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Previous: TRICON GLOBAL RESTAURANTS INC, 10-Q, EX-27, 2000-07-25 |
Next: ISI STRATEGY FUND INC, N-30D, 2000-07-25 |
<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: June 30, 2000
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 July 19, 2000
--------------------- ---------------- -------------
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: 52
--------
Form 13F Information Table Value Total: $100,311
--------
(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>
Aetna Inc. Common 8117103 $ 642 10,000 SH
BankUnited Financial Corp-CL A Common 06652B103 $ 378 52,100 SH
Boston Private Financial Hldgs Inc. Common 101119105 $ 4,533 453,300 SH
Chase Manhattan Common 16161A108 $ 1,497 32,500 SH
Financial Industries Corp Common 317574101 $ 812 99,990 SH
First Citizens Bancshares Inc Common 31946M103 $ 3,817 64,550 SH
Hawthorne Financial Corp. Common 420542102 $ 2,219 286,354 SH
Intercontinental Life Corp Common 458593100 $ 680 79,950 SH
Jefferson Pilot Corp Common 475070108 $ 903 16,000 SH
Life Financial Corp Common 53184P101 $ 2,406 621,025 SH
Local Financial Corp Common 539553107 $15,372 1,842,300 SH
Matrix Bancorp Inc. Common 576819106 $ 3,238 479,641 SH
Metrocorp Bancshares Inc. Common 591650106 $ 2,338 340,000 SH
PMI Group Inc. Common 69344M101 $ 95 2,000 SH
Providian Financial Corp Common 74406A102 $ 990 11,000 SH
Sterling Financial Corp-Wash Common 859319105 $ 2,989 259,930 SH
Trenwick Group Common 895290104 $ 183 12,600 SH
UnionBancal Corp Common 908906100 $ 1,856 100,000 SH
Washington Mutual Common 939322103 $ 3,465 120,000 SH
Abbott Labs Common 002814100 $ 998 22,400 SH
Abercrombie & Fitch Co Cl A Common 002896207 $ 34 2,802 SH
Argonaut Group Incorporated Common 040157109 $ 176 10,300 SH
Associates First Capital Corp Common 046008108 $ 140 6,290 SH
Bank One Corporation Common 06423A103 $ 1,083 40,793 SH
Bristol-Meyers Squibb Corp Common 110122108 $ 559 9,600 SH
Charter One Financial Inc. Common 160903100 $ 1,192 51,834 SH
Broadwing Common 111620100 $ 431 16,600 SH
Cinergy Corporation Common 172474108 $ 366 14,400 SH
Convergys Corp. Common 212485106 $ 861 16,600 SH
Fifth Third Bancorp Common 3316773100 $ 1,622 25,650 SH
First Indiana Company Common 32054R108 $ 1,142 60,108 SH
Firstar Corporation Common 33763T104 $ 1,580 75,000 SH
Ford Motor Company Common 345370100 $ 516 12,000 SH
</TABLE>
<TABLE>
<CAPTION>
COLUMN 6 COLUMN 7 COLUMN 8
Investment Dis Oth Mgrs Sole Shared None
-------------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C>
Aetna Inc. Sole 10,000 -- --
BankUnited Financial Corp-CL A Sole 52,100 -- --
Boston Private Financial Hldgs Inc. Sole 453,300 -- --
Chase Manhattan Sole 32,500 -- --
Financial Industries Corp Sole 99,990 -- --
First Citizens Bancshares Inc Sole 64,550 -- --
Hawthorne Financial Corp. Sole 286,354 -- --
Intercontinental Life Corp Sole 79,950 -- --
Jefferson Pilot Corp Sole 16,000 -- --
Life Financial Corp Sole 621,025 -- --
Local Financial Corp Sole 1,842,300 -- --
Matrix Bancorp Inc. Sole 479,641 -- --
Metrocorp Bancshares Inc. Sole 340,000 -- --
PMI Group Inc. Sole 2,000 -- --
Providian Financial Corp Sole 11,000 -- --
Sterling Financial Corp-Wash Sole 259,930 -- --
Trenwick Group Sole 12,600 -- --
UnionBancal Corp Sole 100,000 -- --
Washington Mutual Sole 120,000 -- --
Abbott Labs Sole 22,400 -- --
Abercrombie & Fitch Co Cl A Sole 2,802 -- --
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 51,834 -- --
Broadwing 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 75,000 -- --
Ford Motor Company Sole 12,000 -- --
</TABLE>
<PAGE> 4
<TABLE>
<S> <C> <C> <C> <C> <C>
General Mills Incorporated Common 370334104 $ 1,148 30,000 SH
Huntington Bancshares, Inc. Common 446150104 $ 1,495 94,567 SH
Miller Herman Inc. Common 600544100 $ 3,097 120,000 SH
Keycorp Common 493267108 $ 458 26,000 SH
Eli Lilly & Company Common 532457108 $ 4,263 42,680 SH
Office Depot Incorporated Common 676220106 $ 234 37,500 SH
PNC Bank Corporation Common 693475105 $ 1,125 24,000 SH
Sears, Roebuck & Company Common 812387108 $ 401 12,300 SH
Too, Inc. Common 890333107 $ 372 14,642 SH
The Limited Incorporated Common 532716107 $ 4,434 205,000 SH
Unitrin Incorporated Common 913275103 $ 803 27,316 SH
Ventas Inc. Common 92276F100 $ 179 56,000 SH
Visteon Corp Common 92839U107 $ 19 1,571 SH
X-Rite Inc. Common 983857103 $ 1,096 120,000 SH
Superior Financial Corp Common 86861100 $ 5,579 547,500 SH
East West Bancorp Common 27579R104 $ 1,798 125,000 SH
Gateway American Common 367569100 $ 347 150,000 SH
UCBH Holdings, Inc. Common 90262T100 $10,320 386,667 SH
UCBH Holdings, Inc. Common 90262T308 $ 4,671 175,000 SH
</TABLE>
<TABLE>
<S> <C> <C> <C> <C> <C>
General Mills Incorporated Sole 30,000 -- --
Huntington Bancshares, Inc. Sole 94,567 -- --
Miller Herman Inc. Sole 120,000 -- --
Keycorp Sole 26,000 -- --
Eli Lilly & Company Sole 42,680 -- --
Office Depot Incorporated Sole 37,500 -- --
PNC Bank Corporation Sole 24,000 -- --
Sears, Roebuck & Company Sole 12,300 -- --
Too, Inc. Sole 14,642 -- --
The Limited Incorporated Sole 205,000 -- --
Unitrin Incorporated Sole 27,316 -- --
Ventas Inc. Sole 56,000 -- --
Visteon Corp Sole 1,571 -- --
X-Rite Inc. Sole 120,000 -- --
Superior Financial Corp Sole 547,500 -- --
East West Bancorp Sole 125,000 -- --
Gateway American Sole 150,000 -- --
UCBH Holdings, Inc. Sole 386,667 -- --
UCBH Holdings, Inc. Sole 175,000 -- --
7,433,360 -- --
</TABLE>
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