<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, 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 APRIL 10, 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 is 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: 52
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Form 13F Information Table Value Total: $99,917
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(thousands)
List of Other Included Managers: None
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<TABLE>
<CAPTION>
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>
BankUnited Financial Corp-CL A Common 06652B103 $ 358 51,100 SH
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Boston Private Financial Hldgs Inc. Common 101119105 $ 5,019 528,300 SH
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Capital One Financial Corp. Common 1404H105 $ 2,397 50,000 SH
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Charter One Financial Inc. Common 160903100 $ 1,050 50,000 SH
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Concord EFS Inc. Common 206197105 $ 1,835 80,000 SH
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Financial Industries Corp Common 317574101 $ 961 99,890 SH
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First Citizens Bancshares Inc Common 31946M103 $ 4,317 76,450 SH
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First Data Corp Common 319963104 $ 885 20,000 SH
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Golden State Bancorp Inc. Common 381197102 $ 1,770 118,500 SH
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Hawthorne Financial Corp. Common 420542102 $ 2,398 286,354 SH
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Intercontinental Life Corp Common 458593100 $ 1,380 137,950 SH
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Life Financial Corp Common 53184P101 $ 1,862 620,525 SH
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Local Financial Corp 144A Common 539553206 $ 2,440 285,000 SH
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Local Financial Corp Common 539553305 $ 13,334 1,557,300 SH
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Matrix Bancorp Inc. Common 576819106 $ 3,749 468,641 SH
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MBNA Corp. Common 55262L100 $ 510 20,000 SH
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Metrocorp Bancshares Inc. Common 591650106 $ 2,316 340,000 SH
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Nationwide Financial Common 638612101 $ 1,901 65,000 SH
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Sterling Financial Corp-Wash Common 859319105 $ 2,514 251,430 SH
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Zions Bancorporation Common 989701107 $ 208 5,000 SH
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Abbott Labs Common 002814100 $ 788 22,400 SH
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Abercrombie & Fitch Co Cl A Common 002896207 $ 45 2,802 SH
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Argonaut Group Incorporated Common 040157109 $ 206 10,300 SH
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Associates First Capital Corp Common 046008108 $ 135 6,290 SH
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Bank One Corporation Common 06423A103 $ 1,402 40,793 SH
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Bristol-Meyers Squibb Corp Common 110122108 $ 554 9,600 SH
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Charter One Financial Inc. Common 160903100 $ 1,089 51,834 SH
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Broadwing Common 111620100 $ 617 16,600 SH
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Cinergy Corporation Common 172474108 $ 310 14,400 SH
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Convergys Corp. Common 212485106 $ 641 16,600 SH
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Fifth Third Bancorp Common 3316773100 $ 1,616 25,650 SH
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First Indiana Company Common 32054R108 $ 1,108 60,108 SH
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Firstar Corporation Common 33763T104 $ 1,720 75,000 SH
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Ford Motor Company Common 345370100 $ 551 12,000 SH
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General Mills Incorporated Common 370334104 $ 1,086 30,000 SH
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Huntington Bancshares, Inc. Common 446150104 $ 2,116 94,567 SH
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Miller Herman Inc. Common 600544100 $ 3,353 120,000 SH
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Keycorp Common 493267108 $ 494 26,000 SH
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Eli Lilly & Company Common 532457108 $ 2,689 42,680 SH
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Office Depot Incorporated Common 676220106 $ 434 37,500 SH
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PNC Bank Corporation Common 693475105 $ 1,082 24,000 SH
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Sears, Roebuck & Company Common 812387108 $ 380 12,300 SH
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Too, Inc. Common 890333107 $ 462 14,642 SH
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The Limited Incorporated Common 532716107 $ 4,318 102,500 SH
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Unitrin Incorporated Common 913275103 $ 1,082 27,316 SH
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Ventas Inc. Common 92276F100 $ 186 56,000 SH
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X-Rite Inc. Common 983857103 $ 1,215 120,000 SH
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Superior Financial Corp Common 86861100 $ 5,201 547,500 SH
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East West Bancorp Common 27579R104 $ 1,383 125,000 SH
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Gateway American Common 367569100 $ 375 150,000 SH
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UCBH Holdings, Inc. Common 90262T100 $ 8,313 386,667 SH
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UCBH Holdings, Inc. Common 90262T308 $ 3,763 175,000 SH
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$ 99,917 7,567,489
</TABLE>
<TABLE>
<CAPTION>
COLUMN 1 COLUMN 6 COLUMN 7
- ------------------------------------------------------------------------------
Name of Issuer Investment Dis Oth Mgrs Sole
- ------------------------------------------------------------------------------
<S> <C> <C> <C>
BankUnited Financial Corp-CL A Sole 51,100
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Boston Private Financial Hldgs Inc. Sole 528,300
- ------------------------------------------------------------------------------
Capital One Financial Corp. Sole 50,000
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Charter One Financial Inc. Sole 50,000
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Concord EFS Inc. Sole 80,000
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Financial Industries Corp Sole 99,890
- ------------------------------------------------------------------------------
First Citizens Bancshares Inc Sole 76,450
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First Data Corp Sole 20,000
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Golden State Bancorp Inc. Sole 118,500
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Hawthorne Financial Corp. Sole 286,354
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Intercontinental Life Corp Sole 137,950
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Life Financial Corp Sole 620,525
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Local Financial Corp 144A Sole 285,000
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Local Financial Corp Sole 1,557,300
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Matrix Bancorp Inc. Sole 468,641
- ------------------------------------------------------------------------------
MBNA Corp. Sole 20,000
- ------------------------------------------------------------------------------
Metrocorp Bancshares Inc. Sole 340,000
- ------------------------------------------------------------------------------
Nationwide Financial Sole 65,000
- ------------------------------------------------------------------------------
Sterling Financial Corp-Wash Sole 251,430
- ------------------------------------------------------------------------------
Zions Bancorporation Sole 5,000
- ------------------------------------------------------------------------------
Abbott Labs Sole 22,400
- ------------------------------------------------------------------------------
Abercrombie & Fitch Co Cl A Sole 2,802
- ------------------------------------------------------------------------------
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
- ------------------------------------------------------------------------------
Bristol-Meyers Squibb Corp Sole 9,600
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Charter One Financial Inc. Sole 51,834
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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 25,650
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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 12,000
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General Mills Incorporated Sole 30,000
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Huntington Bancshares, Inc. Sole 94,567
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Miller Herman Inc. Sole 120,000
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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 102,500
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Unitrin Incorporated Sole 27,316
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Ventas Inc. Sole 56,000
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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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UCBH Holdings, Inc. Sole 386,667
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UCBH Holdings, Inc. Sole 175,000
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7,567,489
</TABLE>
