Corp. Common 420542102 $ 3,830 286,354 SH Sole
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Intercontinental Life Corp Common 458593100 $ 1,370 136,950 SH Sole
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Independence Holding Co New Common 453440307 $ 121 10,295 SH Sole
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Life Financial Corp Common 53184P101 $ 2,340 613,825 SH Sole
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Local Financial Corp 144A Common 539553206 $ 2,636 285,000 SH Sole
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Local Financial Corp Common 539553305 $ 14,405 1,557,300 SH Sole
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Metrocorp Bancshares Inc. Common 591650106 $ 3,060 340,000 SH Sole
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Matrix Bancorp Inc. Common 576819106 $ 5,624 468,641 SH Sole
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Sterling Financial Corp-Wash Common 859319105 $ 3,362 251,330 SH Sole
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Abbott Labs Common 002814100 $ 822 22,400 SH Sole
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Abercrombie & Fitch Co Cl A Common 002896207 $ 95 2,802 SH Sole
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Argonaut Group Incorporated Common 040157109 $ 259 10,300 SH Sole
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Associates First Capital Corp Common 046008108 $ 226 6,290 SH Sole
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Bank One Corporation Common 06423A103 $ 1,420 40,793 SH Sole
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Bristol-Meyers Squibb Corp Common 110122108 $ 648 9,600 SH Sole
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Charter One Financial Inc. Common 160903100 $ 1,141 49,366 SH Sole
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Cincinnati Bell Incorporated Common 171870108 $ 323 16,600 SH Sole
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Cinergy Corporation Common 172474108 $ 408 14,400 SH Sole
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Convergys Corp. Common 212485106 $ 329 16,600 SH Sole
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Fifth Third Bancorp Common 3316773100 $ 1,561 25,650 SH Sole
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First Indiana Company Common 32054R108 $ 1,262 60,108 SH Sole
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Firstar Corporation Common 33763V109 $ 1,922 75,000 SH Sole
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Ford Motor Company Common 345370100 $ 603 12,000 SH Sole
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General Mills Incorporated Common 370334104 $ 1,217 15,000 SH Sole
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Miller Herman Incorporated Common 600544100 $ 2,869 120,000 SH Sole
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Keycorp Common 493267108 $ 671 26,000 SH Sole
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Eli Lilly & Company Common 532457108 $ 2,740 42,680 SH Sole
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Office Depot Incorporated Common 676220106 $ 394 37,500 SH Sole
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PNC Bank Corporation Common 693475105 $ 1,265 24,000 SH Sole
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Sears, Roebuck & Company Common 812387108 $ 386 12,300 SH Sole
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Too, Inc. Common 890333107 $ 263 14,642 SH Sole
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The Limited Incorporated Common 532716107 $ 3,921 102,500 SH Sole
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Unitrin Incorporated Common 913275103 $ 949 27,316 SH Sole
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Ventas Inc. Common 92276F100 $ 266 56,000 SH Sole
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X-Rite Inc. Common 983857103 $ 780 120,000 SH Sole
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Superior Financial Corp Common 86861100 $ 6,570 547,500 SH Sole
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East West Bancorp Common 27579R104 $ 1,484 125,000 SH Sole
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Gateway American Common 367569100 $ 956 150,000 SH Sole
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UCBH Holdings, Inc. Common 90262T100 $ 7,057 386,667 SH Sole
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UCBH Holdings, Inc. Common 90262T308 $ 3,194 175,000 SH Sole
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<CAPTION>
- -----------------------------------------------------------------------------------------
COLUMN 1 COLUMN 7 COLUMN 8
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Name of Issuer Oth Mgrs Sole Shared None
- -----------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
BankUnited Financial Corp-CL A 679,900 - -
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Boston Private Financial Hldgs Inc. 602,200 - -
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First Citizens Bancshares Inc 85,050 - -
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Financial Industries Corp 98,890 - -
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Hawthorne Financial Corp. 286,354 - -
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Intercontinental Life Corp 136,950 - -
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Independence Holding Co New 10,295 - -
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Life Financial Corp 613,825 - -
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Local Financial Corp 144A 285,000 - -
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Local Financial Corp 1,557,300 - -
- -----------------------------------------------------------------------------------------
Metrocorp Bancshares Inc. 340,000 - -
- -----------------------------------------------------------------------------------------
Matrix Bancorp Inc. 468,641 - -
- -----------------------------------------------------------------------------------------
Sterling Financial Corp-Wash 251,330 - -
- -----------------------------------------------------------------------------------------
Abbott Labs 22,400 - -
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Abercrombie & Fitch Co Cl A 2,802 - -
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Argonaut Group Incorporated 10,300 - -
- -----------------------------------------------------------------------------------------
Associates First Capital Corp 6,290 - -
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Bank One Corporation 40,793 - -
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Bristol-Meyers Squibb Corp 9,600 - -
- -----------------------------------------------------------------------------------------
Charter One Financial Inc. 49,366 - -
- -----------------------------------------------------------------------------------------
Cincinnati Bell Incorporated 16,600 - -
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Cinergy Corporation 14,400 - -
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Convergys Corp. 16,600 - -
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Fifth Third Bancorp 25,650 - -
- -----------------------------------------------------------------------------------------
First Indiana Company 60,108 - -
- -----------------------------------------------------------------------------------------
Firstar Corporation 75,000 - -
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Ford Motor Company 12,000 - -
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General Mills Incorporated 15,000 - -
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Miller Herman Incorporated 120,000 - -
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Keycorp 26,000 - -
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Eli Lilly & Company 42,680 - -
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Office Depot Incorporated 37,500 - -
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PNC Bank Corporation 24,000 - -
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Sears, Roebuck & Company 12,300 - -
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Too, Inc. 14,642 - -
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The Limited Incorporated 102,500 - -
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Unitrin Incorporated 27,316 - -
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Ventas Inc. 56,000 - -
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X-Rite Inc. 120,000 - -
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Superior Financial Corp 547,500 - -
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East West Bancorp 125,000 - -
- -----------------------------------------------------------------------------------------
Gateway American 150,000 - -
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UCBH Holdings, Inc. 386,667 - -
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UCBH Holdings, Inc. 175,000 - -
- -----------------------------------------------------------------------------------------
</TABLE>
