-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JB7Il1t1l7P+5xse3+V++g4bW8VZ1tTehi2BEt38M5rVBOfqJ+iwSPaI++AJGVZD /eC8srM5KWjtMr3OAmz7rw== 0000898358-10-000037.txt : 20101109 0000898358-10-000037.hdr.sgml : 20101109 20101109172959 ACCESSION NUMBER: 0000898358-10-000037 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101109 DATE AS OF CHANGE: 20101109 EFFECTIVENESS DATE: 20101109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KORNITZER CAPITAL MANAGEMENT INC /KS CENTRAL INDEX KEY: 0000898358 IRS NUMBER: 481069845 STATE OF INCORPORATION: KS FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03620 FILM NUMBER: 101177370 BUSINESS ADDRESS: STREET 1: P O BOX 918 CITY: SHAWNEE MISSION STATE: KS ZIP: 66201 BUSINESS PHONE: 9136777778 MAIL ADDRESS: STREET 1: PO BOX 918 CITY: SHAWNEE MISSION STATE: KS ZIP: 66201 13F-HR 1 live3q10.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: September 30, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [XX] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Kornitzer Capital Management, Inc. Address:5420 W 61st Place Shawnee Mission, KS 66205 13F File Number: 028-03620 Kornitzer Capital Management, Inc. 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 the Report on Behalf of Reporting Manager: Name: John C. Kornitzer Title: President Phone: 913-677-7778 Signature, Place, and Date of Signing: John C. Kornitzer Overland Park, KS November 09, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 List of Other Included Managers: 13F File Number: Form 13F Information Table Entry Total: 369 Form 13F Information Table Value Total: 5,020,721 KORNITZER CAPITAL MANAGEMENT, INC FORM 13F September 30, 2010 Voting Authority -------------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 1-800-FLOWERS.COM INC - CL A COM 68243Q106 19 10000 SH Sole 10000 3M CO COM 88579Y101 4667 53822 SH Sole 53822 3SBIO INC-ADR COM 88575Y105 950 73193 SH Sole 73193 A T & T INC COM 00206R102 932 32571 SH Sole 32571 ABB LTD (SW) COM 000375204 468 22170 SH Sole 22170 ABBOTT LABORATORIES COM 002824100 14176 271370 SH Sole 271370 ABERCROMBIE & FITCH CO. 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COM 868532102 310 14000 SH Sole 14000 SWIFT ENERGY COM 870738101 437 15550 SH Sole 15550 SYNGENTA ADR (SW) COM 87160A100 1050 21090 SH Sole 21090 T ROWE PRICE GROUP INC COM 74144T108 11291 225525 SH Sole 225525 TAIWAN SEMICONDUCTOR MFG CO LT COM 874039100 1191 117476 SH Sole 117476 TECHNE CORP COM 878377100 46111 746975 SH Sole 740850 6125 TEVA PHARMACEUTICAL ADR (IS) COM 881624209 1434 27184 SH Sole 27184 TEXAS INSTRUMENTS INC. COM 882508104 9722 358200 SH Sole 358200 THE KNOT COM 499184109 23181 2539005 SH Sole 2518355 20650 TIDEWATER INC COM 886423102 3931 87720 SH Sole 87720 TIFFANY & CO NEW COM COM 886547108 8861 188575 SH Sole 188575 TOMRA SYSTEMS A/S/A-SPONSORED COM 889905204 167 28000 SH Sole 28000 TRIMBLE NAVIGATION LTD COM 896239100 1963 56035 SH Sole 56035 TRINA SOLAR LTD-SPON ADR COM 89628E104 570 18900 SH Sole 18900 UNILEVER NV NY -ADR (NA) COM 904784709 865 28946 SH Sole 28946 UNILEVER PLC ADR COM 904767704 765 26280 SH Sole 26280 UNIT CORP COM 909218109 1214 32550 SH Sole 32550 UNITED PARCEL SERVICE - CL B COM 911312106 1498 22460 SH Sole 22460 UNITED TECHNOLOGIES CORP COM 913017109 5067 71135 SH Sole 71135 UNIVERSAL TECHNICAL INSTITUE I COM 913915104 29647 1516447 SH Sole 1503797 12650 URBAN OUTFITTERS INC COM 917047102 9636 306475 SH Sole 306475 US BANCORP COM 902973304 745 34473 SH Sole 34473 USEC INC COM 90333E108 156 30000 SH Sole 30000 VAALCO ENERGY, INC COM 91851C201 1969 343000 SH Sole 343000 VALMONT INDUSTRIES COM 920253101 47751 659542 SH Sole 652992 6550 VARIAN MEDICAL SYSTEMS INC COM 92220P105 2142 35400 SH Sole 35400 VCA ANTECH INC COM 918194101 44093 2090725 SH Sole 2074125 16600 VEOLIA ENVIRONNEMENT - ADR (FR COM 92334N103 334 12679 SH Sole 12679 VERIZON COMM COM 92343V104 205 6285 SH Sole 6285 VIACOM INC CLASS B COM 92553P201 639 17650 SH Sole 17650 VISA INC COM 92826C839 4010 54000 SH Sole 54000 VITAMIM SHOPPE INC COM 92849E101 274 10000 SH Sole 10000 VODAFONE GROUP PLC ADR (UK) COM 92857W209 301 12136 SH Sole 12136 VOYAN INTERNATIONAL CORP COM 92909W108 0 162000 SH Sole 162000 WACKER CHEMIE AG (GE)(EURO-Cle COM D9540Z106 332 1800 SH Sole 1800 WADDELL & REED FINANCIAL COM 930059100 75850 2772290 SH Sole 2747940 24350 WAL MART STORES INC. COM 931142103 21675 404984 SH Sole 404984 WALGREEN CO COM 931422109 839 25035 SH Sole 25035 WATERS CORPORATION COM 941848103 215 3032 SH Sole 3032 WEATHERFORD INTERNATIONAL INC COM H27013103 798 46640 SH Sole 46640 WESTERN UNION COM 959802109 938 53093 SH Sole 53093 WHOLE FOODS MARKET INC COM 966837106 14160 381573 SH Sole 381573 WILMINGTON TRUST CORP COM 971807102 2024 225351 SH Sole 225351 WMS INDUSTRIES INC COM 929297109 129357 3397879 SH Sole 3369329 28550 WPP PLC-SPONS ADR COM 92933H101 356 6400 SH Sole 6400 WRIGHT MEDICAL GROUP INC COM 98235T107 33210 2304635 SH Sole 2284685 19950 YAHOO INC COM 984332106 6623 467425 SH Sole 467425 YRW WORLDWIDE INC COM 984249102 7 30000 SH Sole 30000 YUM! BRANDS INC COM 988498101 3744 81283 SH Sole 81283 BOSTON PRIVATE FINANCIAL 4.875 PFD CV 10112P306 3707 128375 SH Sole 128375 CARRIAGE SERVICES CAP 7% PFD CV 14444T309 4163 127125 SH Sole 127125 (CWA FIDELITY) AFFYMETRIX INC CONV 00826TAG3 12 13000 PRN Sole 13000 (CWA FIDELTIY) ENERGY CONVERSI CONV 292659AA7 13 19000 PRN Sole 19000 AMERICAN MEDICAL SYSTEMS (AMMD CONV 02744MAA6 242 217000 PRN Sole 217000 AMERICAN MEDICAL SYSTEMS (AMMD CONV 02744MAB4 1674 1353000 PRN Sole 1353000 AMYLIN PHARMACEUTICALS (AMLN) CONV 032346AF5 9250 10165000 PRN Sole 10165000 AMYLIN PHARMACEUTICALS INC (AM CONV 032346AD0 7688 7775000 PRN Sole 7775000 CHARLES RIVER LABORATORIES (CR CONV 159864AB3 3754 3836000 PRN Sole 3836000 CIENA CORP - PRIVATE PLACEMENT CONV 171779AF8 2147 2000000 PRN Sole 2000000 CONMED CORP (CNMD) - Discrete CONV 207410AD3 2564 2610000 PRN Sole 2610000 COVANTA HOLDING (CVA) CONV 22282EAC6 1124 1000000 PRN Sole 1000000 GENERAL CABLE CORP (BGC) CONV 369300AL2 2007 2000000 PRN Sole 2000000 GROUP 1 AUTOMOTIVE (GPI) - Dis CONV 398905AE9 468 580000 PRN Sole 580000 HOLOGIC INC (HOLX) Discrete P CONV 436440AA9 1008 1090000 PRN Sole 1090000 HORNBECK OFFSHORE SERVICES (HO CONV 440543AE6 3921 4500000 PRN Sole 4500000 HOST HOTELS & RESORTS LP 144A- CONV 44108EAT5 522 500000 PRN Sole 500000 INTEL CORP (INTC) CONV 458140AD2 1681 1700000 PRN Sole 1700000 INTERPUBLIC GROUP (IPG) - Disc CONV 460690BE9 1131 1000000 PRN Sole 1000000 JANUS CAPITAL GROUP (JNS) non CONV 47102XAG0 1522 1335000 PRN Sole 1335000 LIBERTY MEDIA INC SR EXCHANGEA CONV 530715AR2 17 25000 PRN Sole 25000 LIONS GATE ENTERTAINMENT (LGF) CONV 535919AG9 416 424000 PRN Sole 424000 LIONS GATE ENTERTAINMENT (LGF) CONV 53626YAA6 6510 6222000 PRN Sole 6222000 LIONS GATE ENTERTAINMENT(2.937 CONV 535919AF1 3747 3799000 PRN Sole 3799000 MAGNA ENTERTAINMENT (MECA)- 7. CONV 559211AC1 2024 13904028 PRN Sole 13904028 MEDICIS PHARMACEUTICAL (MRX)-D CONV 58470KAA2 2167 2000000 PRN Sole 2000000 NATL CITY CORP NOTE CONV 635405AW3 13 13000 PRN Sole 13000 OHM (IT GROUP)CORP 8% due 10/0 CONV 670839AA7 0 18667 PRN Sole 18667 PANTRY INC (PTRY) CONV 698657AL7 2418 2535000 PRN Sole 2535000 PHILIP SERVICES CORP 3% BEGINS CONV 718193AB1 0 21178 PRN Sole 21178 SONOSITE INC (SONO) CONV 83568GAA2 2009 1800000 PRN Sole 1800000 STEEL DYMANICS (STLD) CONV 858119AP5 226 200000 PRN Sole 200000 THE INTERPUBLIC GROUP (IPG)-Di CONV 460690BA7 677 625000 PRN Sole 625000 WESCO INTL (WCC) CONV 95082PAH8 2046 1262000 PRN Sole 1262000 WRIGHT MEDICAL GROUP (WMGI) CONV 98235TAA5 6879 7740000 PRN Sole 7740000 REPORT SUMMARY 369 DATA RECORDS 5020721 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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