0000950142-12-002155.txt : 20121113 0000950142-12-002155.hdr.sgml : 20121112 20121113102916 ACCESSION NUMBER: 0000950142-12-002155 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121113 DATE AS OF CHANGE: 20121113 EFFECTIVENESS DATE: 20121113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PLATINUM GROVE ASSET MANAGEMENT, LP CENTRAL INDEX KEY: 0001275565 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10667 FILM NUMBER: 121196614 BUSINESS ADDRESS: STREET 1: RECKSON EXECUTIVE PARK BLDG FOUR STREET 2: 1100 KING STREET CITY: RYE BROOK STATE: NY ZIP: 10573 BUSINESS PHONE: 914-690-2103 MAIL ADDRESS: STREET 1: RECKSON EXECUTIVE PARK BLDG FOUR STREET 2: 1100 KING STREET CITY: RYE BROOK STATE: NY ZIP: 10573 FORMER COMPANY: FORMER CONFORMED NAME: OAK HILL PLATINUM PARTNERS LLC DATE OF NAME CHANGE: 20040107 13F-HR 1 ea1201158_13fhr-q0312.txt QUARTERLY PERIOD ENDED 09/30/2012 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, 2012 --------------------- 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: Platinum Grove Asset Management, L.P. ----------------------------------------- Address: 287 Bowman Avenue ----------------------------------------- Purchase, NY, 10577 ----------------------------------------- Form 13F File Number: 28-10667 ------------ 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: Michael R. Schwenk ----------------------------------------- Title: General Counsel ----------------------------------------- Phone: (914) 690-2103 ----------------------------------------- Signature, Place, and Date of Signing: /s/ Michael R. Schwenk Purchase, NY November 13, 2012 ----------------------------- ------------------ ------------------------ [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: 0 ---------------------- Form 13F Information Table Entry Total: 28 ---------------------- Form 13F Information Table Value Total: $10,834 ---------------------- (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. NONE 2
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------- -------- ---------- -------- ------------------- ---------- ---------- -------------------------- TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- AMAZON COM INC COM 023135106 243 955 SH 955 AMERICAN INTL GROUP INC COM NEW 026874784 242 7,375 SH 7,375 APPLE INC COM 037833100 902 1,352 SH 1,352 BANK OF AMERICA CORPORATION COM 060505104 131 14,785 SH 14,785 BARCLAYS BK PLC IPATH S&P MT 06740C519 2,966 87,572 SH 87,572 ETN BP PLC SPONSORED 055622104 220 5,204 SH 5,204 ADR CAPITAL ONE FINL CORP COM 14040H105 246 4,307 SH 4,307 DELL INC COM 24702R101 135 13,645 SH 13,645 DOLLAR GEN CORP NEW COM 256677105 220 4,271 SH 4,271 FLEXTRONICS INTL LTD ORD Y2573F102 110 18,265 SH 18,265 GOOGLE INC CL A 38259P508 467 619 SH 619 HEWLETT PACKARD CO COM 428236103 247 14,493 SH 14,493 ISHARES TR MSCI EMERG 464287234 892 21,590 SH 21,590 MKT
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FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------- -------- ---------- -------- ------------------- ---------- ---------- -------------------------- TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- ISHARES TR MSCI EAFE 464287465 880 16,596 SH 16,596 INDEX KKR FINANCIAL HLDGS LLC COM 48248A306 112 11,110 SH 11,110 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 109 11,940 SH 11,940 MBIA INC COM 55262C100 109 10,768 SH 10,768 MICROSOFT CORP COM 594918104 245 8,227 SH 8,227 NEWS CORP CL A 65248E104 355 14,452 SH 14,452 PRICELINE COM INC COM NEW 741503403 350 565 SH 565 PROCTER & GAMBLE CO COM 742718109 357 5,145 SH 5,145 ROSS STORES INC COM 778296103 247 3,825 SH 3,825 SEARS HLDGS CORP COM 812350106 222 3,993 SH 3,993 SIRIUS XM RADIO INC COM 82967N108 113 43,447 SH 43,447 STAPLES INC COM 855030102 135 11,709 SH 11,709 U S AIRWAYS GROUP INC COM 90341W108 112 10,716 SH 10,716 UNITED CONTL HLDGS INC COM 910047109 224 11,463 SH 11,463 YAHOO INC COM 984332106 243 15,199 SH 15,199
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