0000904454-12-000055.txt : 20120213 0000904454-12-000055.hdr.sgml : 20120213 20120210174526 ACCESSION NUMBER: 0000904454-12-000055 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120213 DATE AS OF CHANGE: 20120210 EFFECTIVENESS DATE: 20120213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 40 North Industries LLC CENTRAL INDEX KEY: 0001539436 IRS NUMBER: 264203244 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14692 FILM NUMBER: 12594435 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET - 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212.821.1600 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET - 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 f13hr_021412-40northinds.txt 13F-HR FOR 40 NORTH INDUSTRIES LLC QUARTER ENDED 12-31-11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2011 ----------------- 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: 40 North Industries LLC ---------------------------- Address: 9 W. 57th Street, 30th Floor ---------------------------- New York, NY 10019 ---------------------------- Form 13F File Number: 28-14260 -------- 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: Lawrence Palermo ---------------- Title: Chief Financial Officer ----------------------- Phone: 212-821-1623 ----------------------- Signature, Place, and Date of Signing: /s/Lawrence Palermo New York February 10, 2012 ------------------- -------------- ---------------- 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: Form 13F File Number Name 28- None ------ ---------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 48 Form 13F Information Table Value Total: $ 319,481 --------- (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 28- ----- --------------------------- 40 NORTH INDUSTRIES LLC FORM 13F INFORMATION TABLE AS OF DECEMBER 31, 2011 VOTING AUTHORITY VALUE X SHARES/ SH/ PUT/ INVSTMT OTHER ---------------- NAME OF ISSUER TITLE OF CLASS CUSIP ($1000) PRN AMT PRN CALL DISCRETN MGRS SOLE SHARED NONE -------------- -------------- ----- ------ ------- --- ---- -------- ---- ---- ------ ---- ACCO BRANDS CORP COM 00081T 10 8 2,444 253,214 SH SOLE 253,214 AMC NETWORKS INC CL A 00164V 10 3 3,330 88,601 SH SOLE 88,601 AMERICAN TOWER CORP CL A 029912 20 1 8,296 138,240 SH SOLE 138,240 AMERICAN TOWER CORP CL A 029912 20 1 9,548 159,100 CALL SOLE 159,100 APPLE INC COM 037833 10 0 6,352 15,685 SH SOLE 15,685 CABLEVISION SYS CORP CL A NY CABLVS 12686C 10 9 2,467 173,500 SH SOLE 173,500 CELANESE CORP DEL COM SER A 150870 10 3 3,322 75,040 SH SOLE 75,040 CISCO SYS INC COM 17275R 10 2 9,263 512,325 SH SOLE 512,325 COMVERSE TECHNOLOGY INC COM PAR $0.10 205862 40 2 1,578 230,000 SH SOLE 230,000 DIAMOND FOODS INC COM 252603 10 5 2,372 73,500 CALL SOLE 73,500 DIRECTV COM CL A 25490A 10 1 5,996 140,214 SH SOLE 140,214 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743 10 5 2,335 33,238 SH SOLE 33,238 EL PASO CORP COM 28336L 10 9 15,927 599,421 SH SOLE 599,421 GOODRICH CORP COM 382388 10 6 21,701 175,435 SH SOLE 175,435 GOOGLE INC CL A 38259P 50 8 12,726 19,702 SH SOLE 19,702 GRACE W R & CO DEL NEW COM 38388F 10 8 7,239 157,649 SH SOLE 157,649 GRIFOLS S A SPONSORED ADR 398438 30 9 2,386 431,472 SH SOLE 431,472 HERTZ GLOBAL HOLDINGS INC COM 42805T 10 5 7,624 650,546 SH SOLE 650,546 HEWLETT PACKARD CO COM 428236 10 3 5,748 223,125 SH SOLE 223,125 JAKKS PAC INC COM 47012E 10 6 2,318 164,251 SH SOLE 164,251 KRAFT FOODS INC CL A 50075N 10 4 7,089 189,751 SH SOLE 189,751 LIBERTY MEDIA CORPORATION LIB CAP COM A 530322 10 6 1,522 19,500 SH SOLE 19,500 LOOPNET INC COM 543524 30 0 4,797 262,400 SH SOLE 262,400 MARATHON OIL CORP COM 565849 10 6 5,325 181,942 SH SOLE 181,942 MARATHON PETE CORP COM 56585A 10 2 5,325 159,948 SH SOLE 159,948 MARKET VECTORS ETF TR GOLD MINER ETF 57060U 10 0 41,168 800,475 SH SOLE 800,475 MARRIOTT VACATIONS WRLDWDE C COM 57164Y 10 7 2,598 151,370 SH SOLE 151,370 MEDCO HEALTH SOLUTIONS INC COM 58405U 10 2 9,598 171,700 SH SOLE 171,700 MOTOROLA MOBILITY HLDGS INC COM 620097 10 5 13,861 357,253 SH SOLE 357,253 NOVAGOLD RES INC COM NEW 66987E 20 6 2,567 302,725 SH SOLE 302,725 PEPSICO INC COM 713448 10 8 3,878 58,450 SH SOLE 58,450 PHARMERICA CORP COM 71714F 10 4 2,586 170,375 SH SOLE 170,375 PHARMERICA CORP COM 71714F 10 4 185 12,200 CALL SOLE 12,200 PHARMASSET INC COM 71715N 10 6 17,134 133,650 SH SOLE 133,650 PRICELINE COM INC COM NEW 741503 40 3 2,947 6,300 SH SOLE 6,300 SANOFI SPONSORED ADR 80105N 10 5 284 237,000 SH SOLE 237,000 SARA LEE CORP COM 803111 10 3 6,906 365,029 SH SOLE 365,029 SEMGROUP CORP CL A 81663A 10 5 3,205 123,000 SH SOLE 123,000 SOHU COM INC COM 83408W 10 3 2,630 52,600 SH SOLE 52,600 SOUTHERN UN CO NEW COM 844030 10 6 10,560 250,760 SH SOLE 250,760 UNIVERSAL AMERN CORP NEW COM 91338E 10 1 4,602 362,110 SH SOLE 362,110 VIACOM INC NEW CL A 92553P 10 2 6,424 141,465 SH SOLE 141,465 WEBMD HEALTH CORP COM 94770V 10 2 2,248 59,875 SH SOLE 59,875 WILLIAMS COS INC DEL COM 969457 10 0 6,605 200,057 SH SOLE 200,057 YAHOO INC COM 984332 10 6 10,877 674,333 SH SOLE 674,333 SEAGATE TECHNOLOGY PLC SHS G7945M 10 7 1,899 115,800 SH SOLE 115,800 TYCO INTERNATIONAL LTD SHS H89128 10 4 5,966 127,722 SH SOLE 127,722 LYONDELLBASELL INDUSTRIES N SHS - A - N53745 10 0 3,724 114,613 SH SOLE 114,613