-----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, NviUKgBHGZzaR4uPq/706YYKKnpDeg6A4ysfALdPF3+TnTSCo1iusQHCGBWwB7A2 d7afiL3YFRzvgpFEOKHxjw== 0001357550-10-000002.txt : 20100216 0001357550-10-000002.hdr.sgml : 20100215 20100212174646 ACCESSION NUMBER: 0001357550-10-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Weiss Asset Management LP CENTRAL INDEX KEY: 0001357550 IRS NUMBER: 611451623 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12911 FILM NUMBER: 10601475 BUSINESS ADDRESS: STREET 1: 29 COMMONWEALTH AVE. CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-7780 MAIL ADDRESS: STREET 1: 29 COMMONWEALTH AVE. CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: WEISS CAPITAL LLC DATE OF NAME CHANGE: 20060327 13F-HR 1 wc13fhrq42009.txt FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2009 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 LP (F/K/A Weiss Capital LLC)[[[1]] Address: 29 Commonwealth Avenue, 10th Floor, Boston, MA 02116 Form 13F File Number: 028-12911 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 February 12, 2010 - ----------------------------- --------------------- ------------------------- [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 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers:1 Form 13F Information Table Entry Total: 61 Form 13F Information Table Value Total: $ 123,007 (thousands) List of Other Included Managers: No.: Form 13F File Number: Name: 1 28-12279 Andrew Weiss
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 AMOUNT AND TYPE OF VOTING AUTHORITY SECURITY VALUE SHR OR INVESTMENT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT SH/PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE AFLAC INC COM 001055102 99 2,134 SH SHARED-DEFINED 2,134 0 AU OPTRONICS CORP SPONSORED ADR 002255107 2,579 215,110 SH SHARED-DEFINED 215,110 0 ADVANCED SEMICONDUCTOR ENGR SPONSORED ADR 00756M404 995 224,545 SH SHARED-DEFINED 224,545 0 ALEXANDRIA REAL ESTATE EQ COM 015271109 112 1,744 SH SHARED-DEFINED 1,744 0 IN ALLSTATE CORP COM 020002101 73 2,437 SH SHARED-DEFINED 2,437 0 AMERICAN EXPRESS CO COM 025816109 194 4,782 SH SHARED-DEFINED 4,782 0 AMERICAN INTL GROUP INC COM NEW 026874784 322 10,746 SH SHARED-DEFINED 10,746 0 AON CORP COM 037389103 136 3,558 SH SHARED-DEFINED 3,558 0 BPW ACQUISITION CORP COM 055637102 4,388 416,674 SH SHARED-DEFINED 416,674 0 BANK OF AMERICA CORPORATION COM 060505104 443 29,445 SH SHARED-DEFINED 29,445 0 BANK OF NEW YORK MELLON COM 064058100 146 5,206 SH SHARED-DEFINED 5,206 0 CORP BARCLAYS BK PLC IPMS INDIA ETN 06739F291 2,726 42,548 SH SHARED-DEFINED 42,548 0 BARCLAYS BANK PLC ETN 06739H255 295 7,642 SH SHARED-DEFINED 7,642 0 DJUBSPLATM38 BROOKFIELD PPTYS CORP COM 112900105 89 7,308 SH SHARED-DEFINED 7,308 0 CME GROUP INC COM 12572Q105 99 296 SH SHARED-DEFINED 296 0 CARE INVESTMENT TRUST INC COM 141657106 3,534 454,231 SH SHARED-DEFINED 454,231 0 CHUBB CORP COM 171232101 80 1,635 SH SHARED-DEFINED 1,635 0 CITIGROUP INC COM 172967101 83 25,064 SH SHARED-DEFINED 25,064 0 CLAYMORE DIVID & INCOME FD COM 18385J105 1,437 91,790 SH SHARED-DEFINED 91,790 0 DWS RREEF REAL ESTATE FD COM 233384106 107 26,317 SH SHARED-DEFINED 26,317 0 INC DWS RREEF REAL ESTATE FD II COM 23338X102 211 194,987 SH SHARED-DEFINED 194,987 0 EDCI HLDGS INC COM 268315108 291 49,524 SH SHARED-DEFINED 49,524 0 FIRST MARBLEHEAD CORP COM 320771108 367 172,480 SH SHARED-DEFINED 172,480 0 FRANKLIN RES INC COM 354613101 77 735 SH SHARED-DEFINED 735 0 GOLDMAN SACHS GROUP INC COM 38141G104 324 1,917 SH SHARED-DEFINED 1,917 0 ICICI BK LTD ADR 45104G104 1,571 41,650 SH SHARED-DEFINED 41,650 0 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 3,583 64,820 SH SHARED-DEFINED 64,820 0 ISHARES INC MSCI SINGAPORE 464286673 4,181 363,869 SH SHARED-DEFINED 363,869 0 ISHARES INC MSCI TAIWAN 464286731 777 59,890 SH SHARED-DEFINED 59,890 0 ISHARES INC MSCI S KOREA 464286772 4,994 104,825 SH SHARED-DEFINED 104,825 0 ISHARES INC MSCI GERMAN 464286806 98 4,361 SH SHARED-DEFINED 4,361 0 ISHARES INC MSCI MALAYSIA 464286830 1,741 163,951 SH SHARED-DEFINED 163,951 0 ISHARES INC MSCI HONG KONG 464286871 14,826 946,734 SH SHARED-DEFINED 946,734 0 ISHARES TR INDEX FTSE XNHUA IDX 464287184 9,232 218,460 SH SHARED-DEFINED 218,460 0 ISHARES S&P GSCI COMMODITY UNIT BEN INT 46428R107 3,778 118,721 SH SHARED-DEFINED 118,721 0 I JPMORGAN CHASE & CO COM 46625H100 714 17,137 SH SHARED-DEFINED 17,137 0 MACK CALI RLTY CORP COM 554489104 78 2,242 SH SHARED-DEFINED 2,242 0 MASTERCARD INC CL A 57636Q104 93 365 SH SHARED-DEFINED 365 0 METLIFE INC COM 59156R108 82 2,332 SH SHARED-DEFINED 2,332 0 MORGAN STANLEY COM NEW 617446448 133 4,498 SH SHARED-DEFINED 4,498 0 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 101 6,860 SH SHARED-DEFINED 6,860 0 PNC FINL SVCS GROUP INC COM 693475105 103 1,960 SH SHARED-DEFINED 1,960 0 POWERSHARES INDIA ETF TR INDIA PORT 73935L100 531 24,072 SH SHARED-DEFINED 24,072 0 PRUDENTIAL FINL INC COM 744320102 98 1,962 SH SHARED-DEFINED 1,962 0 SK TELECOM LTD SPONSORED ADR 78440P108 1,138 69,965 SH SHARED-DEFINED 69,965 0 SANTA MONICA MEDIA CORP COM 802501106 0 98,455 SH SHARED-DEFINED 98,455 0 SANTA MONICA MEDIA CORP *W EXP 802501114 0 21,450 SH SHARED-DEFINED 21,450 0 03/27/201 SANTA MONICA MEDIA CORP UNIT 99/99/9999 802501205 0 18,060 SH SHARED-DEFINED 18,060 0 SCHWAB CHARLES CORP NEW COM 808513105 81 4,304 SH SHARED-DEFINED 4,304 0 SIMON PPTY GROUP INC NEW COM 828806109 88 1,099 SH SHARED-DEFINED 1,099 0 STATE STR CORP COM 857477103 87 2,000 SH SHARED-DEFINED 2,000 0 TAIWAN GREATER CHINA FD SH BEN INT 874037104 386 60,756 SH SHARED-DEFINED 60,756 0 TATA MTRS LTD SPONSORED ADR 876568502 661 39,200 SH SHARED-DEFINED 39,200 0 TRAVELERS COMPANIES INC COM 89417E109 134 2,680 SH SHARED-DEFINED 2,680 0 TRIAN ACQUISITION I CORP COM 89582E108 6,090 618,876 SH SHARED-DEFINED 618,876 0 US BANCORP DEL COM NEW 902973304 178 7,907 SH SHARED-DEFINED 7,907 0 UNITED STATES NATL GAS FUND UNIT 912318102 46,664 4,629,393 SH SHARED-DEFINED 4,629,393 0 VISA INC COM CL A 92826C839 179 2,047 SH SHARED-DEFINED 2,047 0 WELLS FARGO & CO NEW COM 949746101 500 18,523 SH SHARED-DEFINED 18,523 0 WISDOMTREE TRUST INDIA ERNGS FD 97717W422 826 37,427 SH SHARED-DEFINED 37,427 0 ACE LTD SHS H0023R105 77 1,531 SH SHARED-DEFINED 1,531 0
Footnotes ][1][] On February 1, 2010 Weiss Capital LLC converted to a Delaware limited partnership named Weiss Asset Management LP -----END PRIVACY-ENHANCED MESSAGE-----