|
SCHEDULE 13G
|
| CUSIP No.: 146875109 |
Page 2 of 5 Pages
|
|
1.
|
Names of Reporting Persons.
KEEFE, BRUYETTE & WOODS, INC.
|
|
|
2.
|
Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [ ]
|
|
|
3.
|
SEC Use Only
|
|
|
4.
|
Citizenship or Place of Organization
NEW YORK
|
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
5. Sole Voting Power
|
143,600
|
|
6. Shared Voting Power
|
0
|
|
|
7. Sole Dispositive Power
|
143,600
|
|
|
8. Shared Dispositive Power
|
0
|
|
|
9.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
143,600
|
|
|
10.
|
Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[ ]
|
|
|
11.
|
Percent of Class Represented by Amount in Row (9)
5.8%
|
|
|
12.
|
Type of Reporting Person:
BD
|
|
|
Page 3 of 5 Pages
|
|
Item 1(a).
|
Name of Issuer
Carver Bancorp, Inc. (the "Issuer")
|
|
Item 1(b).
|
Address of Issuer's Principal Executive Offices
75 West 125th Street, New York, New York 10027
|
|
Item 2(a).
|
Name of Person Filing
|
|
This Statement is filed on behalf of Keefe, Bruyette & Woods, Inc. (the "Reporting Person")
|
|
|
Item 2(b).
|
Address of Principal Business Office or, if None, Residence
787 Seventh Avenue, 4th Floor, New York, New York 10019
|
|
Item 2(c).
|
Citizenship
New York
|
|
Item 2(d).
|
Title of Class of Securities
Common Stock, par value $0.01 (the "Shares")
|
|
Item 2(e).
|
CUSIP Number
146875109
|
|
Item 3.
|
If This Statement is Filed Pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c),
Check Whether the Person Filing is a:
|
|
(a) [X] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
|
|
|
Item 4.
|
Ownership.
|
|
Item 4(a).
|
Amount Beneficially Owned
|
| As of December 31, 2010, the Reporting Person may be deemed to be the beneficial owner of 143,600 Shares. | |
|
|
|
|
Page 4 of 5 Pages
|
|
|
|
|
Item 4(b).
|
Percent of Class
|
| The Reporting Person may be deemed the beneficial owner of approximately 5.8% of Shares outstanding. (There were 2,484,285 Shares outstanding as of October 26, 2010, according to the Issuer's quarterly report on Form 10-Q, filed on November 15, 2010.) | |
|
|
|
|
Item 4(c).
|
Number of Shares as to which such person has:
|
| Keefe, Bruyette & Woods, Inc. | |
|
(i) Sole power to vote or direct the vote:
|
143,600 | ||
|
(ii) Shared power to vote or direct the vote:
|
0 | ||
| (iii) Sole power to dispose or direct the disposition of: | 143,600 | ||
| (iv) Shared power to dispose or direct the disposition of: | 0 | ||
|
Item 5.
|
Ownership of Five Percent or Less of a Class
This Item 5 is not applicable.
|
|
Item 6.
|
Ownership of More than Five Percent on Behalf of Another Person
This Item 6 is not applicable.
|
|
Item 7.
|
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
This Item 7 is not applicable.
|
|
Item 8.
|
Identification and Classification of Members of the Group
This Item 8 is not applicable.
|
|
Item 9.
|
Notice of Dissolution of Group
This Item 9 is not applicable.
|
|
Item 10.
|
Certification
|
| By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. | |
|
Page 5 of 5 Pages
|
|
KEEFE, BRUYETTE & WOODS, INC.
|
|||
|
|
By:
|
/s/ Mary Johnstone | |
| Name: | Mary Johnstone | ||
| Title: | Chief Compliance Officer | ||