13F-HR 1 d585377.txt EMIGRANT BANCORP, INC. 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, 2006 --------------------------------- 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: Emigrant Bancorp, Inc. Address: 5 East 42nd Street New York, New York 10017 Form 13F File Number: 28-11281 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 R. Hart Title: Vice Chairman and Treasurer Phone: 212-850-4831 Signature, Place, and Date of Signing: /s/ John R. Hart New York, New York November 8, 2006 ----------------- -------------------- ------------------- [Signature] [City, State] [Date] 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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 3 ----------------- Form 13F Information Table Entry Total: 12 ----------------- Form 13F Information Table Value Total: 133,094 ----------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name ----- -------------------- ----------------------------------------- 1 28-11238 New York Private Bank & Trust Corporation 2 28-11216 Emigrant Bank 3 28-11294 Emigrant Agency, Inc. FORM 13F INFORMATION TABLE

~~FORM 13F INFORMATION TABLE 3~~9/3130/~~2005~~2006 COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 ------------------------------------------------------------------------------------------------------------------------- NAME OF ISSUER ~~CLASS~~TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT CLASS (X$1000) PRN AMT PRN CALL ~~American~~DISCRETION Express Co Common 025816109 14,024 273,000 SH Ballard Power Systems Inc Common 05858H104 801 155,000 SH Bank of America Corp Common 060505104 48,510 1,100,000 SH Bank of New York Co Inc/The Common 064057102 37,323 1,284,800 SH Capstone Turbine Corp Common 14067D102 1,115 719,400 SH Central Bancorp Inc/MA Common 152418109 $ 1,~~361~~461.66 5046,~~322~~818 SH ~~Citigroup~~Defined ~~Inc Common 172967101 37,076 825,000 SH~~ Dime Bancorp Inc New ~~Warrant~~Common 25429Q110 45$ 41.72 372,500 SH ~~JPMorgan~~Defined ~~Chase & Co Common 46625H100 38,060 1,100,000 SH~~ Mechanical Technology Inc Common 583538103 ~~760~~$ 319.92 172,000 SH ~~Microsoft~~Defined ~~Corp Common 594918104 1,209 50,000 SH~~ New York Community Bancorp Inc Common 649445103 17$ 15,~~119~~441.43 942,700 SH ~~North~~Defined ~~Fork~~Wachovia ~~Bancorporation Inc Common 659424105 13,870 500,000 SH Pfizer Inc Common 717081103 7,881 300,000 SH Regions Financial~~ Corp Common ~~7591EP100~~929903102 ~~3,240~~$ ~~100~~103,~~000~~315.49 ~~SH Wells Fargo & Co Common 949746101 11~~1,~~960 200~~851,~~000~~532 SH ~~-------------------------------------~~Defined ---------------------------------------------------------- American Express Co Common 025816109 37,346 727,000 SH Bank of America Corp Common 060505104 11,025 250,000 SH Bank of New York Co Inc/The Common 064057102 17,145 590,200 SH BankAtlantic Bancorp Inc Common 065908501 3,393 195,000 SH Bankunited Financial Corp Common 06652B103 5,909 220,000 SH Capstone Turbine Corp Common 14067D102 1,432 923,717 SH Citigroup Inc Common 172967101 21,347 475,000 SH Colonial BancGroup Inc/The Common 195493309 718 35,000 SH Fidelity Bankshares Inc Common 31604Q107 2,045 89,000 SH Fifth Third Bancorp Common 316773100 8,596 200,000 SH JPMorgan Chase & Co Common 46625H100 17,300 500,000 SH Mechanical Technology Inc Common 583538103 49 11,000 SH Merrill Lynch & Co Inc Common 590188108 5,660 100,000 SH Microsoft Corp Common 594918104 32,267 1,335,000 SH Morgan Stanley Common 617446448 8,588 150,000 SH People's Bank/Bridgeport CT Common 710198102 3,071 75,000 SH Pfizer Inc Common 717081103 5,254 200,000 SH Regions Financial Corp Common 7591EP100 6,480 200,000 SH Sovereign Bancorp Inc Common 845905108 4,432 200,000 SH TD Banknorth Inc Common 87235A101 937 30,000 SH 3M Co Common 88579Y101 10,283 120,000 SH Tiffany & Co Common 886547108 3,452 100,000 SH Wells Fargo & Co Common 949746101 8,970 150,000 SH ------------------------------------- --------------------------~~--------------------------------~~ ~~Bank~~BankAtlantic ~~of America Corp Common 060505104 5,623 127,500 SH Bank of New York Co Inc/The Common 064057102 4,334 149,200 SH Citigroup Inc Common 172967101 4,885 108,700 SH Dime~~ Bancorp Inc ~~New~~ Common ~~25429Q110~~065908501 6$ 502,~~000~~772.90 ~~SH First Niagara Financial Group Inc Common 33582V108 396 30~~195,000 SH ~~Lev~~Defined ~~Pharmaceuticals~~Fifth ~~Inc~~Third ~~Common~~Bancorp ~~52730C101 15 9,600 SH JPMorgan Chase & Co~~ Common ~~46625H100~~316773100 ~~4,834~~$ ~~139~~5,~~700~~616.80 ~~SH Keycorp Common 493267108 811 25~~147,~~000~~500 SH ~~Merck~~Defined &Mechanical CoTechnology Inc Common ~~589331107~~583538103 ~~486~~$ ~~15,000~~20.46 ~~SH Microsoft Corp Common 594918104 1~~11,~~209 50,~~000 SH ~~National~~Defined ~~City~~Wachovia Corp Common ~~635405103~~929903102 ~~335~~$ 103,~~000~~542.30 ~~SH Regions Financial Corp Common 7591EP100 1~~63,~~069~~482 ~~33,000~~ SH Wells Fargo & Co Common 949746101 1,017 17,000 SH 475,072 FORM 13F INFORMATION TABLE 3/31/2005 COLUMN 1 COLUMN 6 COLUMN 7 COLUMN 8 -------------------------------------------------------------------------------------------- NAME OF ISSUER INVESTMENT OTHER VOTING DISCRETION MANAGERS SOLE SHARED NONE American Express Co Defined 1,2,3 X Ballard Power Systems Inc Defined 1,2,3 X Bank of America Corp Defined 1,2,3 X Bank of New York Co Inc/The Defined 1,2,3 X Capstone Turbine Corp Defined 1,2,3 X Central Bancorp Inc/MA Defined 1,2,3 X Citigroup Inc Defined 1,2,3 X Dime Bancorp Inc New Defined 1,2,3 X JPMorgan Chase & Co Defined 1,2,3 X Mechanical Technology Inc Defined 1,2,3 X Microsoft Corp Defined 1,2,3 X New York Community Bancorp Inc Defined 1,2,3 X North Fork Bancorporation Inc Defined 1,2,3 X Pfizer Inc Defined 1,2,3 X Regions Financial Corp Defined 1,2,3 X Wells Fargo & Co Defined 1,2,3 X ------------------------------------ ------------------------------------------ American Express Co Defined 1,2 X Bank of America Corp Defined 1,2 X Bank of New York Co Inc/The Defined 1,2 X BankAtlantic Bancorp Inc Defined 1,2 X Bankunited Financial Corp Defined 1,2 X Capstone Turbine Corp Defined 1,2 X Citigroup Inc Defined 1,2 X Colonial BancGroup Inc/The Defined 1,2 X Fidelity Bankshares Inc Defined 1,2 X Fifth Third Bancorp Defined 1,2 X JPMorgan Chase & Co Defined 1,2 X Mechanical Technology Inc Defined 1,2 X Merrill Lynch & Co Inc Defined 1,2 X Microsoft Corp Defined 1,2 X Morgan Stanley Defined 1,2 X People's Bank/Bridgeport CT Defined 1,2 X Pfizer Inc Defined 1,2 X Regions Financial Corp Defined 1,2 X Sovereign Bancorp Inc Defined 1,2 X TD Banknorth Inc Defined 1,2 X 3M Co Defined 1,2 X Tiffany & Co Defined 1,2 X Wells Fargo & Co Defined 1,2 X ------------------------------------ -------~~-----------------------------------~~ ~~Bank of America Corp Defined 1 X Bank of New York Co Inc/The Defined 1 X Citigroup Inc Defined 1 X~~ Dime Bancorp Inc New ~~Defined~~Common 125429Q110 X$ ~~First~~5.60 ~~Niagara~~50,000 ~~Financial~~SH ~~Group Inc~~ Defined ~~1 X~~ Lev Pharmaceuticals Inc ~~Defined~~Common 152730C101 X$ ~~JPMorgan~~8.64 ~~Chase~~9,600 &SH Co Defined ~~1 X Keycorp Defined 1 X Merck & Co Inc Defined 1 X~~ Microsoft ~~Corp~~Common ~~Defined~~594918104 1$ X547.00 ~~National~~20,000 ~~City~~SH ~~Corp~~ Defined ~~1 X Regions Financial Corp Defined 1 X Wells Fargo & Co Defined 1 X~~

Column 7 Other managers: 1 28-11238 New York Private Bank & Trust Corporation 2 28-11216 Emigrant Bank 3 28-11294 Emigrant Agency, Inc.

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