-----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, N8mq10ca0SA0SKYE6EykmgUkv7czDPSDbnrL8dkWRvatDjwPfvbFKEsXJB2fPWHi rEN5VA2myHeQpY65ZiHcOA== 0001005477-01-500507.txt : 20021127 0001005477-01-500507.hdr.sgml : 20021127 20010813111135 ACCESSION NUMBER: 0001005477-01-500507 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010630 FILED AS OF DATE: 20010813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CLINTON GROUP INC CENTRAL INDEX KEY: 0001134119 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06121 FILM NUMBER: 01705676 BUSINESS ADDRESS: STREET 1: 32 OLD SLIP 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128250400 13F-HR 1 d01-34159.txt FORM 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: June 30, 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 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: John Hall Title: Chief Financial Officer Phone: (212) 825-0400 Signature, Place, and Date of Signing: /s/ John Hall New York, NY 8/13/01 - -------------------------------------------------------------------------------- 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: NONE ----------- Form 13F Information Table Entry Total: 35 ----------- Form 13F Information Table Value Total: $268,788 ----------- (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 - ---------------------------- ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- ------- AES Corp. JR SBDB CV4.5%05 00130HAN5 4,823 3000000 PRN Sole N/A None Alkermes Inc. SUBNT CV3.75%07 01642TAB4 8,353 11174000 PRN Sole N/A None Alpharma Inc. SB NT CV 5.75%05 020813AB7 11,301 10500000 PRN Sole N/A None Aviron SB NT CV 5.25% 08 053762AD2 7,814 7000000 PRN Sole N/A None BEA Systems Inc. SB NT CV 4% 06 073325AD4 13,139 11500000 PRN Sole N/A None Brooks Automation Inc. SB NT CV 144A 08 11434AAA8 1,870 2000000 PRN Sole N/A None Bisys Group Inc. SB NT CV 144A 06 055472AA2 3,309 3000000 PRN Sole N/A None Cephalon Inc. SB NT CV 144A 06 156708AB5 10,181 9000000 PRN Sole N/A None Charter Communications Inc. SR NT CV 4.75%06 16117MAC1 18,232 17000000 PRN Sole N/A None CIENA Corp. NT CONV 3.75% 08 171779AA9 8,362 11300000 PRN Sole N/A None Celestica Inc. LYON ZERO 20 15101QAA6 14,824 34000000 PRN Sole N/A None COR Therapeutics SR NT CV 144A 06 217753AE 2 4,478 4500000 PRN Sole N/A None Echostar Communications SB NT CV4.875%07 278762AD1 4,533 4920000 PRN Sole N/A None Echostar Communications SR NT CV 144A 08 278762AE9 4,925 5000000 PRN Sole N/A None Emcore Corp. SB NT CV 144A 06 290846AA2 6,045 6500000 PRN Sole N/A None General Semiconductor Inc. SUB NT CV5.75%06 370787AB9 6,663 7282000 PRN Sole N/A None Genzyme Corp. SB DEB CV 144A21 372917AJ3 7,471 6950000 PRN Sole N/A None Human Genome Sciences Inc. SBNT CV 3.75%07 444903AH1 7,517 9195000 PRN Sole N/A None Invitrogen Corp. SBNT CV 5.5%07 46185RAB6 6,593 6000000 PRN Sole N/A None IVAX Corp. SR SB CV 144A 08 465823AE2 10,575 9000000 PRN Sole N/A None Jabil Circuit Inc. SB NT CV 1.75%21 466313AA1 9,660 9200000 PRN Sole N/A None Kulicke & Soffa Industries SUB NT CV4.75%06 501242AE1 7,584 7869000 PRN Sole N/A None Lamar Advertising Co. NT CV 5.25% 06 512815AF8 5,379 4750000 PRN Sole N/A None Mercury Interactive Corp. SB NT CV 4.75%07 589405AB5 8,659 9981000 PRN Sole N/A None Merrill Lynch & Co. Lyon Zero 31 590188A65 5,081 10000000 PRN Sole N/A None Millennium Pharmeceuticals SUB NT CV 5.5% 07 599902AB9 2,755 2522000 PRN Sole N/A None Neuberger Berman Inc. Lyon Zero 144A21 641234AA7 2,643 3100000 PRN Sole N/A None Pogo Trust I QUIPS SER A 73044P208 2,514 44400 PRN Sole N/A None Providian Financial Corp. SR NT CV 3.25%05 74406AAA0 11,729 11000000 PRN Sole N/A None Rational Software Corp. SUB NT CV 5% 07 75409PAC7 6,390 6000000 PRN Sole N/A None Siebel Systems Inc. SB NT CV 5.5% 06 826170AC6 13,355 6250000 PRN Sole N/A None Sepracor Inc. SB DEB CONV 5%07 817315AL8 5,128 7500000 PRN Sole N/A None Solectron Corp. LYON ZERO CPN 20 834182AL1 4,995 12000000 PRN Sole N/A None Semtech Corp. SUB NT CV 4.5%07 816850AD3 6,720 7000000 PRN Sole N/A None Sovereign Bancorp UNIT EX 111229 845905306 15,188 203523 PRN Sole N/A None TOTAL 268,788
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