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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, 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: Steven N. Stein
Title: Chief Executive Officer
Phone: (513) 241-6166
Signature, Place, and Date of Signing:
/s/Steven N. Stein Cincinnati, Ohio October 13, 2000
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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: 61
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Form 13F Information Table Value Total: $121,256
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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
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Name of Issuer Title of Class CUSIP FMV (000's) Shares SH\PRN PUT\ CALL
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<S> <C> <C> <C> <C> <C> <C>
BankUnited Financial Corp-CL A Common 06652B103 $ 384 52,100 SH
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Bear Stearns Cos Common 73902108 $ 945 15,000 SH
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Berkshire Hathaway Common 84670108 $ 1,288 20 SH
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Century Bancorp Common 156433104 $ 290 20,000 SH
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Charles Schwab Corp Common 808513105 $ 1,065 30,000 SH
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Financial Industries Corp Common 317574101 $ 900 99,990 SH
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First Citizens Bancshares Inc Common 31946M103 $ 4,612 64,450 SH
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First Data Corp Common 319963104 $ 1,563 40,000 SH
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First Republic Bank Common 336158100 $ 1,208 40,100 SH
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First State Bancorporation Common 336453105 $ 37 3,000 SH
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Hawthorne Financial Corp. Common 420542102 $ 3,400 286,354 SH
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Iberiabank Corp Common 450828108 $ 183 10,000 SH
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Intercontinental Life Corp Common 458593100 $ 780 79,950 SH
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JP Morgan & Co. Common 616880100 $ 3,104 19,000 SH
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JP Morgan & Co. Calls 616880900 $ 7,352 45,000 SH
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Life Financial Corp Common 53184P101 $ 1,824 621,025 SH
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Local Financial Corp Common 539553107 $ 17,502 1,842,300 SH
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Matrix Bancorp Inc. Common 576819106 $ 3,506 442,141 SH
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Mercantile Bankshares Corp Common 587405101 $ 1,198 33,000 SH
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Metrocorp Bancshares Inc. Common 591650106 $ 3,188 340,000 SH
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Mississippi Valley Bancshares Common 605270101 $ 168 6,500 SH
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National Commerce Bancorp Common 635449101 $ 1,196 60,000 SH
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Rebublic Security Corp Common 760758102 $ 99 20,000 SH
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Sterling Financial Corp-Wash Common 859319105 $ 3,070 269,930 SH
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Sungard Data Systems Common 867363103 $ 1,100 25,700 SH
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UnionBancal Corp Common 908906100 $ 3,497 150,000 SH
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Washington Mutual Common 939322103 $ 2,389 60,000 SH
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Abbott Labs Common 002814100 $ 1,065 22,400 SH
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Abercrombie & Fitch Co Cl A Common 002896207 $ 53 2,802 SH
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Argonaut Group Incorporated Common 040157109 $ 180 10,300 SH
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Associates First Capital Corp Common 046008108 $ 239 6,290 SH
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Bank One Corporation Common 06423A103 $ 1,576 40,793 SH
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Bristol-Meyers Squibb Corp Common 110122108 $ 548 9,600 SH
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Charter One Financial Inc. Common 160903100 $ 1,327 54,425 SH
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Broadwing Common 111620100 $ 424 16,600 SH
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Cinergy Corporation Common 172474108 $ 476 14,400 SH
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Convergys Corp. Common 212485106 $ 645 16,600 SH
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Fifth Third Bancorp Common 3316773100 $ 2,070 38,475 SH
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First Indiana Company Common 32054R108 $ 1,506 60,108 SH
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Firstar Corporation Common 33763T104 $ 1,678 75,000 SH
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Ford Motor Company Common 345370100 $ 531 20,978 SH
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General Mills Incorporated Common 370334104 $ 1,065 30,000 SH
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Huntington Bancshares, Inc. Common 446150104 $ 1,528 104,023 SH
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Miller Herman Inc. Common 600544100 $ 3,848 120,000 SH
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</TABLE>
<TABLE>
<CAPTION>
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COLUMN 1 COLUMN 6 COLUMN 7 COLUMN 8
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Name of Issuer Investment Dis Oth Mgrs Sole Shared None
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<S> <C> <C> <C> <C> <C>
BankUnited Financial Corp-CL A Sole 52,100 - -
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Bear Stearns Cos Sole 15,000 - -
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Berkshire Hathaway Sole 20 - -
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Century Bancorp Sole 20,000 - -
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Charles Schwab Corp Sole 30,000 - -
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Financial Industries Corp Sole 99,990 - -
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First Citizens Bancshares Inc Sole 64,450 - -
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First Data Corp Sole 40,000 - -
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First Republic Bank Sole 40,100 - -
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First State Bancorporation Sole 3,000 - -
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Hawthorne Financial Corp. Sole 286,354 - -
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Iberiabank Corp Sole 10,000 - -
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Intercontinental Life Corp Sole 79,950 - -
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JP Morgan & Co. Sole 19,000 - -
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JP Morgan & Co. Sole 45,000 - -
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Life Financial Corp Sole 621,025 - -
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Local Financial Corp Sole 1,842,300 - -
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Matrix Bancorp Inc. Sole 442,141 - -
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Mercantile Bankshares Corp Sole 33,000 - -
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Metrocorp Bancshares Inc. Sole 340,000 - -
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Mississippi Valley Bancshares Sole 6,500 - -
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National Commerce Bancorp Sole 60,000 - -
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Rebublic Security Corp Sole 20,000 - -
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Sterling Financial Corp-Wash Sole 269,930 - -
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Sungard Data Systems Sole 25,700 - -
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UnionBancal Corp Sole 150,000 - -
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Washington Mutual Sole 60,000 - -
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Abbott Labs Sole 22,400 - -
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Abercrombie & Fitch Co Cl A Sole 2,802 - -
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Argonaut Group Incorporated Sole 10,300 - -
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Associates First Capital Corp Sole 6,290 - -
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Bank One Corporation Sole 40,793 - -
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Bristol-Meyers Squibb Corp Sole 9,600 - -
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Charter One Financial Inc. Sole 54,425 - -
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Broadwing Sole 16,600 - -
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Cinergy Corporation Sole 14,400 - -
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Convergys Corp. Sole 16,600 - -
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Fifth Third Bancorp Sole 38,475 - -
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First Indiana Company Sole 60,108 - -
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Firstar Corporation Sole 75,000 - -
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Ford Motor Company Sole 20,978 - -
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General Mills Incorporated Sole 30,000 - -
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Huntington Bancshares, Inc. Sole 104,023 - -
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Miller Herman Inc. Sole 120,000 - -
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</TABLE>
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<TABLE>
<CAPTION>
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5
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Name of Issuer Title of Class CUSIP FMV (000's) Shares SH\PRN PUT\ CALL
<S> <C> <C> <C> <C> <C> <C>
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Keycorp Common 493267108 $ 658 26,000 SH
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Eli Lilly & Company Common 532457108 $ 3,462 42,680 SH
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Office Depot Incorporated Common 676220106 $ 293 37,500 SH
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PNC Bank Corporation Common 693475105 $ 1,560 24,000 SH
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Sears, Roebuck & Company Common 812387108 $ 399 12,300 SH
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Too, Inc. Common 890333107 $ 348 14,642 SH
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The Limited Incorporated Common 532716107 $ 4,523 205,000 SH
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Unitrin Incorporated Common 913275103 $ 864 27,316 SH
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Ventas Inc. Common 92276F100 $ 280 56,000 SH
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Visteon Corp Common 92839U107 $ 24 1,571 SH
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X-Rite Inc. Common 983857103 $ 1,043 120,000 SH
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Superior Financial Corp Common 86861100 $ 6,023 547,500 SH
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East West Bancorp Common 27579R104 $ 1,798 125,000 SH
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Gateway American Common 367569100 $ 347 150,000 SH
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Online Resources & Com. Corp. Common 68273G101 $ 38 10,000 SH
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UCBH Holdings, Inc. Common 90262T100 $ 10,320 386,667 SH
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UCBH Holdings, Inc. Common 90262T308 $ 4,671 175,000 SH
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$ 121,256 7,279,530
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</TABLE>
<TABLE>
<CAPTION>
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COLUMN 1 COLUMN 6 COLUMN 7 COLUMN 8
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Name of Issuer Investment Dis Oth Mgrs Sole Shared None
<S> <C> <C> <C> <C> <C>
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Keycorp Sole 26,000 - -
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Eli Lilly & Company Sole 42,680 - -
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Office Depot Incorporated Sole 37,500 - -
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PNC Bank Corporation Sole 24,000 - -
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Sears, Roebuck & Company Sole 12,300 - -
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Too, Inc. Sole 14,642 - -
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The Limited Incorporated Sole 205,000 - -
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Unitrin Incorporated Sole 27,316 - -
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Ventas Inc. Sole 56,000 - -
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Visteon Corp Sole 1,571 - -
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X-Rite Inc. Sole 120,000 - -
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Superior Financial Corp Sole 547,500 - -
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East West Bancorp Sole 125,000 - -
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Gateway American Sole 150,000 - -
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Online Resources & Com. Corp. Sole 10,000 - -
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UCBH Holdings, Inc. Sole 386,667 - -
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UCBH Holdings, Inc. Sole 175,000 - -
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7,279,530 - -
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</TABLE>
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