0000898358-11-000042.txt : 20111026 0000898358-11-000042.hdr.sgml : 20111026 20111026132938 ACCESSION NUMBER: 0000898358-11-000042 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111026 DATE AS OF CHANGE: 20111026 EFFECTIVENESS DATE: 20111026 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: 111158564 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 live3q11.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: September 30, 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 October 26, 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: 360 Form 13F Information Table Value Total: 4,926,273 KORNITZER CAPITAL MANAGEMENT, INC FORM 13F September 30, 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 21VIANTET GROUP INC-ADR COM 90138A103 213 21000 SH Sole 21000 3M CO COM 88579Y101 9532 132782 SH Sole 132782 3SBIO INC-ADR COM 88575Y105 1368 114693 SH Sole 114693 A T & T INC COM 00206R102 1279 44859 SH Sole 44859 ABB LTD (SW) COM 000375204 1211 70920 SH Sole 70920 ABBOTT LABORATORIES COM 002824100 34455 673736 SH Sole 673736 ABERCROMBIE & FITCH CO. 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COM 931142103 23900 460494 SH Sole 460494 WALGREEN CO COM 931422109 637 19375 SH Sole 19375 WALKER & DUNLOP INC (WD) COM 93148P102 116 10000 SH Sole 10000 WARNER CHILCOTT PLC COM G94368100 5597 391400 SH Sole 391400 WASTE MANAGEMENT INC COM 94106L109 14224 436845 SH Sole 436845 WATERS CORPORATION COM 941848103 223 2957 SH Sole 2957 WESTERN UNION COM 959802109 298 19500 SH Sole 19500 WHOLE FOODS MARKET INC COM 966837106 16964 259750 SH Sole 259750 WMS INDUSTRIES INC COM 929297109 78631 4470201 SH Sole 4426401 43800 WPP PLC-SPONS ADR COM 92933H101 295 6400 SH Sole 6400 XO GROUP INC COM 983772104 19705 2411900 SH Sole 2388650 23250 YUM! BRANDS INC COM 988498101 6609 133820 SH Sole 133820 ZIXIT CORP COM 98974P100 299 112000 SH Sole 112000 AMG CAPITAL TR I CONV PRFD 5.1 PFD CV 00169X203 3985 94600 SH Sole 94600 BOSTON PRIVATE FINANCIAL 4.875 PFD CV 10112P306 3835 126500 SH Sole 126500 CARRIAGE SERVICES CAP 7% PFD CV 14444T309 3383 102125 SH Sole 102125 HEALTHSOUTH CORP (HLS) 6.5% CO PFD CV 421924408 2072 2500 SH Sole 2500 INTERPUBLIC GRP 5.25% CONV PRF PFD CV 460690803 2055 2005 SH Sole 2005 (CWA FIDELTIY) ENERGY CONVERSI CONV 292659AA7 9 20000 PRN Sole 20000 AMYLIN PHARMACEUTICALS (AMLN) CONV 032346AF5 11610 13045000 PRN Sole 13045000 CHARLES RIVER LABORATORIES (CR CONV 159864AB3 3552 3615000 PRN Sole 3615000 CHART INDUSTRIES (GTLS) CONV 16115QAC4 232 250000 PRN Sole 250000 CIENA CORP - PRIVATE PLACEMENT CONV 171779AF8 1438 1500000 PRN Sole 1500000 CONMED CORP (CNMD) - Discrete CONV 207410AD3 836 840000 PRN Sole 840000 COVANTA HOLDING (CVA) CONV 22282EAC6 1089 1000000 PRN Sole 1000000 GENERAL CABLE CORP (BGC) CONV 369300AL2 1800 2000000 PRN Sole 2000000 GROUP 1 AUTOMOTIVE (GPI) - Dis CONV 398905AE9 453 465000 PRN Sole 465000 HOLOGIC INC (HOLX) Discrete P CONV 436440AA9 875 935000 PRN Sole 935000 HORNBECK OFFSHORE SERVICES (HO CONV 440543AE6 4261 4500000 PRN Sole 4500000 INTERPUBLIC GROUP (IPG) - Disc CONV 460690BE9 1062 1000000 PRN Sole 1000000 JANUS CAPITAL GROUP (JNS) non CONV 47102XAG0 1300 1335000 PRN Sole 1335000 LIBERTY MEDIA INC SR EXCHANGEA CONV 530715AR2 20 25000 PRN Sole 25000 LIONS GATE ENTERTAINMENT (LGF) CONV 535919AG9 421 424000 PRN Sole 424000 LIONS GATE ENTERTAINMENT (LGF) CONV 53626YAA6 6127 5992000 PRN Sole 5992000 LIONS GATE ENTERTAINMENT(2.937 CONV 535919AF1 3924 3924000 PRN Sole 3924000 MAGNA ENTERTAINMENT (MECA)- 7. CONV 559211AC1 261 12634731 PRN Sole 12634731 MEDICIS PHARMACEUTICAL (MRX)-D CONV 58470KAA2 1295 1000000 PRN Sole 1000000 NUVASIVE INC (NUVA) CONV 670704AB1 1905 2000000 PRN Sole 2000000 NUVASIVE INC (NUVA) CONV 670704AC9 417 500000 PRN Sole 500000 OHM (IT GROUP)CORP 8% due 10/0 CONV 670839AA7 0 18667 PRN Sole 18667 PANTRY INC (PTRY) CONV 698657AL7 2410 2450000 PRN Sole 2450000 PHILIP SERVICES CORP 3% BEGINS CONV 718193AB1 0 21178 PRN Sole 21178 SONOSITE INC (SONO) CONV 83568GAA2 1894 1800000 PRN Sole 1800000 STEEL DYMANICS (STLD) CONV 858119AP5 206 200000 PRN Sole 200000 THE INTERPUBLIC GROUP (IPG)-Di CONV 460690BA7 449 445000 PRN Sole 445000 WESCO INTL (WCC) CONV 95082PAH8 1113 785000 PRN Sole 785000 REPORT SUMMARY 360 DATA RECORDS 4926273 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED