0000898358-11-000037.txt : 20110428 0000898358-11-000037.hdr.sgml : 20110428 20110427180712 ACCESSION NUMBER: 0000898358-11-000037 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110428 DATE AS OF CHANGE: 20110427 EFFECTIVENESS DATE: 20110428 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: 11784909 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 live1q11.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: March 31, 2011 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 April 27, 2011 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: 373 Form 13F Information Table Value Total: 6,064,199 KORNITZER CAPITAL MANAGEMENT, INC FORM 13F March 31, 2011 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 10419 111432 SH Sole 111432 3SBIO INC-ADR COM 88575Y105 1803 104293 SH Sole 104293 A T & T INC COM 00206R102 1124 36728 SH Sole 36728 ABB LTD (SW) COM 000375204 1466 60620 SH Sole 60620 ABBOTT LABORATORIES COM 002824100 29838 608315 SH Sole 608315 ABERCROMBIE & FITCH CO. 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COM 904311107 12560 184575 SH Sole 184575 UNILEVER NV NY -ADR (NA) COM 904784709 2313 73746 SH Sole 73746 UNILEVER PLC ADR COM 904767704 812 26520 SH Sole 26520 UNIT CORP COM 909218109 1806 29150 SH Sole 29150 UNITED PARCEL SERVICE - CL B COM 911312106 1750 23545 SH Sole 23545 UNITED TECHNOLOGIES CORP COM 913017109 5962 70430 SH Sole 70430 UNIVERSAL TECHNICAL INSTITUE I COM 913915104 29579 1520774 SH Sole 1508124 12650 URBAN OUTFITTERS INC COM 917047102 13746 460825 SH Sole 460825 US BANCORP COM 902973304 784 29648 SH Sole 29648 USEC INC COM 90333E108 48 11000 SH Sole 11000 UTI WORLDWIDE INC COM G87210103 9342 463150 SH Sole 463150 VAALCO ENERGY, INC COM 91851C201 3134 403900 SH Sole 403900 VALERO ENERGY CORP COM 91913y100 301 10100 SH Sole 10100 VALMONT INDUSTRIES COM 920253101 70535 675817 SH Sole 669267 6550 VCA ANTECH INC COM 918194101 69535 2762600 SH Sole 2738425 24175 VELTI LTD COM G93285107 516 41000 SH Sole 41000 VEOLIA ENVIRONNEMENT - ADR (FR COM 92334N103 427 13713 SH Sole 13713 VERIZON COMM COM 92343V104 288 7481 SH Sole 7481 VIACOM INC CLASS B COM 92553P201 807 17350 SH Sole 17350 VISA INC COM 92826C839 10308 140020 SH Sole 140020 VITAMIM SHOPPE INC COM 92849E101 338 10000 SH Sole 10000 WADDELL & REED FINANCIAL COM 930059100 112640 2773692 SH Sole 2748642 25050 WAL MART STORES INC. COM 931142103 23679 454924 SH Sole 454924 WALGREEN CO COM 931422109 775 19300 SH Sole 19300 WALKER & DUNLOP INC (WD) COM 93148P102 121 10000 SH Sole 10000 WARNER CHILCOTT PLC COM G94368100 7511 322900 SH Sole 322900 WATERS CORPORATION COM 941848103 263 3032 SH Sole 3032 WESTERN UNION COM 959802109 222 10699 SH Sole 10699 WHOLE FOODS MARKET INC COM 966837106 20831 316100 SH Sole 316100 WMS INDUSTRIES INC COM 929297109 125718 3556367 SH Sole 3527817 28550 WPP PLC-SPONS ADR COM 92933H101 395 6400 SH Sole 6400 WRIGHT MEDICAL GROUP INC COM 98235T107 39148 2301462 SH Sole 2281512 19950 YAHOO INC COM 984332106 8720 522800 SH Sole 522800 YUM! BRANDS INC COM 988498101 4951 96368 SH Sole 96368 BOSTON PRIVATE FINANCIAL 4.875 PFD CV 10112P306 3935 126950 SH Sole 126950 CARRIAGE SERVICES CAP 7% PFD CV 14444T309 4211 127125 SH Sole 127125 HEALTHSOUTH CORP (HLS) 6.5% CO PFD CV 421924408 2634 2500 SH Sole 2500 INTERPUBLIC GRP 5.25% CONV PRF PFD CV 460690803 2205 2005 SH Sole 2005 AMERICAN MEDICAL SYSTEMS (AMMD CONV 02744MAA6 242 209000 PRN Sole 209000 AMERICAN MEDICAL SYSTEMS (AMMD CONV 02744MAB4 1721 1288000 PRN Sole 1288000 AMYLIN PHARMACEUTICALS (AMLN) CONV 032346AF5 11292 13130000 PRN Sole 13130000 AMYLIN PHARMACEUTICALS INC (AM CONV 032346AD0 9287 9310000 PRN Sole 9310000 CHARLES RIVER LABORATORIES (CR CONV 159864AB3 3930 3770000 PRN Sole 3770000 CIENA CORP - PRIVATE PLACEMENT CONV 171779AF8 2197 1500000 PRN Sole 1500000 CONMED CORP (CNMD) - Discrete CONV 207410AD3 2523 2495000 PRN Sole 2495000 COVANTA HOLDING (CVA) CONV 22282EAC6 1180 1000000 PRN Sole 1000000 GENERAL CABLE CORP (BGC) CONV 369300AL2 2792 2000000 PRN Sole 2000000 GROUP 1 AUTOMOTIVE (GPI) - Dis CONV 398905AE9 563 555000 PRN Sole 555000 HOLOGIC INC (HOLX) Discrete P CONV 436440AA9 1004 1040000 PRN Sole 1040000 HORNBECK OFFSHORE SERVICES (HO CONV 440543AE6 4421 4500000 PRN Sole 4500000 HOST HOTELS & RESORTS LP 144A- CONV 44108EAT5 589 500000 PRN Sole 500000 INTEL CORP (INTC) CONV 458140AD2 874 850000 PRN Sole 850000 INTERPUBLIC GROUP (IPG) - Disc CONV 460690BE9 1261 1000000 PRN Sole 1000000 JANUS CAPITAL GROUP (JNS) non CONV 47102XAG0 1602 1335000 PRN Sole 1335000 LIBERTY MEDIA INC SR EXCHANGEA CONV 530715AR2 20 25000 PRN Sole 25000 LIONS GATE ENTERTAINMENT (LGF) CONV 535919AG9 420 424000 PRN Sole 424000 LIONS GATE ENTERTAINMENT (LGF) CONV 53626YAA6 6146 6192000 PRN Sole 6192000 LIONS GATE ENTERTAINMENT(2.937 CONV 535919AF1 3914 3924000 PRN Sole 3924000 MAGNA ENTERTAINMENT (MECA)- 7. CONV 559211AC1 1045 13909027 PRN Sole 13909027 MEDICIS PHARMACEUTICAL (MRX)-D CONV 58470KAA2 1154 1000000 PRN Sole 1000000 NUVASIVE INC (NUVA) CONV 670704AB1 1962 2000000 PRN Sole 2000000 OHM (IT GROUP)CORP 8% due 10/0 CONV 670839AA7 0 18667 PRN Sole 18667 PANTRY INC (PTRY) CONV 698657AL7 2464 2495000 PRN Sole 2495000 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 256 200000 PRN Sole 200000 THE INTERPUBLIC GROUP (IPG)-Di CONV 460690BA7 628 550000 PRN Sole 550000 WESCO INTL (WCC) CONV 95082PAH8 2926 1232000 PRN Sole 1232000 REPORT SUMMARY 373 DATA RECORDS 6064199 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED