-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LjdV8O7pXwoDKutzt5049gHYYyqxmlsrOSe/e7BKWzLYsAI792XSIU6nCDETNgNc pZoU1FcqztWGmKTG6o9aIQ== 0001193125-08-235802.txt : 20081114 0001193125-08-235802.hdr.sgml : 20081114 20081114061059 ACCESSION NUMBER: 0001193125-08-235802 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081114 DATE AS OF CHANGE: 20081114 EFFECTIVENESS DATE: 20081114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Weiss Asset Management LLC CENTRAL INDEX KEY: 0001298983 IRS NUMBER: 331025012 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12910 FILM NUMBER: 081186880 BUSINESS ADDRESS: STREET 1: 29 COMMONWEALTH AVENUE, 10TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-7780 MAIL ADDRESS: STREET 1: 29 COMMONWEALTH AVENUE, 10TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: Weiss Asset Management, LLC DATE OF NAME CHANGE: 20040728 13F-HR 1 d13fhr.txt 13F-HR 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, 2008 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: Weiss Asset Management LLC Address: 29 Commonwealth Avenue, 10th Floor, Boston, MA 02116 Form 13F File Number: 028-12910 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: Georgiy Nikitin Title: Chief Compliance Officer Phone: (617) 778-7780 Signature, Place, and Date of Signing: /s/ Georgiy Nikitin Boston, MA November 14, 2008 - -------------------- ------------- ----------------- [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).) List of Other Managers Reporting for this Manager: None Page 1 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 53 Form 13F Information Table Value Total: $177,176 (thousands) List of Other Included Managers: No.: Form 13F File Number: Name: 1 28-12279 Andrew Weiss Page 2
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 AMOUNT AND TYPE OF SECURITY VOTING AUTHORITY VALUE SHR OR SH/ PUT/ INVESTMENT OTHER ---------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- ----------------- --------- -------- --------- --- ---- -------------- --------- ---- ------ ---- 2020 CHINACAP ACQUIRCO INC COM 90212G109 567 78,346 SH SHARED-DEFINED 78,346 0 ADVANCED TECHNOLOGY ACQU COR COM 007556103 71 9,360 SH SHARED-DEFINED 9,360 0 ALTERNATIVE ASSET MGMT ACQU COM 02149U101 11,315 1,257,228 SH SHARED-DEFINED 1,257,228 0 ALYST ACQUISTION CORP COM 02263A105 551 74,983 SH SHARED-DEFINED 74,983 0 ATLAS ACQUISITION HLDGS CORP COM 049162100 351 39,038 SH SHARED-DEFINED 39,038 0 BFC FINL CORP CL A 055384200 154 279,694 SH SHARED-DEFINED 279,694 0 CASTLE CONV FD INC COM 148443104 412 22,645 SH SHARED-DEFINED 22,645 0 CHINA HEALTHCARE ACQ CORP COM 16939Q104 117 21,585 SH SHARED-DEFINED 21,585 0 CLAYMORE EXCHANGE TRADED FD JAMES SB-1 ETF 18383M613 741 50,071 SH SHARED-DEFINED 50,071 0 ENERGY INFRASTRUCTURE ACQUI COM 29269P109 5,017 494,740 SH SHARED-DEFINED 494,740 0 ENTERPRISE ACQUISITION CORP COM 29365R108 4,420 481,519 SH SHARED-DEFINED 481,519 0 FIRST TRUST FIDAC MTG INCM F COM SHS 33734E103 472 30,620 SH SHARED-DEFINED 30,620 0 * FRANKLIN COVEY CO COM 353469109 147 20,236 SH SHARED-DEFINED 20,236 0 GENEVA ACQUISITION CORP COM 37185Y104 1,119 192,974 SH SHARED-DEFINED 192,974 0 GLOBAL BRANDS ACQUISITION CO COM 378982102 1,358 147,616 SH SHARED-DEFINED 147,616 0 GLOBAL CONSUMER ACQST CORP COM 378983100 450 48,750 SH SHARED-DEFINED 48,750 0 GOLDEN POND HEALTHCARE INC COM 38116J109 346 48,100 SH SHARED-DEFINED 48,100 0 HICKS ACQUISITION CO I INC COM 429086309 11,700 1,307,291 SH SHARED-DEFINED 1,307,291 0 HIGHLANDS ACQUISITION CORP COM 430880104 258 28,645 SH SHARED-DEFINED 28,645 0 HYPERION BRKFLD STRGC MTG IN COM 44915C105 131 20,100 SH SHARED-DEFINED 20,100 0 IDEATION ACQUISITION CORP COM 451665103 599 83,716 SH SHARED-DEFINED 83,716 0 INTER ATLANTIC FINANCIAL INC COM 45890H100 687 94,190 SH SHARED-DEFINED 94,190 0 ISHARES TR FTSE XNHUA IDX 464287184 48,314 1,401,616 SH SHARED-DEFINED 1,401,616 0 ISHARES INC MSCI AUSTRALIA 464286103 267 13,000 SH SHARED-DEFINED 13,000 0 ISHARES TR MSCI EMERG MKT 464287234 4,608 134,854 SH SHARED-DEFINED 134,854 0 ISHARES INC MSCI HONG KONG 464286871 8,880 672,225 SH SHARED-DEFINED 672,225 0 ISHARES INC MSCI SINGAPORE 464286673 942 96,665 SH SHARED-DEFINED 96,665 0 ISHARES INC MSCI S KOREA 464286772 27,165 683,743 SH SHARED-DEFINED 683,743 0 ISHARES INC MSCI TAIWAN 464286731 17,669 1,636,027 SH SHARED-DEFINED 1,636,027 0 NRDC ACQUISITION CORP COM 62941R102 294 32,630 SH SHARED-DEFINED 32,630 0 NTR ACQUISITION CO COM 629415100 470 48,683 SH SHARED-DEFINED 48,683 0 OCEANAUT INC COM 675227102 6,253 765,206 SH SHARED-DEFINED 765,206 0 PIONEER MUN & EQUITY INCOME COM 723761102 779 69,703 SH SHARED-DEFINED 69,703 0 POLARIS ACQUISITION CORP COM 73104R102 1,617 173,915 SH SHARED-DEFINED 173,915 0 PROSPECT ACQUISITION CORP COM 74347T103 477 52,396 SH SHARED-DEFINED 52,396 0 PUTNAM MANAGED MUN INCOM TR COM 746823103 43 6,500 SH SHARED-DEFINED 6,500 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 135 13,000 SH SHARED-DEFINED 13,000 0 RENAISSANCE ACQUISITION CORP COM 75966C305 3,538 637,411 SH SHARED-DEFINED 637,411 0 SAPPHIRE INDUSTRIALS CORP COM 80306T109 65 7,215 SH SHARED-DEFINED 7,215 0 SECURE AMER ACQUISITION CORP COM 81372L103 2,382 322,344 SH SHARED-DEFINED 322,344 0 SELIGMAN SELECT MUN FD INC COM 816344105 1,682 182,412 SH SHARED-DEFINED 182,412 0 SP ACQUISITION HOLDINGS INC COM 78470A104 659 70,917 SH SHARED-DEFINED 70,917 0 SP ACQUISITION HOLDINGS INC *W EXP 10/10/201 78470A112 0 65 SH SHARED-DEFINED 65 0 SPORTS PPTYS ACQUISITION COR COM 84920F107 932 103,584 SH SHARED-DEFINED 103,584 0 STONELEIGH PARTNERS ACQUS CO COM 861923100 1,623 214,955 SH SHARED-DEFINED 214,955 0 TAIWAN GREATER CHINA FD SH BEN INT 874037104 59 12,480 SH SHARED-DEFINED 12,480 0 TM ENTMT & MEDIA INC COM 87260T108 1,441 199,605 SH SHARED-DEFINED 199,605 0 TM ENTMT & MEDIA INC * W EXP 10/17/201 87260T116 7 25,905 SH SHARED-DEFINED 25,905 0 TRANSFORMA ACQUISITION GROUP COM 89366E100 647 82,679 SH SHARED-DEFINED 82,679 0 TRANS-INDIA ACQUISITION CORP COM 893237107 400 52,130 SH SHARED-DEFINED 52,130 0 TREMISIS ENERGY ACQ CORP II COM 89472N101 2,212 311,550 SH SHARED-DEFINED 311,550 0 TRI CONTL CORP COM 895436103 637 43,600 SH SHARED-DEFINED 43,600 0 UNITED REFINING ENERGY CORP COM 911360105 2,000 220,221 SH SHARED-DEFINED 220,221 0
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