13F-HR 1 0001.txt FORM 13F 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, 2000 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: Clinton Group, Inc. Address: 32 Old Slip, 5th Floor New York, NY 10005 13F File Number: 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: Wendy Ruberti Title: General Counsel Phone: (212) 825-0400 Signature, Place, and Date of Signing: /s/ Wendy Ruberti New York, NY February 8, 2001 -------------------------------------------------------------------------------- Report Type (Check only one.): |X| 13F HOLDINGS REPORT. |_| 13F NOTICE. |_| 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: NONE -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- 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: NONE Form 13F Information Table Entry Total: 47 Form 13F Information Table Value Total: 137,524 (thousands) List of Other Included Managers: No. 13F File Number Name
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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ACT Manufacturing Inc. SBNT CV144A7%07 000973AA5 1,680 3000000 PRN Sole N/A None Affymetrix Inc. SBNT CV 4.75%07 00826TAD0 2,863 3875000 PRN Sole N/A None Akamai Technologies Inc. SB NT CV 144A 07 00971TAA9 1,457 3500000 PRN Sole N/A None Alkermes Inc. SUBNT CV3.75%07 01642TAB4 2,673 4000000 PRN Sole N/A None Alpharma Inc. SR SB NT CV 3%06 020813AD3 5,825 4000000 PRN Sole N/A None American Tower Corp. NT CONV 5%10 029912AF9 3,690 4000000 PRN Sole N/A None Antec Corp. SUB NT CV 4.5%03 03664PAB1 543 1025000 PRN Sole N/A None BEA Systems Inc. SBNT CV144A4%06 073325AC6 10,369 5000000 PRN Sole N/A None Celestica Inc. LYON ZERO 20 15101QAA6 3,174 7318000 PRN Sole N/A None Charter Communications Inc. SBNT CV144A 05 16117MAA5 6,088 5000000 PRN Sole N/A None Cypress Semiconductor Corp SBNT CV 3.75%05 232806AF6 1,849 2625000 PRN Sole N/A None Diamond Offshore Drilling DEB ZERO CONV 20 25271CAC6 1,010 2000000 PRN Sole N/A None E*Trade Group SUBNT CV 6%07 269246AB0 1,643 3000000 PRN Sole N/A None General Semiconductor Inc. SUBNT CV5.75%06 370787AB9 3,386 5250000 PRN Sole N/A None Getty Images Inc. SBNT CV 144A 07 374276AD5 2,312 3000000 PRN Sole N/A None Human Genome Sciences Inc. SBNT CV 3.75%07 444903AH1 3,998 4745000 PRN Sole N/A None Imax Corp. SUBNT CV 144A 03 45245EAC3 1,055 2,620,000 PRN Sole N/A None Incyte Genomics Inc. SUB NT CONV 07 45337CAC6 1,923 2,900,000 PRN Sole N/A None Invitrogen Corp. SBNT CV 5.5%07 46185RAB6 3,638 3000000 PRN Sole N/A None I2 Technologies Inc. SUBNT CV 5.25%06 465754AF6 3,934 2430000 PRN Sole N/A None Juniper Networks Inc. SB NT CV 4.75%07 48203RAA2 6,677 6550000 PRN Sole N/A None Kellstrom Inds. Inc. SB NT CV 5.75%02 488035AC0 415 1000000 PRN Sole N/A None Kerr-McGee Corp. SB DB CV 5.25%10 492386AP2 5,687 4500000 PRN Sole N/A None Kulicke & Soffa Inds. SUB NT CV 4.75%06 501242AE1 1,168 1600000 PRN Sole N/A None L-3 Communications Hlds. Inc. SRSB CV 144A 09 502424AA2 4,741 4250000 PRN Sole N/A None Lamar Advertising Co. NT CV 5.25%06 512815AF8 2,563 2500000 PRN Sole N/A None Lattice Semiconductor Corp. SUB NT CV 4.75%06 518415AC8 3,259 3000000 PRN Sole N/A None Mercury Interactive Corp. SB NT CV 4.75%07 589405AB5 2,248 2155000 PRN Sole N/A None Nasdaq 100-LEF UNIT SER 1 631100104 291 5000 PRN Sole N/A None Nvidia Corp. SB NT CV 4.75%07 67066GAA2 945 1500000 PRN Sole N/A None Peregrine Systems Inc. SB NT CV 144A 07 71366QAA9 4,938 5000000 PRN Sole N/A None Pogo Trust I QUIPS SER A 73044P208 1,769 25000 PRN Sole N/A None Province HealthCare Co. SB NT CV 144A 05 743977AA8 4,595 4000000 PRN Sole N/A None Providian Financial Corp. SR NT CV 3.25%05 74406AAA0 4,095 4000000 PRN Sole N/A None Quanta Services Inc. SUB NT CONV 4%07 74762EAA0 1,967 2319000 PRN Sole N/A None Radisys Corp. SUB NT CV 144A07 750459AA7 602 900000 PRN Sole N/A None Rational Software Corp. SUB NT CV 144A07 75409PAA1 2,585 2000000 PRN Sole N/A None WTS Richfood Holdings Inc. WT EXP 030403 763408119 40 53600 PRN Sole N/A None Sanmina Corp. SD CV ZRO 144A20 800907AC1 2,656 7000000 PRN Sole N/A None Sepracor Inc. SB DB CV 144A07 817315AJ3 4,185 4000000 PRN Sole N/A None Sovereign Capital Trust II UNIT EX 111229 845905306 2,978 60000 PRN Sole N/A None Standard Motor Products Inc. SB DB CV 6.75%09 853666AB1 511 1030000 PRN Sole N/A None STMicroelectronics N.V. SR CV ZERO144A10 861012AC6 2,645 4000000 PRN Sole N/A None Terayon Corp. SB NT CV 144A 07 880775AA9 488 2000000 PRN Sole N/A None Tyco International Ltd. LYON ZRO 144A 20 902124AA4 6,765 8800000 PRN Sole N/A None Vertex Pharmaceuticals Inc. SBNT CV 144A 07 92532FAC4 1,963 2000000 PRN Sole N/A None Weatherford International Inc. SD CV ZRO 144A20 947074AA8 3,638 6000000 PRN Sole N/A None TOTAL 137,524