0001019687-11-003477.txt : 20111114
0001019687-11-003477.hdr.sgml : 20111111
20111114061444
ACCESSION NUMBER: 0001019687-11-003477
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111114
DATE AS OF CHANGE: 20111114
EFFECTIVENESS DATE: 20111114
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: 111197360
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: September 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.
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Address: 5185 Peachtree Parkway
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Suite 370
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Norcross, Georgia 30092-6541
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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
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Title: CEO
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Phone: (678) 533-7850
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Signature, Place, and Date of Signing:
/s/ Michael B. Orkin Norcross, Georgia November 14, 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: 61
----------------------------
Form 13F Information Table Value Total: $ 146,045
----------------------------
(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
September 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
-------------- ----- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
AMERICAN ELECTRIC POWER COM 025537101 6,920 182,000 SH Sole 182,000
APPLE COMPUTER INC COM COM 037833100 6,946 18,215 SH Sole 18,215
ARM HOLDINGS-ADR COM 042068106 2,623 102,860 SH Sole 102,860
BROADCOM CORP CL A COM 111320107 2,810 84,400 SH Sole 84,400
CALPINE CORP. COM 131347304 6,618 470,000 SH Sole 470,000
CAREFUSION CORP. COM 14170t101 1,629 68,000 SH Sole 68,000
CHECK POINT SOFTWARE COM m22465104 2,274 43,100 SH Sole 43,100
CHESAPEAKE ENERGY CORP. COM 165167107 583 22,800 SH Sole 22,800
CLEAN ENERGY FUELS CORP COM 184499101 686 61,700 SH Sole 61,700
CLEAN HARBORS, INC. COM 184496107 1,344 26,200 SH Sole 26,200
CMS ENERGY CORP. COM 125896100 6,250 315,800 SH Sole 315,800
COACH, INC. COM 189754104 684 13,200 SH Sole 13,200
COCA COLA CO COM COM 191216100 3,020 44,695 SH Sole 44,695
COSTCO WHOLESALE CORP COM 22160k105 2,127 25,900 SH Sole 25,900
CROCS, INC. COM 227046109 729 30,800 SH Sole 30,800
DECKERS OUTDOOR CORP. COM 243537107 1,686 18,100 SH Sole 18,100
EDISON INTERNATIONAL COM 281020107 6,663 174,200 SH Sole 174,200
EMC CORPORATION COM 268648102 1,035 49,300 SH Sole 49,300
ENBRIDGE INC. COM 29250n105 4,721 147,850 SH Sole 147,850
ENERGY XXI BERMUDA COM g10082140 279 13,000 SH Sole 13,000
ENGLOBAL CORP. COM 293306106 249 91,700 SH Sole 91,700
GENERAL MILLS, INC. COM 370334104 1,114 28,945 SH Sole 28,945
GOLDCORP, INC. COM 380956409 2,581 56,560 SH Sole 56,560
GREENLIGHT CAPITAL RE LTD-A COM g4095j109 3,725 179,625 SH Sole 179,625
HECKMANN CORP. COM 422680108 62 11,700 SH Sole 11,700
HOME DEPOT INC. COM 437076102 2,884 87,725 SH Sole 87,725
ISHARES MSCI BELGIUM COM 464286301 232 21,100 SH Sole 21,100
ISHARES MSCI GERMANY COM 464286806 1,348 73,800 SH Sole 73,800
JOHNSON & JOHNSON COM 478160104 3,777 59,300 SH Sole 59,300
KENNETH COLE COM 193294105 583 54,300 SH Sole 54,300
LIMITED BRANDS INC. COM 532716107 697 18,100 SH Sole 18,100
LLOYDS BANKING GROUP-ADR COM 539439109 141 67,500 SH Sole 67,500
MARKET VECTORS GOLD MINERS COM 57060u100 1,645 29,800 SH Sole 29,800
MCDONALD'S CORPORATION COM 580135101 1,186 13,500 SH Sole 13,500
NATIONAL FUEL GAS CO. COM 636180101 375 7,700 SH Sole 7,700
NATIONAL GRID PLC-ADR COM 636274300 10,826 218,270 SH Sole 218,270
NV ENERGY INC. COM 67073y106 11,511 782,550 SH Sole 782,550
NVIDIA CORP COM 67066g104 1,038 83,000 SH Sole 83,000
NVR INC. COM 62944t105 1,691 2,800 SH Sole 2,800
OGE ENERGY CORP. COM 670837103 10,105 211,450 SH Sole 211,450
PANERA BREAD CO. COM 69840w108 613 5,900 SH Sole 5,900
PPL CORP. COM 69351t106 7,425 260,150 SH Sole 260,150
PVH CORP. COM 693656100 693 11,900 SH Sole 11,900
QUALCOMM INC. COM 747525103 3,985 81,950 SH Sole 81,950
ROYAL BANK OF SCOTLAND-ADR COM 780097689 127 17,800 SH Sole 17,800
SANDISK CORP. COM 80004c101 1,118 27,700 SH Sole 27,700
SLM CORP. COM 78442p106 1,676 134,600 SH Sole 134,600
SPDR GOLD TRUST COM 78463v107 1,470 9,300 SH Sole 9,300
STARBUCKS CORP. COM 855244109 1,842 49,400 SH Sole 49,400
TIFFANY & CO. COM 886547108 681 11,200 SH Sole 11,200
VERIZON COMMUNICATIONS COM 92343v104 1,453 39,475 SH Sole 39,475
VERTEX PHARMACEUTICALS COM 92532f100 4,135 93,000 SH Sole 93,000
WASTE CONNECTIONS INC. COM 941053100 1,329 39,300 SH Sole 39,300
WHOLE FOODS MARKET, INC. COM 966837106 751 11,500 SH Sole 11,500
WISCONSIN ENERGY CORP. COM 976657106 243 7,780 SH Sole 7,780
BBVA PUTS 10/22/2011 11 PUT bbva 1110 637 2,403 SH PUT Sole 2,403
EWI PUTS 12/17/2011 13 PUT ewi 11121 255 1,455 SH PUT Sole 1,455
IBN PUTS 12/17/2011 47 PUT ibn 11121 748 699 SH PUT Sole 699
STD PUTS 12/17/2011 11 PUT std 11121 720 2,324 SH PUT Sole 2,324
HD CALLS 1/21/2012 34 CALL hd 120121 372 1,700 SH CALL Sole 1,700
VRTX CALLS 1/21/2012 48 CALL vrtx 1201 375 961 SH CALL Sole 961
REPORT SUMMARY 61 DATA RECORDS 146,045 1 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED