-----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, C7vX9QWwZb14IR4dAgj6pmQFDnrYDQAr3WRZVWnc2ti9cWPHUdXmp6MacLoJR3rn sKZK/7nxVUJc3Xo/23OFJQ== 0000919574-03-000307.txt : 20030213 0000919574-03-000307.hdr.sgml : 20030213 20030213121952 ACCESSION NUMBER: 0000919574-03-000307 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030213 EFFECTIVENESS DATE: 20030213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SLS MANAGEMENT LLC CENTRAL INDEX KEY: 0001093060 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05389 FILM NUMBER: 03557566 BUSINESS ADDRESS: STREET 1: 140 WEST 57TH STREET STE 7B CITY: NEW YORK STATE: NY BUSINESS PHONE: 2125741233 MAIL ADDRESS: STREET 1: 140 WEST 57TH STREET STE 7B CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 d384532_13f.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 December 31, 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: SLS Management, LLC Address: 140 West 57th Street, Suite 7B New York, New York 10019 13F File Number: 28-05389 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: Steven Rohlfing Title: Chief Financial Officer Phone: (212) 537-3605 Signature, Place and Date of Signing: /s/ Steven Rohlfing New York, New York February 13, 2003 - ----------------------- -------------------------- ---------------------- [Signature] [City, State] [Date] Report Type: (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report). [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting managers(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 37 Form 13F Information Table Value Total: $259,718 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE Form 13 F Table December 31, 2002
COL 1 COL 3 COL 4 COL 5 COL 6 COL 6 COL 7 COL 8 COL 8 Security Market Investment Investment Other Voting Voting Symbol Security Cusip Value Shares Discretion Discretion Managers Authority Authority SOLE SHARED SOLE SHARED PVN Providian Financial Corp. 74406A102 50,238 7,740,777 7,239,747 501,030 NO 7,239,747 501,030 CVC Cablevision Systems Corp. 12686C109 22,967 1,371,974 1,281,665 90,309 NO 1,281,665 90,309 BFT Bally Total Fitness Hldgs 05873K108 22,581 3,184,941 2,980,486 204,455 NO 2,980,486 204,455 FLM Fleming Companies Inc 339130106 20,435 3,110,306 2,872,695 237,611 NO 2,872,695 237,611 MGAM Multimedia Games Inc 625453105 17,098 622,661 599,413 23,248 NO 599,413 23,248 VVTV ValueVision International Inc. 92047K107 15,676 1,046,462 991,164 55,298 NO 991,164 55,298 WTM White Mountains Ins. Grp. G9618E107 9,529 29,500 27,519 1,981 NO 27,519 1,981 T AT&T Corp 001957505 6,537 250,354 233,486 16,868 NO 233,486 16,868 HPQ Hewlett-Packard Co. 428236103 6,076 350,000 326,542 23,458 NO 326,542 23,458 HUM Humana, Inc. 444859102 5,987 598,650 558,315 40,335 NO 558,315 40,335 BSC Bear Sterns Companies 073902108 5,940 100,000 93,286 6,714 NO 93,286 6,714 NEM Newmont Mining Corp. 651639106 5,806 200,000 186,570 13,430 NO 186,570 13,430 RDA Readers Digest Association 755267101 5,532 366,388 341,702 24,686 NO 341,702 24,686 OMX OfficeMax, Inc. 67622M108 5,456 1,091,200 1,017,814 73,386 NO 1,017,814 73,386 GREY Grey Global Group Inc. 39787M108 5,372 8,790 8,219 571 NO 8,219 571 HD Home Depot Inc. 437076102 4,804 200,000 186,486 13,514 NO 186,486 13,514 SV Stilwell Financial 47102X105 4,405 337,000 314,308 22,692 NO 314,308 22,692 702702 Pass-Through Amortizing AD3 Credit Card Trust 702702AD3 4,157 5,000,000 5,000,000 0 NO 5,000,000 0 SONC Sonic Corp 835451105 4,098 200,000 186,572 13,428 NO 186,572 13,428 FDP Fresh Del Monte Products Inc G36738105 3,039 160,700 149,907 10,793 NO 149,907 10,793 SFD Smithfield Foods Inc 832248108 2,976 150,000 139,891 10,109 NO 139,891 10,109 PNC PNC Financial Services Group Inc 693475105 2,619 62,500 58,309 4,191 NO 58,309 4,191 BAC Bank Of America 060505104 2,616 37,600 35,079 2,521 NO 35,079 2,521 STI Suntrust Banks Inc 867914103 2,596 45,600 42,542 3,058 NO 42,542 3,058 NCC National City Corp. 635405103 2,560 93,700 87,417 6,283 NO 87,417 6,283 KEY Keycorp 493267108 2,529 100,600 93,853 6,747 NO 93,853 6,747 WM Washington Mutual 939322103 2,497 72,300 67,452 4,848 NO 67,452 4,848 LEH Lehman Brothers Holdings 524908100 2,036 38,200 38,200 0 NO 38,200 0 USB U.S. Bancorp 902973304 1,995 94,000 87,695 6,305 NO 87,695 6,305 AOL America Online 00184A105 1,965 150,000 139,927 10,073 NO 139,927 10,073 NXLC Nextwave Telecom B 65332M103 1,856 806,779 761,631 45,148 NO 761,631 45,148 FBF FleetBoston Financial Corp. 339030108 1,750 72,000 67,174 4,826 NO 67,174 4,826 LSMM Laser Mortgage Mgt., Inc. 51806D100 1,245 957,600 886,476 71,124 NO 886,476 71,124 KZL Kerzner International Ltd P6065Y107 1,004 50,000 50,000 0 NO 50,000 0 UNCA Radio Unica Communications Corp 75040Q106 602 2,005,402 1,900,767 104,635 NO 1,900,767 104,635 74406A Providian Financial Corp. 1AA Call 1-03 Strike 5 74406A1AA 2,748 18,954 18,026 928 NO 18,026 928 29255U Encompass Services Corp AC8 10.5% Due 05-01-09 29255UAC8 391 19,530,000 18,529,000 1,001,000 NO 8,529,000 1,001,000
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