0001019687-11-002868.txt : 20110831 0001019687-11-002868.hdr.sgml : 20110831 20110831155218 ACCESSION NUMBER: 0001019687-11-002868 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110831 DATE AS OF CHANGE: 20110831 EFFECTIVENESS DATE: 20110831 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALDWELL & ORKIN INC CENTRAL INDEX KEY: 0000862853 IRS NUMBER: 581477693 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-02699 FILM NUMBER: 111068565 BUSINESS ADDRESS: STREET 1: 5185 PEACHTREE PARKWAY STREET 2: SUITE 370 CITY: NORCROSS STATE: GA ZIP: 30092 BUSINESS PHONE: 678-533-7850 MAIL ADDRESS: STREET 1: 5185 PEACHTREE PARKWAY STREET 2: SUITE 370 CITY: NORCROSS STATE: GA ZIP: 30092 13F-HR 1 coi_13fhr.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 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: Caldwell & Orkin, Inc. ---------------------------------------------------------- Address: 5185 Peachtree Parkway ---------------------------------------------------------- Suite 370 ---------------------------------------------------------- Norcross, Georgia 30092-6541 ---------------------------------------------------------- Form 13F File Number: 28- 2699 ---------------------------------------- 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: Michael B. Orkin ---------------------------------------------------------- Title: CEO ---------------------------------------------------------- Phone: (678) 533-7850 ---------------------------------------------------------- Signature, Place, and Date of Signing: /s/ Michael B. Orkin Norcross, Georgia August 31, 2011 --------------------- ------------------- ------------------- [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: 91 ---------------------------- Form 13F Information Table Value Total: $ 235,000 ---------------------------- (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 1 28- 3468 C & O Funds Advisor, Inc. --- ----------------- ---------------------------- -2-
Caldwell & Orkin, Inc. FORM 13F June 30, 2011 FORM 13F INFORMATION TABLE Voting Authority ---------------- Title of Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None -------------- ----- ----- -------- ------- --- ---- ------- -------- ---- ------ ---- 3M CO. COM 88579y101 3,671 38,700 SH Sole 38,700 ABERCROMBIE & FITCH COM 002896207 3,600 53,800 SH Sole 53,800 ACCENTURE LTD- CL.A COM g1151c101 3,994 66,100 SH Sole 66,100 AIRGAS INC. COM 009363102 3,803 54,300 SH Sole 54,300 APPLE COMPUTER INC COM COM 037833100 6,243 18,600 SH Sole 18,600 ARM HOLDINGS-ADR COM 042068106 2,041 71,800 SH Sole 71,800 ASCENA RETAIL GROUP INC. COM 04351g101 2,288 67,200 SH Sole 67,200 AVAGO TECHNOLOGIES LTD. COM y0486s104 1,045 27,500 SH Sole 27,500 BCE INC COM COM 05534b760 202 5,150 SH Sole 5,150 CAPITAL ONE FINANCIAL CORP. COM 14040H105 279 5,400 SH Sole 5,400 CAREFUSION CORP. COM 14170t101 2,934 108,000 SH Sole 108,000 CATERPILLAR INC DEL COM COM 149123101 3,620 34,000 SH Sole 34,000 CHECK POINT SOFTWARE COM m22465104 2,354 41,400 SH Sole 41,400 CIT GROUP INC. COM 125581801 958 21,650 SH Sole 21,650 CLEAN HARBORS, INC. COM 184496107 3,686 35,700 SH Sole 35,700 CMS ENERGY CORP. COM 125896100 11,613 589,800 SH Sole 589,800 COACH, INC. COM 189754104 639 10,000 SH Sole 10,000 COCA COLA CO COM COM 191216100 4,576 68,000 SH Sole 68,000 COMSTOCK RESOURCES INC. COM 205768203 369 12,800 SH Sole 12,800 COST PLUS INC/CALIFORNIA COM 221485105 717 71,700 SH Sole 71,700 COSTCO WHOLESALE CORP COM 22160k105 3,753 46,200 SH Sole 46,200 CUMMINS, INC. COM 231021106 404 3,900 SH Sole 3,900 DECKERS OUTDOOR CORP. COM 243537107 3,878 44,000 SH Sole 44,000 DUPONT EI DE NEMOURS COM 263534109 3,778 69,900 SH Sole 69,900 EATON CORP COM 278058102 4,594 89,300 SH Sole 89,300 EDISON INTERNATIONAL COM 281020107 6,750 174,200 SH Sole 174,200 EMC CORPORATION COM 268648102 3,835 139,200 SH Sole 139,200 EMERSON ELECTRIC CO. COM 291011104 3,741 66,500 SH Sole 66,500 ENBRIDGE INC. COM 29250n105 3,723 114,700 SH Sole 114,700 ENERGY XXI BERMUDA COM g10082140 299 9,000 SH Sole 9,000 EXPRESS INC. COM 30219e103 1,753 80,400 SH Sole 80,400 FORD MOTOR CO. COM 345370860 336 24,400 SH Sole 24,400 GENERAL MILLS, INC. COM 370334104 1,077 28,945 SH Sole 28,945 GILDAN ACTIVEWEAR COM 375916103 1,245 35,400 SH Sole 35,400 GOLDCORP, INC. COM 380956409 603 12,500 SH Sole 12,500 GREENLIGHT CAPITAL RE LTD-A COM g4095j109 4,722 179,625 SH Sole 179,625 HEALTHSOUTH CORP COM 421924309 3,804 144,900 SH Sole 144,900 HEALTHSPRING INC. COM 42224n101 1,274 27,625 SH Sole 27,625 HECKMANN CORP. COM 422680108 71 11,700 SH Sole 11,700 HOME DEPOT INC. COM 437076102 5,076 140,140 SH Sole 140,140 HONEYWELL INC COM 438516106 4,380 73,500 SH Sole 73,500 ISHARES MSCI JAPAN COM 464286848 1,789 171,500 SH Sole 171,500 JOHNSON & JOHNSON COM 478160104 3,945 59,300 SH Sole 59,300 JOHNSON CONTROLS, INC. COM 478366107 3,233 77,600 SH Sole 77,600 KANSAS CITY SOUTHERN COM 485170302 3,937 66,350 SH Sole 66,350 LIMITED BRANDS INC. COM 532716107 1,853 48,200 SH Sole 48,200 MONRO MUFFLER BRAKE, INC. COM 610236101 791 21,200 SH Sole 21,200 NATIONAL FUEL GAS CO. COM 636180101 561 7,700 SH Sole 7,700 NATIONAL GRID PLC-ADR COM 636274300 7,163 144,914 SH Sole 144,914 NETWORK APPLIANCE COM 64110d104 2,523 47,800 SH Sole 47,800 NORFOLK SOUTHERN COM 655844108 1,948 26,000 SH Sole 26,000 OGE ENERGY CORP. COM 670837103 6,225 123,700 SH Sole 123,700 ORACLE CORP COM 68389X105 1,971 59,900 SH Sole 59,900 PANERA BREAD CO. COM 69840w108 3,845 30,600 SH Sole 30,600 PAYCHEX, INC. COM 704326107 1,051 34,225 SH Sole 34,225 PETROHAWK ENERGY CORP. COM 716495106 1,194 48,400 SH Sole 48,400 PIER 1 IMPORTS, INC. COM 720279108 3,736 322,900 SH Sole 322,900 PPL CORP. COM 69351t106 7,116 255,700 SH Sole 255,700 PRIMORIS SERVICES CORP. COM 74164f103 1,206 93,450 SH Sole 93,450 PROGRESSIVE WASTE SOLUTIONS LT COM 74339g101 2,458 98,700 SH Sole 98,700 PVH CORP. COM 693656100 3,758 57,400 SH Sole 57,400 QEP RESOURCES INC. COM 74733v100 719 17,200 SH Sole 17,200 QUALCOMM INC. COM 747525103 2,243 39,500 SH Sole 39,500 SANDRIDGE ENERGY INC. COM 80007p307 689 64,600 SH Sole 64,600 SONUS NETWORKS COM 835916107 730 225,200 SH Sole 225,200 SOUTHWESTERN ENERGY CO. COM 845467109 695 16,200 SH Sole 16,200 SPDR GOLD TRUST COM 78463v107 1,781 12,200 SH Sole 12,200 STARBUCKS CORP. COM 855244109 1,742 44,100 SH Sole 44,100 SYNCHRONOSS TECHNOLOGIES INC. COM 87157b103 2,186 68,900 SH Sole 68,900 TEVA PHARMACEUTICAL ADR COM 881624209 1,871 38,800 SH Sole 38,800 TIFFANY & CO. COM 886547108 4,538 57,800 SH Sole 57,800 TJX COMPANIES COM 872540109 1,776 33,800 SH Sole 33,800 TRACTOR SUPPLY COMPANY COM 892356106 3,866 57,800 SH Sole 57,800 U.S. BANCORP COM 902973304 1,796 70,400 SH Sole 70,400 UNION PACIFIC CORP. COM 907818108 2,547 24,400 SH Sole 24,400 UNITED TECHNOLOGIES COM 913017109 3,753 42,400 SH Sole 42,400 VERIZON COMMUNICATIONS COM 92343v104 1,492 40,075 SH Sole 40,075 VERTEX PHARMACEUTICALS COM 92532f100 8,017 154,200 SH Sole 154,200 VODAFONE GROUP PLC-ADR COM 92857w209 3,022 113,100 SH Sole 113,100 WALT DISNEY COM 254687106 3,525 90,300 SH Sole 90,300 WASTE CONNECTIONS INC. COM 941053100 4,515 142,300 SH Sole 142,300 WHOLE FOODS MARKET, INC. COM 966837106 317 5,000 SH Sole 5,000 WISCONSIN ENERGY CORP. COM 976657106 244 7,780 SH Sole 7,780 ESI PUTS 10/22/2011 80 PUT esi111022 735 850 SH PUT Sole 850 ANF CALLS 8/20/2011 65 CALL anf 11082 379 790 SH CALL Sole 790 APOL CALLS 7/16/2011 43 CALL apol 1107 310 1,330 SH CALL Sole 1,330 DECK CALLS 9/17/2011 82.50 CALL deck 1109 386 390 SH CALL Sole 390 EWJ CALLS 12/17/2011 10 CALL ewj 11121 328 4,000 SH CALL Sole 4,000 HD CALLS 11/19/2011 35 CALL hd 111119 1,330 5,300 SH CALL Sole 5,300 HK CALLS 12/17/2011 25 CALL hk 111217 759 2,710 SH CALL Sole 2,710 VRTX CALLS 1/21/2012 48 CALL vrtx 1201 678 771 SH CALL Sole 771 REPORT SUMMARY 91 DATA RECORDS 235,000 1 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED