0001047469-13-006067.txt : 20130514 0001047469-13-006067.hdr.sgml : 20130514 20130514134658 ACCESSION NUMBER: 0001047469-13-006067 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 EFFECTIVENESS DATE: 20130514 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: 13840604 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 a2215077z13f-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: March 31, 2013 ----------------------- 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: 28-15287 --------------------- 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 May 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: 172,610 (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 28-15282 TFG Asset Management L.P. (f/k/a Polygon Management L.P.) ------ ----------------- ------------------------------------------ 02 28-15285 Polygon Global Partners LLP (f/k/a Polygon Equities Partners LLP) ------ ----------------- ------------------------------------------ 03 28-15284 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 24688 12000000 PRN DEFINED 01 : 02 :03 12000000 0 0 EQUINIX INC NOTE 3.000%10/1 29444UAG1 19028 9350000 PRN DEFINED 01 : 02 : 03 9350000 0 0 EXETER RES CORP COM 301835104 245 206300 SH DEFINED 01 : 02 : 03 206300 0 0 EXETER RES CORP COM 301835104 2208 1856413 SH DEFINED 01 : 02 1856413 0 0 FIRSTSERVICE CORP SDCV 6.500%12/3 33761NAA7 1226 1000000 PRN DEFINED 01 : 02 : 03 1000000 0 0 GASCO ENERGY INC COM 367220100 69 1666667 SH DEFINED 01 : 02 : 03 1666667 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V118 4023 216780 SH DEFINED 01 : 02 : 03 216780 0 0 GILEAD SCIENCES INC NOTE 1.000% 5/0 375558AN3 40217 18500000 PRN DEFINED 01 : 02 : 03 18500000 0 0 HEALTH CARE REIT INC NOTE 3.000%12/0 42217KAR7 6650 5000000 PRN DEFINED 01 : 02 : 03 5000000 0 0 LAKE SHORE GOLD CORP COM 510728108 603 1006500 SH DEFINED 01 : 02 1006500 0 0 LIBERTY MEDIA CORP NEW DEB 3.125% 3/3 530718AF2 12235 7500000 PRN DEFINED 01 : 02 : 03 7500000 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 3575 213540 SH DEFINED 01 : 02 213540 0 0 MCMORAN EXPLORATION CO NOTE 4.000%12/3 582411AJ3 10969 9450000 PRN DEFINED 01 : 02 : 03 9450000 0 0 PRETIUM RES INC COM 74139C102 1703 215000 SH DEFINED 01 : 02 215000 0 0 SBA COMMUNICATIONS CORP NOTE 1.875% 5/0 78388JAN6 21660 12500000 PRN DEFINED 01 : 02 : 03 12500000 0 0 TRINITY INDS INC COM 896522109 2325 51300 SH DEFINED 01 : 02 : 03 51300 0 0 VERTEX PHARMACEUTICALS INC NOTE 3.350%10/0 92532FAN0 7929 6500000 PRN DEFINED 01 : 02 : 03 6500000 0 0 VIRGIN MEDIA INC NOTE 6.500%11/1 92769LAB7 13257 5000000 PRN DEFINED 01 : 02 : 03 5000000 0 0