-----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, Gl/B0InGsWU0fXhypFozwK/btlpVr2qceVrQHyg/f3y225SUlLCVgFCzScFlPciS pxBF7epf/vjjBzsoQHI+Sg== 0000949509-02-000013.txt : 20021118 0000949509-02-000013.hdr.sgml : 20021118 20021115123944 ACCESSION NUMBER: 0000949509-02-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021114 EFFECTIVENESS DATE: 20021115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OAKTREE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000949509 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05050 FILM NUMBER: 02829121 BUSINESS ADDRESS: STREET 1: 333 S GRAND AVENUE 28TH FL CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: 2138306300 MAIL ADDRESS: STREET 2: 333 S GRAND AVE 28TH FL CITY: LOS ANGLES STATE: CA ZIP: 90071 13F-HR 1 r13f3rdq.txt OAKTREE CAPITAL MANAGEMENT LLC 13F 9/30/02 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2002 Check here if Amendment [ ] ; Amendment Number: This Amendment (Check only one.) : [ ] is a restatement. [ ] adds new holding entries. Institutional Manager Filing this Report: Name: Oaktree Capital Management, LLC Address:333 South Grand Avenue 28 Floor Los Angeles, CA 90071 13F File Number: 28-5050 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: Melissa Obegi Title: Senior Vice President Phone: 213-830-6429 Signature, Place, and Date of Signing: Melissa Obegi Los Angeles, CA November 14, 2002 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT [ ] 13F NOTICE REPORT [ X ] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: The TCW Group, Inc. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 163 Form 13F Information Table Value Total: $1,759,786 List of Other Included Managers: No. 13F File Number Name 01 28-2494 The TCW Group, Inc. FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN DSCRETN MRGRS SOLE SHARED NONE ACORN PRODS INC COM 004857110 1,380 4,311,549 SH SHARED 1 3,162,04 ALDERWOODS GROUP INC COM 014383103 46,239 7,113,619 SH SOLE ALPHARMA INC NOTE 3.000% 6/0 020813AD3 2,923 3,500,000 PRN SOLE ALZA CORP SDCV 7/2 02261WAB5 3,963 5,000,000 PRN SOLE AMAZON COM INC NOTE 4.750% 2/0 023135AF3 3,266 5,000,000 PRN SOLE AMERICA MOVIL S A DE C V SPON ADR L SHS 02364W105 7,734 640,200 SH SOLE AMERICA ONLINE INC DEL NOTE 12/0 02364JAC8 5,513 10,500,000PRN SOLE ANADARKO PETE CORP DBCV 3/0 032511AP2 11,661 19,000,000PRN SOLE ANIXTER INT INC NOTE 6/2 035290AC9 10,440 36,630,000PRN SOLE ANTEC CORP NOTE 4.500% 5/1 03664PAB1 930 1,000,000 PRN SOLE APT SATELLITE HOLDINGS LTD SPONSORED ADR 00203R105 3,381 1,878,286 SH SOLE ARACRUZ CELULOSE S A SPON ADR CL B 038496204 5,987 408,400 SH SOLE ARBOR SOFTWARE CORP NOTE 4.500% 3/1 038918AC2 5,126 5,500,000 PRN SOLE ASAT HLDGS LTD SPONSORED ADR 00208B105 4,268 4,492,350 SH SOLE ASE TEST LTD ORD Y02516105 3,615 1,024,165 SH SOLE AURORA FOODS INC COM 05164B106 666 1,024,933 SH SOLE AVIRON NOTE 5.250% 2/0 053762AD2 3,585 4,000,000 PRN SOLE AVON PRODS INC NOTE 7/1 054303AP7 24,606 46,365,000PRN SOLE BARNES & NOBLE INC NOTE 5.250% 3/1 067774AD1 17,626 17,915,000PRN SOLE BAXTER INTL INC DBCV 1.250% 6/0 071813AR0 109 110,000 PRN SOLE BEA SYS INC NOTE 4.000%12/1 073325AD4 3,490 4,500,000 PRN SOLE BENCHMARK ELECTRS INC NOTE 6.000% 8/1 08160HAC5 2,888 3,500,000 PRN SOLE BIOPURE CORP CL A 09065H105 7,383 2,343,807 SH SOLE BISYS GROUP INC NOTE 4.000% 3/1 055472AB0 151 165,000 PRN SOLE BRIGGS & STRATTON CORP NOTE 5.000% 5/1 109043AE9 14,790 14,450,000PRN SOLE BROCADE COMMUNICATIONS SYS I NOTE 2.000% 1/0 111621AB4 3,767 5,750,000 PRN SOLE CAMINUS CORP COM 133766105 4,015 2,509,473 SH SOLE CELESTICA INC NOTE 8/0 15101QAA6 39,138 92,000,000PRN SOLE CENDANT CORP DEBT 2/1 151313AF0 3,251 5,235,000 PRN SOLE CENDANT CORP DBCV 5.0 151313AH6 1,943 2,000,000 PRN SOLE CENDANT CORP DBCV 3.875%11/2 151313AN3 3,038 3,240,000 PRN SOLE CENTRAL GARDEN & PET CO NOTE 6.000%11/1 153527AC0 4,613 4,780,000 PRN SOLE CEPHALON INC NOTE 5.250% 5/0 156708AC3 22,268 24,150,000PRN SOLE CEPHALON INC NOTE 2.500%12/1 156708AE9 1,677 2,000,000 PRN SOLE CHARLES RIV LABORATORIES INC DBCV 3.500% 2/0 159863AL3 6,021 4,900,000 PRN SOLE CHECK POINT SOFTWARE TECH LT ORD M22465104 1,484 108,000 SH SOLE CHECKFREE HLDGS CORP NOTE 6.500%12/0 162816AC6 5,235 6,000,000 PRN SOLE CHECKPOINT SYS INC SDCV 5.250%11/0 162825AB9 1,356 1,500,000 PRN SOLE CITRIX SYS INC SDCV 3/2 177376AB6 2,113 5,250,000 PRN SOLE CKE RESTAURANTS INC NOTE 4.250% 3/1 12561EAB1 4,432 5,097,000 PRN SOLE CLEAR CHANNEL COMMUNICATIONS NOTE 2.625% 4/0 184502AB8 20,636 20,985,000PRN SOLE CLEAR CHANNEL COMMUNICATIONS NOTE 1.500%12/0 184502AE2 7,940 8,000,000 PRN SOLE COLLAGENEX PHARMACEUTICALS I COM 19419B100 2,448 431,733 SH SOLE COMMSCOPE INC NOTE 4.000%12/1 203372AB3 1,114 1,500,000 PRN SOLE COMMUNITY HEALTH SYS INC NEW NOTE 4.250%10/1 203668AA6 11,998 11,290,000PRN SOLE COMPANIA ANONIMA NACIONL TEL SPON ADR D 204421101 20,653 1,957,599 SH SOLE COMPANIA CERVECERIAS UNIDAS SPONSORED ADR 204429104 7,516 593,206 SH SOLE COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 4,873 227,700 SH SOLE COMPUTER NETWORK TECHNOLOGY NOTE 3.000% 2/1 204925AC5 631 1,000,000 PRN SOLE CORNING INC DBCV 11/0 219350AJ4 33,781 78,560,000PRN SOLE CORNING INC NOTE 3.500%11/0 219350AK1 15,447 27,100,000PRN SOLE CV THERAPEUTICS INC NOTE 4.750% 3/0 126667AB0 764 1,000,000 PRN SOLE DEVON ENERGY CORP NEW DEB 4.950%8/1 25179MAB9 4,499 4,510,000 PRN SOLE DOUBLECLICK INC NOTE 4.750% 3/1 258609AC0 4,585 5,500,000 PRN SOLE E TRADE GROUP INC NOTE 6.000% 2/0 269246AB0 636 1,000,000 PRN SOLE ECHOSTAR COMMUNICATIONS NEW NOTE 4.875% 1/0 278762AD1 4,990 6,530,000 PRN SOLE ECHOSTAR COMMUNICATIONS NEW NOTE 5.750% 5/1 278762AG4 39,961 53,150,000PRN SOLE EDO CORP NOTE 5.250% 4/1 281347AD6 1,549 1,500,000 PRN SOLE EMBOTELLADORA ANDINA S A SPON ADR B 29081P303 16,004 3,207,200 SH SOLE ENZON INC NOTE 4.500% 7/0 293904AB4 5,042 7,250,000 PRN SOLE FORD MTR CO CAP TR II PFD TR CV6.5% 345395206 7,252 180,000 SH SOLE FOREST OIL CORP COM PAR $0.01 346091705 71,589 2,807,399 SH SOLE GAP INC DEL NOTE 5.750% 3/1 364760AJ7 4,932 5,000,000 PRN SOLE GENERAL SEMICONDUCTOR INC NOTE 5.750% 12/1 370787AB9 16,542 18,500,000PRN SOLE GENESCO INC NOTE 5.500% 4/1 371532AL6 1,792 2,000,000 PRN SOLE GENESIS HEALTH VENTURE INC N COM 37183F107 32,069 1,950,669 SH SOLE GENZYME CORP SDCV 3.000% 5/1 372917AK0 3,378 4,000,000 PRN SOLE GETTY IMAGES INC NOTE 5.000% 3/1 374276AE3 53,829 62,570,000PRN SOLE GRUPO IUSACELL S A DE C V NE SPON ADR V 40050B100 2,808 4,255,100 SH SOLE GTECH HLDGS CORP DBCV 1.750%12/1 400518AB2 3,932 3,350,000 PRN SOLE HASBRO INC DBCV 2.750%12/0 418056AN7 4,562 5,000,000 PRN SOLE HEALTH MGMT ASSOC INC NEW SDCV 0.250% 8/1 421933AB8 9,407 13,500,000PRN SOLE HEALTH MGMT ASSOC INC NEW NOTE 1/2 421933AD4 12,220 14,000,000PRN SOLE HEALTHSOUTH CORP SDCV 3.250% 4/0 421924AF8 36,899 39,335,000PRN SOLE HILTON HOTELS CORP NOTE 5.000% 5/1 432848AL3 1,667 1,825,000 PRN SOLE HUTCHINSON TECHNOLOGY INC NOTE 6.000% 3/1 448407AC0 2,851 3,000,000 PRN SOLE ICN PHARMACEUTICALS INC NEW NOTE 6.500% 7/1 448924AM2 3,876 5,865,000 PRN SOLE INCO LTD DBCV 5.750% 7/0 453258AK1 627 625,000 PRN SOLE INCO LTD NOTE 3/2 453258AM7 14,888 25,376,000PRN SOLE INTERIM SVCS INC NOTE 4.500% 6/0 45868PAA8 3,934 4,420,000 PRN SOLE INTERNATIONAL RECTIFIER CORP NOTE 4.250% 7/1 460254AE5 1,565 2,000,000 PRN SOLE INTERPUBLIC GROUP COS INC NOTE 1.800% 9/1 460690AF7 5,942 7,180,000 PRN SOLE INTERPUBLIC GROUP COS INC NOTE 1.870% 6/0 460690AJ9 3,697 5,300,000 PRN SOLE INVITROGEN CORP NOTE 2.250%12/1 46185RAD2 3,998 5,000,000 PRN SOLE IVAX CORP NOTE 5.500% 5/1 465823AD4 2,541 3,000,000 PRN SOLE IVAX CORP NOTE 4.500% 5/1 465823AG7 4,617 6,000,000 PRN SOLE JOY GLOBAL INC COM 481165108 33,542 4,041,200 SH SOLE KT CORP SPONSORED ADR 48268K101 10,193 459,578 SH SOLE L-3 COMMUNICATIONS HLDGS INC DEBT 4.000% 9/1 502424AD6 21,013 17,435,000PRN SOLE LABORATORY CORP AMER HLDGS NOTE 9/1 50540RAC6 18,127 25,740,000PRN SOLE LAMAR ADVERTISING CO NOTE 5.250% 9/1 512815AF8 2,078 2,150,000 PRN SOLE LEAR CORP NOTE 2/2 521865AG0 11,014 25,000,000PRN SOLE LENNAR CORP NOTE 4/0 526057AF1 7,093 15,000,000PRN SOLE LSI LOGIC CORP NOTE 4.000%11/0 502161AG7 2,254 3,000,000 PRN SOLE MEDTRONIC INC DBCV 1.250% 9/1 585055AB2 44,567 43,360,000PRN SOLE MIRANT CORP NOTE 5.750% 7/1 604675AC2 5,307 5,447,900 PRN SOLE NATIONAL DATA CORP NOTE 5.000%11/0 635621AA3 19,526 20,350,000PRN SOLE NCO GROUP INC NOTE 4.750% 4/1 628858AB8 3,159 4,500,000 PRN SOLE NETWORK ASSOCS INC SDCV 2/1 640938AB2 2,850 6,000,000 PRN SOLE NETWORK ASSOCS INC NOTE 5.250% 8/1 64123LAB7 10,630 11,000,000PRN SOLE NEWFIELD FIN TR I QUIPS SER A 651291205 9,822 187,800 SH SOLE NEXTEL COMMUNICATIONS INC NOTE 4.750% 7/0 65332VAT0 32,899 44,250,000PRN SOLE NORTEL NETWORKS CORP NEW NOTE 4.250% 9/0 656568AB8 9,704 34,050,000PRN SOLE NVIDIA CORP NOTE 4.750% 10/1 67066GAA2 2,988 4,000,000 PRN SOLE OHIO CAS CORP NOTE 5.000% 3/1 677240AC7 505 500,000 PRN SOLE OMNICARE INC SDCV 5.000%12/0 681904AD0 5,088 5,625,000 PRN SOLE OMNICOM GROUP INC NOTE 7/3 681919AM8 1,413 1,500,000 PRN SOLE ORBITAL SCIENCES CORP NOTE 5.000%10/0 685564AC0 3,230 3,250,000 PRN SOLE P T TELEKOMUNIKASI INDONESIA SPONSORED ADR 715684106 1,115 150,000 SH SOLE PANAMERICAN BEVERAGES INC CL A P14823108 17,263 1,821,000 SH SOLE PENN TRAFFIC CO NEW COM NEW 707832200 11,260 1,724,396 SH SOLE PENNY J C INC NOTE 5.000%10/1 708160BV7 15,209 17,500,000PRN SOLE PEPSI-GEMEX S A DE C V GDR REP ORD 713435105 66,790 6,705,800 SH SOLE PERFORMANCE FOOD GROUP CO NOTE 5.500%10/1 713755AA4 2,668 2,110,000 PRN SOLE PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V101 6,555 686,400 SH SOLE PHOTRONICS INC NOTE 4.750% 12/1 719405AC6 2,529 3,500,000 PRN SOLE POGO PRODUCING CO NOTE 5.500% 6/1 730448AE7 359 350,000 PRN SOLE PREMIERE TECHNOLOGIES INC NOTE 5.750% 7/0 74058FAC6 4,978 5,800,000 PRN SOLE PROVINCE HEALTHCARE CO NOTE 4.500%11/2 743977AC4 7,368 7,625,000 PRN SOLE PROVINCE HEALTHCARE CO NOTE 4.250%10/1 743977AE0 908 1,000,000 PRN SOLE QUANTA SVCS INC NOTE 4.000% 7/0 74762EAA0 2,815 5,865,000 PRN SOLE RADISYS CORP NOTE 5.500% 8/1 750459AB5 1,648 2,000,000 PRN SOLE RADWARE LTD ORD M81873107 2,370 358,000 SH SOLE REDBACK NETWORKS INC NOTE 5.000% 4/0 757209AB7 6,329 37,227,000PRN SOLE REINSURANCE GROUP AMER INC PFD TR INC EQ 759351307 4,532 103,000 SH SOLE RENAL TREATMENT CTRS INC NOTE 5.625% 7/1 759671AC4 30,392 29,270,000PRN SOLE RES-CARE INC NOTE 6.000%12/0 760943AC4 2,838 3,810,000 PRN SOLE RESMED INC NOTE 4.000% 6/2 761152AB3 3,028 3,500,000 PRN SOLE RF MICRODEVICES INC NOTE 3.750% 8/1 749941AB6 4,098 5,500,000 PRN SOLE ROYAL CARIBBEAN CRUISES LTD NOTE 2/0 780153AK8 4,682 13,500,000PRN SOLE ROYAL CARIBBEAN CRUISES LTD NOTE 5/1 780153AM4 22,407 57,778,000PRN SOLE S L INDS INC COM 784413106 2,783 525,000 SH SOLE SAFEGUARD SCIENTIFICS INC NOTE 5.000% 6/1 786449AE8 1,764 2,790,000 PRN SOLE SANMINA SCI CORP NOTE 4.250% 5/0 800907AB3 1,306 1,500,000 PRN SOLE SANMINA SCI CORP SDCV 9/1 800907AD9 27,621 81,000,000PRN SOLE SCIENTIFIC GAMES CORP CL A 80874P109 26,130 3,900,000 SH SOLE SEMTECH CORP NOTE 4.500% 2/0 816850AD3 3,148 4,000,000 PRN SOLE SERVICE CORP INTL NOTE 6.750% 6/2 817565AU8 55,358 65,610,000PRN SOLE SHAW GROUP INC NOTE 5/0 820280AC9 4,055 8,000,000 PRN SOLE SK TELECOM LTD SPONSORED ADR 78440P108 7,912 372,700 SH SOLE SKECHERS U S A INC NOTE 4/500% 4/1 830566AB1 2,173 3,000,000 PRN SOLE SOLECTRON CORP NOTE 5/0 834182AK3 7,328 12,422,000PRN SOLE SPECTRASITE HLDGS INC NOTE 6.750%11/1 84760TAL4 3,390 16,950,000PRN SOLE SUNRISE ASSISTED LIVING INC NOTE 5.250% 2/0 86768KAE6 1,832 2,150,000 PRN SOLE SUPERVALU INC NOTE 11/0 868536AP8 3,668 13,120,000PRN SOLE SYSTEMS & COMPUTER TECHNOLOG SDCV 5.000%10/1 871873AB1 1,096 1,218,000 PRN SOLE TELEFONOS DE MEXICO S A DBCV 4.250% 6/1 879403AD5 6,075 5,500,000 PRN SOLE TELEFONOS DE MEXICO S A SPON ADR ORD L 879403780 19,297 685,500 SH SOLE TEVA PHARMACEUTICAL FIN LLC DBCV 1.500%10/1 88163VAB5 121 115,000 PRN SOLE TEVA PHARMACEUTICAL FIN NV NOTE 0.750% 8/1 88163XAB1 28,653 27,500,000PRN SOLE TOTAL RENAL CARE HLDGS INC NOTE 7.000% 5/1 89151AAC1 3,483 3,550,000 PRN SOLE TOWER AUTOMOTIVE INC NOTE 5.000% 8/0 891707AE1 2,649 3,000,000 PRN SOLE TRANSWITCH CORP NOTE 4.500 9/1 894065AB7 377 650,000 PRN SOLE TYCO INTL GROUP S A DBCV 2/1 902118AW8 204,213 312,970,00PRN SOLE TYCO INTL LTD NEW NOTE 11/1 902124AC0 4,638 7,000,000 PRN SOLE UNITED PARCEL SERVICE INC NOTE 1.750% 9/2 911312AB2 37,029 35,800,000PRN SOLE UNITED STATES CELLULAR CORP NOTE 6/1 911684AA6 3,687 10,385,000PRN SOLE UNIVERSAL HLTH SVCS INC DBCV 0.426% 6/2 913903AL4 19,106 29,015,000PRN SOLE VERIZON GLOBAL FUNDING CORP NOTE 5/1 92344GAN6 5,742 10,500,000PRN SOLE WASTE CONNECTIONS INC NOTE 5.500% 4/1 941053AB6 4,020 3,410,000 PRN SOLE WMX TECHNOLOGIES INC NOTE 2.000% 1/2 92929QAF4 882 1,000,000 PRN SOLE XEROX CORP SDCV 0.570% 4/2 984121BB8 3,271 5,822,000 PRN SOLE XL CAP LTD DBCV 5/2 98372PAB4 10,818 17,500,000PRN SOLE
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