-----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, P2TjQdoj6Vd7c2WfQKbTIznecmiu11KUDjFJWOClSVpijhi499P9nE3DE03Bpm1q 1DzGoNvwMItQiP/HP4Ah+A== 0001007024-02-000024.txt : 20021118 0001007024-02-000024.hdr.sgml : 20021118 20021115183714 ACCESSION NUMBER: 0001007024-02-000024 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021118 EFFECTIVENESS DATE: 20021118 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HALCYON SLIFKA ALAN B MANAGEMENT CO LLC CENTRAL INDEX KEY: 0001007024 IRS NUMBER: 133093794 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06072 FILM NUMBER: 02830634 BUSINESS ADDRESS: STREET 1: 477 MADISON AVE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123039400 MAIL ADDRESS: STREET 1: 477 MADISON AVE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 hab93002.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/02 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: Halcyon/Alan B. Slifka Management Company Address: 477 Madison Avenue 8th Floor New York, NY 10022 13F File Number: 28-06072 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: James Pasquarelli Title: Chief Financial Officer Phone: 212-303-9414 Signature, Place, and Date of Signing: James Pasquarelli New York, NY November 15, 2002 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 THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 23 Form13F Information Table Value Total: $70,381 thousands List of Other Included Managers: List of Other Managers Reporting for this Manager: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Abraxas Petroleum Corparation COMMON 003830106 1 824 X SOLE 824 McLeod USA COMMON 582266706 24 54852 X SOLE 54852 ROTECH HEALTHCARE COMMON 778669101 1133 78148 X SOLE 78148 Philip Morris Cos COMMON 718154107 5034 129733 X SOLE 129733 The Kroger Co. COMMON 501044101 1943 137800 X SOLE 137800 Comcast Corp Class A COMMON 200300101 3601 168801 X SOLE 168801 United Defense COMMON 91018B104 4022 170422 X SOLE 170422 AT&T Corp COMMON 001957109 2095 174422 X SOLE 174422 TRW Inc. COMMON 872649108 22591 385842 X SOLE 385842 Pharmacia Corp COMMON 71713U102 21460 551953 X SOLE 551953 Mpower Holding Corp. COMMON 62473L309 52 580144 X SOLE 580144 Mariner Healthcare Inc. COMMON 56845X108 5244 749106 X SOLE 749106 McLeod Pfd Series A PREFERRED 582266805 344 229192 X SOLE 229192 EL Paso Corp Oct 15 Call OPTION 28336L109 17 1663 CALL SOLE 1663 United Defense March 22 1/ OPTION 91018B104 353 928 CALL SOLE 928 The Kroger Co. Oct 20 OPTION 501044101 14 1378 CALL SOLE 1378 Conagra Inc. Oct 25 OPTION 205887102 83 1378 PUT SOLE 1378 H&R Block Nov 45 OPTION 093671105 330 492 PUT SOLE 492 H&R Block Oct 45 OPTION 093671105 381 718 PUT SOLE 718 Kmart Jan 5 OPTION 482584109 1117 2428 PUT SOLE 2428 RJ Reynolds Tob Oct 37-1/2 OPTION 76182K105 62 480 PUT SOLE 480 The Kroger Co. Oct 17-1/2 OPTION 501044101 455 1378 PUT SOLE 1378 McLeod Warrants WARRANT 582266110 25 631600 X SOLE 631600
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