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Previous: SENECA CAPITAL ADVISORS LLC, 13F-HR, 1999-05-06 |
Next: NATIONWIDE VLI SEPARATE ACCOUNT 4, 497J, 1999-05-06 |
<PAGE> 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 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: Steven N. Stein
Title: Chairman and Chief Executive Officer
Phone: (513) 241-6166
Signature, Place, and Date of Signing:
/s/ Steven N. Stein Cincinnati, Ohio May 4, 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
-1-
<PAGE> 2
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: -0-
----
Form 13F Information Table Entry Total: 56
---
Form 13F Information Table Value Total: $125,298
--------
(thousands)
List of Other Included Managers: None
-2-
<PAGE> 3
<TABLE>
<CAPTION>
- ---------------------------------- -------------- ----------- ----------- --------------------------------
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------- -------------- ----------- ----------- --------------------------------
Name of Issuer Title of Class CUSIP FMV (000's) Shares SH\PRN PUT\ CALL
<S> <C> <C> <C> <C> <C> <C>
BankUnited Financial Corp-CL A Common 06652B103 $ 5,241 735,600 SH
Boston Private Financial Hldgs Inc. Common 101119105 $ 4,440 602,000 SH
First American Call 318522907 $ 996 27,000 SH Call
First American Call 318522907 $ 7,375 200,000 SH Call
First Citizens Bancshares Inc Common 31946M103 $ 8,222 102,450 SH
Financial Industries Corp Common 317574101 $ 1,115 92,890 SH
Golden State Bancorp Inc Common 381197102 $ 2,893 130,000 SH
WTS Golden State Bancorp Inc. WTS exp 000000 381197136 $ 354 73,100 WTS
Greenpoint Financial Corp. RSTD Common 9380460 $ 3,475 100,000 SH
Hawthorne Financial Corp. Common 420542102 $ 4,294 286,254 SH
Huntington Bancshares Call 446150904 $ 3,094 100,000 SH Call
Intercontinental Life Corp Common 458593100 $ 1,029 123,750 SH
Independence Holding Co New Common 453440307 $ 133 10,295 SH
Life Financial Corp Common 53184P101 $ 1,911 611,425 SH
Lincoln Bancorp-Ind Common 532879103 $ 1,521 145,700 SH
Local Financial Corp 144A Common 539553206 $ 2,654 285,000 SH
Local Financial Corp Common 539553305 $ 14,502 1,557,300 SH
Metrocorp Bancshares Inc. Common 591650106 $ 3,294 340,000 SH
Matrix Bancorp Inc. Common 576819106 $ 5,623 459,041 SH
Northrim Bank-Anchorage Alaska Common 666764105 $ 598 50,923 SH
Prime Bancshares Inc-Tex Common 74157H108 $ 1,029 72,500 SH
Sterling Financial Corp-Wash Common 859319105 $ 3,707 239,130 SH
UNICO American Corp Common 904607108 $ 132 13,000 SH
UST Corp Common 91288L105 $ 1,841 84,300 SH
USA Bancshares Inc PA RSTD Common 917289100 $ 1,052 127,525 SH
Abbott Labs Common 002814100 $ 1,049 22,400 SH
Abercrombie & Fitch Co Cl A Common 002896207 $ 129 1,401 SH
Argonaut Group Incorporated Common 040157109 $ 265 10,300 SH
Associates First Capital Corp Common 046008108 $ 283 6,290 SH
Bank One Corporation Common 06423A103 $ 2,246 40,793 SH
Bristol-Meyers Squibb Corp Common 110122108 $ 616 9,600 SH
Charter One Financial Inc. Common 160903100 $ 1,425 49,366 SH
Cincinnati Bell Incorporated Common 171870108 $ 372 16,600 SH
Cinergy Corporation Common 172474108 $ 396 14,400 SH
Convergys Corp. Common 212485106 $ 284 16,600 SH
Fifth Third Bancorp Common 316773100 $ 1,691 25,650 SH
First Indiana Company Common 32054R108 $ 1,142 60,108 SH
Firstar Corporation Common 33763T104 $ 2,238 25,000 SH
Ford Motor Company Common 345370100 $ 680 12,000 SH
General Mills Incorporated Common 370334104 $ 1,133 15,000 SH
Miller Herman Incorporated Common 600544100 $ 2,190 120,000 SH
Huntington Bancshares Common 446150104 $ 2,660 85,970 SH
Keycorp Common 493267108 $ 788 26,000 SH
<CAPTION>
- ---------------------------------- -------------- ----------- -------------------------------------------
COLUMN 1 COLUMN 6 COLUMN 7 COLUMN 8
- ---------------------------------- -------------- ----------- -------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
Name of Issuer Investment Dis Oth Mgrs Sole Shared None
BankUnited Financial Corp-CL A Sole 735,600 - -
Boston Private Financial Hldgs Inc. Sole 602,000 - -
First American Sole 27,000 - -
First American Sole 200,000 - -
First Citizens Bancshares Inc Sole 102,450 - -
Financial Industries Corp Sole 92,890 - -
Golden State Bancorp Inc Sole 130,000 - -
WTS Golden State Bancorp Inc. Sole 73,100 - -
Greenpoint Financial Corp. RSTD Sole 100,000 - -
Hawthorne Financial Corp. Sole 286,254 - -
Huntington Bancshares Sole 100,000 - -
Intercontinental Life Corp Sole 123,750 - -
Independence Holding Co New Sole 10,295 - -
Life Financial Corp Sole 611,425 - -
Lincoln Bancorp-Ind Sole 145,700 - -
Local Financial Corp 144A Sole 285,000 - -
Local Financial Corp Sole 1,557,300 - -
Metrocorp Bancshares Inc. Sole 340,000 - -
Matrix Bancorp Inc. Sole 459,041 - -
Northrim Bank-Anchorage Alaska Sole 50,923 - -
Prime Bancshares Inc-Tex Sole 72,500 -
Sterling Financial Corp-Wash Sole 239,130 - -
UNICO American Corp Sole 13,000 - -
UST Corp Sole 84,300 - -
USA Bancshares Inc PA RSTD Sole 127,525 - -
Abbott Labs Sole 22,400 - -
Abercrombie & Fitch Co Cl A Sole 1,401 - -
Argonaut Group Incorporated Sole 10,300 - -
Associates First Capital Corp Sole 6,290 - -
Bank One Corporation Sole 40,793 - -
Bristol-Meyers Squibb Corp Sole 9,600 - -
Charter One Financial Inc. Sole 49,366 - -
Cincinnati Bell Incorporated Sole 16,600 - -
Cinergy Corporation Sole 14,400 - -
Convergys Corp. Sole 16,600 - -
Fifth Third Bancorp Sole 25,650 - -
First Indiana Company Sole 60,108 - -
Firstar Corporation Sole 25,000 - -
Ford Motor Company Sole 12,000 - -
General Mills Incorporated Sole 15,000 - -
Miller Herman Incorporated Sole 120,000 - -
Huntington Bancshares Sole 85,970 - -
Keycorp Sole 26,000 - -
</TABLE>
<PAGE> 4
<TABLE>
<CAPTION>
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------- -------------- ----------- ----------- --------------------------------
Name of Issuer Title of Class CUSIP FMV (000's) Shares SH\PRN PUT\ CALL
- ---------------------------------- -------------- ----------- ----------- --------------------------------
<S> <C> <C> <C> <C> <C>
Eli Lilly & Company Common 532457108 $ 3,622 42,680 SH
Office Depot Incorporated Common 676220106 $ 936 25,000 SH
PNC Bank Corporation Common 693475105 $ 1,334 24,000 SH
Sears, Roebuck & Company Common 812387108 $ 556 12,300 SH
The Limited Incorporated Common 532716107 $ 4,062 102,500 SH
Unitrin Incorporated Common 913275103 $ 854 27,316 SH
Ventas Inc. Common 92276F100 $ 336 56,000 SH
X-Rite Inc. Common 983857103 $ 780 120,000 SH
Superior Financial Corp Common 86861100 $ 3,008 312,500 SH
East West Bancorp Common 27579R104 $ 1,117 125,000 SH
Gateway American Common 367569100 $ 863 150,000 SH
UCBH Holdings, Inc. Common 90262T100 $ 5,317 386,667 SH
UCBH Holdings, Inc. Common 90262T308 $ 2,406 175,000 SH
<CAPTION>
COLUMN 1 COLUMN 6 COLUMN 7 COLUMN 8
- ---------------------------------- -------------- ----------- -------------------------------------------
Name of Issuer Investment Dis Oth Mgrs Sole Shared None
- ---------------------------------- -------------- ----------- -------------------------------------------
<S> <C> <C> <C> <C>
Eli Lilly & Company Sole 42,680 - -
Office Depot Incorporated Sole 25,000 - -
PNC Bank Corporation Sole 24,000 - -
Sears, Roebuck & Company Sole 12,300 - -
The Limited Incorporated Sole 102,500 - -
Unitrin Incorporated Sole 27,316 - -
Ventas Inc. Sole 56,000 - -
X-Rite Inc. Sole 120,000 - -
Superior Financial Corp Sole 312,500 - -
East West Bancorp Sole 125,000 - -
Gateway American Sole 150,000 - -
UCBH Holdings, Inc. Sole 386,667 - -
UCBH Holdings, Inc. Sole 175,000 - -
</TABLE>
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