-----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, Sb0x7pw37/KGY7iw1rZ8cOoIU/Etjmv/a8EtpjSg7r2UFArWgOdRj+b/qUvoTsxL mFSkIa+QPbBHqSNgY6FOLA== 0000950134-03-014966.txt : 20031215 0000950134-03-014966.hdr.sgml : 20031215 20031112121206 ACCESSION NUMBER: 0000950134-03-014966 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031112 EFFECTIVENESS DATE: 20031112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIR TREE INC CENTRAL INDEX KEY: 0001056491 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06884 FILM NUMBER: 03992205 BUSINESS ADDRESS: STREET 1: 535 FIFTH AVENUE 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2123983500 MAIL ADDRESS: STREET 1: 535 FIFTH AVENUE 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 d10574e13fvhr.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended September 30, 2003. 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: Fir Tree, Inc. Address: 535 Fifth Avenue, 31st Floor, New York, NY 10017 13F File Number: 28-6884 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: Jeffrey D. Tannenbaum Title: President Phone: (212) 599-0090 Signature, Place, and Date of Signing: JEFFREY D. TANNENBAUM New York, New York November 12, 2003 - --------------------- ------------------ ----------------- Jeffrey D. Tannenbaum 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 Form 13F Information Table Entry Total: 31 Form 13F Information Table Value Total: $ 823,277 List of Other Included Managers: No. 13F File Number Name FORM 13F INFORMATION TABLE
- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ NAME OF TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY ISSUER CLASS CUSIP [x$1000] PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ AES CORP SDCV 0130HAN5 9,257 9,900,000 PRN SOLE 9,900,000 4.500%8/1 - ------------------------------------------------------------------------------------------------------------------------------------ AES TR III PFD CV 00808N202 5,228 141,300 SH SOLE 141,300 6.75% - ------------------------------------------------------------------------------------------------------------------------------------ AMERICAN ELEC PWR INC PUT 025537951 30,000 1,000,000 SH SOLE 1,000,000 - ------------------------------------------------------------------------------------------------------------------------------------ AMR CORP COM 001765106 19,636 1,714,959 SH SOLE 1,714,959 - ------------------------------------------------------------------------------------------------------------------------------------ AMR CORP PUT 001765956 1,477 129,000 SH SOLE 129,000 - ------------------------------------------------------------------------------------------------------------------------------------ BRISTOL MYERS SQUIBB CO COM 110122108 7,057 275,000 SH SOLE 275,000 - ------------------------------------------------------------------------------------------------------------------------------------ CALPINE CORP COM 131347106 87,716 17,937,925 SH SOLE 17,937,925 - ------------------------------------------------------------------------------------------------------------------------------------ CALPINE CORP PUT 131347956 15,702 3,211,000 SH SOLE 3,211,000 - ------------------------------------------------------------------------------------------------------------------------------------ CAPITAL ONE FINL CORP PUT 14040H955 2,852 50,000 SH SOLE 50,000 - ------------------------------------------------------------------------------------------------------------------------------------ DUKE ENERGY CORP PUT 264399956 17,810 1,000,000 SH SOLE 1,000,000 - ------------------------------------------------------------------------------------------------------------------------------------ DYNEGY INC CLA 26816Q101 12,196 3,387,782 SH SOLE 3,387,782 - ------------------------------------------------------------------------------------------------------------------------------------ EDISON INTL COM 281020107 51,475 2,695,000 SH SOLE 2,695,000 - ------------------------------------------------------------------------------------------------------------------------------------ EL PASO CORP COM 28336L109 23,861 3,268,000 SH SOLE 3,268,000 - ------------------------------------------------------------------------------------------------------------------------------------
EL PASO CORP PUT 28336L959 15,089 2,067,000 SH SOLE 2,067,000 - ------------------------------------------------------------------------------------------------------------------------------------ FEDERAL NATL MTG ASSN COM 313586109 35,669 508,100 SH SOLE 508,100 - ------------------------------------------------------------------------------------------------------------------------------------ FEDERAL NATL MTG ASSN CALL 313586909 7,020 100,000 SH SOLE 100,000 - ------------------------------------------------------------------------------------------------------------------------------------ FEDERAL HOME LN MTG CORP COM 313400301 18,029 344,400 SH SOLE 344,400 - ------------------------------------------------------------------------------------------------------------------------------------ FEDERAL HOME LN MTG CORP CALL 313400901 57,585 1,100,000 SH SOLE 1,100,000 - ------------------------------------------------------------------------------------------------------------------------------------ LEVEL 3 COMMUNICATIONS INC COM 52729N100 37,841 6,981,688 SH SOLE 6,981,688 - ------------------------------------------------------------------------------------------------------------------------------------ NEXTEL COMMUNICATIONS INC CLA 65332V103 44,342 2,249,742 SH SOLE 2,249,742 - ------------------------------------------------------------------------------------------------------------------------------------ OMNICOM GROUP COM 681919106 13,472 187,500 SH SOLE 187,500 - ------------------------------------------------------------------------------------------------------------------------------------ OMNICOM GROUP PUT 681919956 6,740 93,800 SH SOLE 93,800 - ------------------------------------------------------------------------------------------------------------------------------------ PG&E CORP COM 69331C108 83,097 3,476,850 SH SOLE 3,476,850 - ------------------------------------------------------------------------------------------------------------------------------------ QUEST DIAGNOSTICS INC COM 74834L100 26,075 430,000 SH SOLE 430,000 - ------------------------------------------------------------------------------------------------------------------------------------ QUEST DIAGNOSTICS INC PUT 74834L950 26,075 430,000 SH SOLE 430,000 - ------------------------------------------------------------------------------------------------------------------------------------ QWEST COMMUNICATIONS INTL COM 749121109 12,667 3,725,450 SH SOLE 3,725,450 - ------------------------------------------------------------------------------------------------------------------------------------ QWEST COMMUNICATIONS INTL CALL 749121909 3,501 1,029,600 SH SOLE 1,029,600 - ------------------------------------------------------------------------------------------------------------------------------------
TXU CORP COM 873168108 57,722 2,450,000 SH SOLE 2,450,000 - ------------------------------------------------------------------------------------------------------------------------------------ TXU CORP PUT 873168958 17,670 750,000 SH SOLE 750,000 - ------------------------------------------------------------------------------------------------------------------------------------ XCEL ENERGY INC COM 98389B100 51,307 3,316,551 SH SOLE 3,316,551 - ------------------------------------------------------------------------------------------------------------------------------------ XEROX CORP COM 98389B950 23,780 2,317,700 SH SOLE 2,317,700 - ------------------------------------------------------------------------------------------------------------------------------------
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