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. ---------------------------------------------------------- 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 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