0001047469-13-001066.txt : 20130214 0001047469-13-001066.hdr.sgml : 20130214 20130214101552 ACCESSION NUMBER: 0001047469-13-001066 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 EFFECTIVENESS DATE: 20130214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Polygon Management Ltd. CENTRAL INDEX KEY: 0001515070 IRS NUMBER: 980646182 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15287 FILM NUMBER: 13607288 BUSINESS ADDRESS: STREET 1: 399 PARK AVENUE STREET 2: 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-359-7356 MAIL ADDRESS: STREET 1: 399 PARK AVENUE STREET 2: 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 a2212787z13f-hr.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: December 31, 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: Polygon Management Ltd. ------------------------------- Address: c/o Polygon Global Partners LLP ------------------------------- 4 Sloane Terrace ------------------------------- London SW1X9DQ ------------------------------- United Kingdom ------------------------------- Form 13F File Number: 28- --------------------- 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: Sean Cote ------------------------------- Title: General Counsel ------------------------------- Phone: 011-44-207-901-8330 ------------------------------- Signature, Place, and Date of Signing: /s/ Sean Cote London, England February 14, 2013 ------------------------------- ----------------- ----------------- [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: [If there are no entries in this list, omit this section.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 3 -------------------- Form 13F Information Table Entry Total: 18 -------------------- Form 13F Information Table Value Total: 197,811 (x $1,000) -------------------- (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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 01 28- TFG Asset Management L.P. (f/k/a Polygon Management L.P.) ------ ----------------- ------------------------------------------ 02 28- Polygon Global Partners LLP (f/k/a Polygon Equities Partners LLP) ------ ----------------- ------------------------------------------ 03 28- Polygon Global Partners LP ------ ----------------- ------------------------------------------ [Repeat as necessary.] 2
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------- ---------------- --------- -------- ---------------------- ------------ ------------ -------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE ----------------------- ---------------- --------- -------- --------- ----- ------ ------------ ------------ -------- ------ ---- ALLIANCE DATA SYSTEMS CORP NOTE 1.750% 8/0 018581AD0 46151 25000000 PRN DEFINED 01 : 02 : 03 25000000 0 0 ANIXTER INTL INC NOTE 1.000% 2/1 035290AJ4 6990 6075000 PRN DEFINED 01 : 02 : 03 6075000 0 0 CAESARS ENTMT CORP COM 127686103 359 51834 SH DEFINED 01 : 02 : 03 51834 0 0 COBALT INTL ENERGY INC NOTE 2.625%12/0 19075FAA4 5569 5500000 PRN DEFINED 01 : 02 : 03 5500000 0 0 EQUINIX INC NOTE 3.000%10/1 29444UAG1 18296 9350000 PRN DEFINED 01 : 02 : 03 9350000 0 0 EXETER RES CORP COM 301835104 254 206300 SH DEFINED 01 : 02 : 03 206300 0 0 EXETER RES CORP COM 301835104 2283 1856413 SH DEFINED 01 : 02 1856413 0 0 GASCO ENERGY INC COM 367220100 117 1666667 SH DEFINED 01 : 02 : 03 1666667 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V118 4607 236268 SH DEFINED 01 : 02 : 03 236268 0 0 GILEAD SCIENCES INC NOTE 1.000% 5/0 375558AN3 18871 11500000 PRN DEFINED 01 : 02 : 03 11500000 0 0 HEALTH CARE REIT INC NOTE 3.000%12/0 42217KAR7 7388 6000000 PRN DEFINED 01 : 02 : 03 6000000 0 0 LIBERTY MEDIA CORP NEW DEB 3.125% 3/3 530718AF2 10994 7500000 PRN DEFINED 01 : 02 : 03 7500000 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 2459 124252 SH DEFINED 01 : 02 124252 0 0 MCMORAN EXPLORATION CO NOTE 4.000%12/3 582411AJ3 5688 5000000 PRN DEFINED 01 : 02 : 03 5000000 0 0 NEXEN INC COM 65334H102 17659 655500 SH DEFINED 01 : 02 655500 0 0 SBA COMMUNICATIONS CORP NOTE 1.875% 5/0 78388JAN6 46939 27500000 PRN DEFINED 01 : 02 : 03 27500000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 321 1980 SH DEFINED 01 : 02 1980 0 0 TRINITY INDS INC COM 896522109 2866 80000 SH DEFINED 01 : 02 : 03 80000 0 0
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