-----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, PA3DrjSEQ1wC/Q1PEoauZvD9QypXmTrzdoP8Z6RxFVkd+oVmvjSDKF8AHYzG1mdi 95J+NLYaZAdu1li/spWIbA== 0000912057-02-030043.txt : 20020806 0000912057-02-030043.hdr.sgml : 20020806 20020806141224 ACCESSION NUMBER: 0000912057-02-030043 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020806 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DG CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001123798 IRS NUMBER: 043324465 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06035 FILM NUMBER: 02720501 BUSINESS ADDRESS: STREET 1: 101 ARCH STREET STREET 2: SUITE 650 CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6178961500 MAIL ADDRESS: STREET 1: 101 ARCH STREET STREET 2: SUITE 650 CITY: BOSTON STATE: MA ZIP: 02110 13F-HR 1 a2086046z13f-hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/02 ----------------------- 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: DG Capital Management, Inc. ------------------------------- Address: 101 Arch Street ------------------------------- Suite 650 ------------------------------- Boston, MA 02110 ------------------------------- Form 13F File Number: 28-06035 --------------------- 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: Kimberly Voss ------------------------------- Title: Office Manager ------------------------------- Phone: 617-896-1500 ------------------------------- Signature, Place, and Date of Signing: /s/ Kimberly Voss Boston, MA 8/5/02 ------------------------------- ----------------- ------------- [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 manager(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: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28- --------------- ------------------------------------ [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None -------------------- Form 13F Information Table Entry Total: 66 -------------------- Form 13F Information Table Value Total: 209,056 -------------------- (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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 28- ------ ----------------- --------------------------------- [Repeat as necessary.] FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------- ---------------- --------- -------- ---------------------- ------------ ---------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------- ---------------- --------- -------- --------- ----- ------ ------------ ---------- ------ -------- ------ ABERCROMBIE & FITCH CO COMMON 002896207 4,860 201,500 SH SOLE 201,500 ACTIVISION INC COMMON 004930202 2,188 75,300 SH SOLE 75,300 AETNA INC COMMON 00817Y108 4,447 92,700 SH SOLE 92,700 AMBAC FINANCIAL INC COMMON 023139108 4,852 72,200 SH SOLE 72,200 AMBAC FINANCIAL INC OPTION 023139108 49 722 SH PUT SOLE 722 AMERICAN STD COS INC COMMON 029712106 3,004 40,000 SH SOLE 40,000 APACHE CORP COMMON 037411105 6,673 116,100 SH SOLE 116,100 APACHE CORP OPTION 037411105 67 1,161 SH PUT SOLE 1,161 AVON PRODUCTS COMMON 054303102 5,746 110,000 SH SOLE 110,000 AVON PRODUCTS OPTION 054303102 42 800 SH PUT SOLE 800 BARCLAYS PLC COMMON 06738E204 3,371 100,000 SH SOLE 100,000 BJ'S WHOLESALE CLUB COMMON 05548J106 4,362 113,300 SH SOLE 113,300 CARNIVAL CORP COMMON 143658102 2,077 75,000 SH SOLE 75,000 CENDANT CP COMMON 151313103 7,524 473,800 SH SOLE 473,800 COUNTRYWIDE CREDIT IND COMMON 222372104 4,825 100,000 SH SOLE 100,000 COUNTRYWIDE CREDIT IND OPTION 222372104 48 1,000 SH PUT SOLE 1,000 CR BARD INC COMMON 067383109 7,050 124,600 SH SOLE 124,600 DIVERSINET CORP COMMON 25536K204 169 583,334 SH SOLE 583,334 DIVERSINET CORP WARRANT 25536K204 127 437,502 SH SOLE 437,502 DUKE ENERGY CORP OPTION 264399106 78 2,500 SH PUT SOLE 2,500 EBAY INC COMMON 278642103 2,157 35,000 SH SOLE 35,000 EI DU PONT DE NEMOURS COMMON 263534109 5,150 116,000 SH SOLE 116,000 ENSCO INTERNATIONAL INC COMMON 26874Q100 1,772 65,000 SH SOLE 65,000 GANNETT CO INC COMMON 364730101 5,693 75,000 SH SOLE 75,000 GENERAL DYNAMICS COMMON 369550108 3,191 30,000 SH SOLE 30,000 GENERAL MOTORS CORP OPTION 370442105 27 500 SH CALL SOLE 500 GILLETTE CO COMMON 375766102 5,081 150,000 SH SOLE 150,000 HOLLYWOOD ENTERTAINMENT COMMON 436141105 5,232 253,000 SH SOLE 253,000 INTUIT INC COMMON 461202103 3,978 80,000 SH SOLE 80,000 INTUIT INC OPTION 461202103 39 785 SH PUT SOLE 785 JOHNSON CONTROLS INC COMMON 478366107 4,897 60,000 SH SOLE 60,000 JP MORGAN CHASE & CO COMMON 46625H100 3,392 100,000 SH SOLE 100,000 JP MORGAN CHASE & CO OPTION 46625H100 34 1,000 SH PUT SOLE 1,000 LEAR CORP COMMON 521865105 3,700 80,000 SH SOLE 80,000 LOCKHEED MARTIN CORP COMMON 539830109 8,708 125,300 SH SOLE 125,300 MANHATTAN ASSOCIATES OPTION 562750109 8 250 SH PUT SOLE 250 MEADWESTVACO CORP COMMON 583334107 6,903 205,700 SH SOLE 205,700 MGIC INVESTMENT CORP COMMON 552848103 6,400 94,400 SH SOLE 94,400 MICHAELS STORES INC COMMON 594087108 1,560 40,000 SH SOLE 40,000 MICROCHIP TECHNOLOGY INC COMMON 595017104 5,486 200,000 SH SOLE 200,000 MICROCHIP TECHNOLOGY INC OPTION 595017104 55 2,000 SH PUT SOLE 2,000 MTR GAMING GROUP INC COMMON 553769100 167 10,000 SH SOLE 10,000 MYLAN LABORATIES INC COMMON 628530107 3,762 120,000 SH SOLE 120,000 NATIONAL OILWELL INC COMMON 637071101 3,158 150,000 SH SOLE 150,000 OCEAN ENERGY INC COMMON 67481E106 2,167 100,000 SH SOLE 100,000 OCEAN ENERGY INC OPTION 67481E106 22 1,000 SH PUT SOLE 1,000 PAPA JOHN'S INTL INC COMMON 698813102 1,636 49,000 SH SOLE 49,000 PHILIP MORRIS COMPANIES OPTION 718154107 31 720 SH CALL SOLE 720 PROCTER & GAMBLE COMPANY COMMON 742718109 8,912 99,800 SH SOLE 99,800 PROCTER & GAMBLE COMPANY OPTION 742718109 47 527 SH PUT SOLE 527 ROCKWELL COLLINS INC COMMON 774341101 2,057 75,000 SH SOLE 75,000 ROHM AND HAAS CO COMMON 775371107 3,644 90,000 SH SOLE 90,000 ROWAN COMPANIES INC COMMON 779382100 3,638 169,600 SH SOLE 169,600 ROWAN COMPANIES INC OPTION 779382100 36 1,696 SH PUT SOLE 1,696 SHAW GROUP COMMON 820280105 461 15,000 SH SOLE 15,000 SIEBEL SYSTEMS OPTION 826170102 7 500 SH PUT SOLE 500 SILICON VALLEY BANCSHARES COMMON 827064106 2,636 100,000 SH SOLE 100,000 STARBUCKS CORP COMMON 855244109 3,728 150,000 SH SOLE 150,000 TENET HEALTHCARE CORP COMMON 88033G100 6,854 143,700 SH SOLE 143,700 TETRA TECH INC COMMON 88162G103 2,208 150,200 SH SOLE 150,200 THE ALLSTATE CORP COMMON 020002101 5,192 140,400 SH SOLE 140,400 UNION PACIFIC CORP COMMON 907818108 5,379 85,000 SH SOLE 85,000 UNITED TECHNOLOGIES CORP COMMON 913017109 7,639 112,500 SH SOLE 112,500 WELLS FARGO CORP COMMON 949746101 10,603 211,800 SH SOLE 211,800 WELLS FARGO CORP OPTION 949746101 50 1,004 SH PUT SOLE 1,004 ZORAN CORPORATION OPTION 98975F101 3 150 SH PUT SOLE 150
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