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: March 31, 2001 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 -------------------------------------------------------------------- -------------------------------------------------------------------- Form 13F File Number : 28- 06121 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 May 8, 2001 ------------------------------- -------------------------- ------------------ [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) .) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: NONE ----------------- Form 13F Information Table Entry Total: 38 ----------------- Form 13F Information Table Value Total: $ 137,942 ----------------- (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.] NONE [Repeat as necessary.]
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 -------- -------- -------- -------- -------- -------- -------- -------- Value SHRS or SH/ PUT/ Investment Other Voting Name of Issuer Title of Class Cusip (x$1000) PRN AMT PRN CALL Discretion Managers Authority -------------- -------------- ----- -------- ------- --------- ---------- -------- --------- Amerisource Health Corp. SB NT CV 144A 07 03071PAB8 2,956 2500000 PRN Sole N/A None Affiliated Computer Svcs. Inc. SB NT CV 144A 06 008190AE0 2,020 2000000 PRN Sole N/A None Alkermes Inc. SUBNT CV3.75%07 01642TAB4 1,873 3174000 PRN Sole N/A None Alpharma Inc. SR SB NT CV 3%06 020813AD3 8,850 7500000 PRN Sole N/A None Aviron SB NT CV 5.25% 08 053762AD2 4,718 5250000 PRN Sole N/A None BEA Systems Inc. SB NT CV 4% 06 073325AD4 7,770 7000000 PRN Sole N/A None Barnes & Noble Inc. SUB NT CV 144A 09 067774AC3 1,988 2000000 PRN Sole N/A None Bisys Group Inc. SB NT CV 144A 06 055472AA2 5,203 5000000 PRN Sole N/A None Charter Communications Inc. SB NT CV 144A 05 16117MAA5 6,250 5000000 PRN Sole N/A None CIENA Corp. NT CONV 3.75% 08 171779AA9 4,516 5875000 PRN Sole N/A None Celestica Inc. LYON ZERO 20 15101QAA6 2,485 7000000 PRN Sole N/A None COR Therapeutics SUB NT CV 5% 07 217753AD4 4,506 5000000 PRN Sole N/A None E*Trade Group SUBNT CV 6%07 269246AB0 1,427 2500000 PRN Sole N/A None General Semiconductor Inc SUB NT CV 5.75% 06 370787AB9 1,216 1410000 PRN Sole N/A None Getty Images Inc. SBNT CV 144A 07 374276AD5 1,583 2500000 PRN Sole N/A None Human Genome Sciences Inc. SBNT CV 3.75%07 444903AH1 4,143 5695000 PRN Sole N/A None Imax Corp. SUBNT CV 144A 03 45245EAC3 688 1,600,000PRN Sole N/A None International Rectifier Corp. SUB NT CV 4.25% 07 460254AE5 1,671 2000000 PRN Sole N/A None Invitrogen Corp. SBNT CV 5.5%07 46185RAB6 1,943 2000000 PRN Sole N/A None IVAX Corp. SR SUB NT CV 07 465823AD4 2,240 2000000 PRN Sole N/A None Kellstrom Inds. Inc. SB NT CV 5.75%02 488035AC0 251 750000 PRN Sole N/A None Kerr-McGee Corp. SB DB CV 5.25%10 492386AP2 3,720 3000000 PRN Sole N/A None Lamar Advertising Co. NT CV 5.25% 06 512815AF8 8,130 8000000 PRN Sole N/A None Mercury Interactive Corp. SB NT CV 4.75%07 589405AB5 3,103 4200000 PRN Sole N/A None Millennium Pharmeceuticals SUB NT CV 5.5% 07 599902AB9 4,455 4500000 PRN Sole N/A None Offshore Logistics Inc. SUB NT CONV 6% 03 676255AF9 1,725 1500000 PRN Sole N/A None Pogo Trust I QUIPS SER A 73044P208 3,002 44400 PRN Sole N/A None Province HealthCare Co. SB NT CV 144A 05 743977AA8 4,005 4000000 PRN Sole N/A None Providian Financial Corp. SR NT CV 3.25%05 74406AAA0 6,720 7000000 PRN Sole N/A None Quanta Services Inc. SUB NT CONV 4%07 74762EAA0 1,479 2069000 PRN Sole N/A None Rational Software Corp. SUB NT CV 5% 07 75409PAC7 3,990 4750000 PRN Sole N/A None Siebel Systems Inc. SB NT CV 5.5% 06 826170AC6 3,494 2500000 PRN Sole N/A None Sepracor Inc. SB DB CV 144A 07 817315AJ3 3,989 6500000 PRN Sole N/A None Solectron Corp. LYON ZERO CPN 20 834182AL1 5,003 12000000 PRN Sole N/A None Semtech Corp. SUB NT CV 4.5%07 816850AD3 3,725 4000000 PRN Sole N/A None Sovereign Bancorp UNIT EX 111229 845905306 5,512 105500 PRN Sole N/A None Tyco International Ltd. LYON ZRO 144A 20 902124AA4 3,688 5000000 PRN Sole N/A None Vertex Pharmaceuticals Inc. SBNT CV 144A 07 92532FAC4 3,905 5500000 PRN Sole N/A None TOTAL 137,942