-----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, HsVKLGWOpqE5d92lMjyF4xFueqt2SSGdPOAiGNeW/wnw0gzfvwTr08jWLhcVErCH bVrQU+ldJ2wCYCLyq0PL+A== 0001005477-01-501839.txt : 20020410 0001005477-01-501839.hdr.sgml : 20020410 ACCESSION NUMBER: 0001005477-01-501839 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CLINTON GROUP INC CENTRAL INDEX KEY: 0001134119 STANDARD INDUSTRIAL CLASSIFICATION: [] 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: 1781365 BUSINESS ADDRESS: STREET 1: 32 OLD SLIP 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128250400 13F-HR 1 d01-35025.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: September 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 11/08/01 - ------------------------ ----------------------------- -------------------- [Signature] [City, State] [Date] 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: 53 ------------ Form 13F Information Table Value Total: $354,047 ------------ (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.]
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 - -------------- -------------- ----- -------- ------- --- ---- ------- -------- ---- ------ ---- Advanced Energy Industries SB NT CV 144A 06 007973AB6 5,553 6500000 PRN Sole N/A None Affiliated Computer Services, Inc. SUB NT CV 3.5% 06 008190AF7 8,672 7500000 PRN Sole N/A None Alkermes Inc. SUBNT CV3.75%07 01642TAB4 738 1250000 PRN Sole N/A None Alpharma Inc. SB NT CV 5.75%05 020813AB7 11,668 10500000 PRN Sole N/A None Aviron SB NT CV 5.25% 08 053762AD2 2,006 2850000 PRN Sole N/A None Bisys Group Inc. SB NT CV 144A 06 055472AA2 3,143 3000000 PRN Sole N/A None Barnes & Noble, Inc. SUB NT CV 5.25%09 067774AD1 14,548 11000000 PRN Sole N/A None BEA Systems Inc. SB NT CV 4% 06 073325AD4 3,071 4200000 PRN Sole N/A None Brooks Automation Inc. SB NT CV 144A 08 11434AAA8 6,037 8200000 PRN Sole N/A None Cephalon Inc. SB NT CV 144A 06 156708AB5 9,156 10000000 PRN Sole N/A None Charter Communications Inc. SR NT CV 4.75%06 16117MAC1 6,534 8500000 PRN Sole N/A None Charter Communications Inc. SUB NT CV5.75%05 16117MAB3 7,959 9405000 PRN Sole N/A None COR Therapeutics SR NT CV 144A 06 217753AE2 8,951 10500000 PRN Sole N/A None COR Therapeutics SUB NT CV 5%07 217753AD4 5,777 6500000 PRN Sole N/A None Echostar Communications SB NT CV4.875%07 278762AD1 3,948 4920000 PRN Sole N/A None Echostar Communications SR NT CV 144A 08 278762AE9 13,983 17000000 PRN Sole N/A None Enzon Inc. SUB NT CV 144A 08 293904AA6 7,933 8530000 PRN Sole N/A None FEI Company SUB NT CV 5.5%08 30241LAA7 3,145 4000000 PRN Sole N/A None General Semiconductor Inc. SUB NT CV5.75%06 370787AB9 8,137 8282000 PRN Sole N/A None Genzyme Corp. SB DEB CV 3%21 372917AK0 12,778 13450000 PRN Sole N/A None Gilead Sciences Inc. SUB NT CV 5%07 375558AB9 10,790 8000000 PRN Sole N/A None HCC Insurance Holdings, Inc. NT CONV 2%21 404132AA0 12,921 12394000 PRN Sole N/A None HNC Software SB NT CV 144A08 40425PAB3 3,765 4000000 PRN Sole N/A None Hanover Compressor Company SR NT CV 4.75%08 410768AC9 9,892 11338000 PRN Sole N/A None International Rectifier Corp. SUB NT CV4.25%07 460254AE5 7,901 10500000 PRN Sole N/A None Invitrogen Corp. SBNT CV 5.5%07 46185RAB6 6,411 5950000 PRN Sole N/A None IVAX Corp. SR SB CV 144A 08 465823AE2 3,475 4000000 PRN Sole N/A None Jabil Circuit Inc. SB NT CV 1.75%21 466313AA1 14,749 17200000 PRN Sole N/A None Kerr-McGee Corp. SB DB CV 5.25%10 492386AP2 10,963 10000000 PRN Sole N/A None Kulicke & Soffa Industries SUB NT CV4.75%06 501242AE1 6,555 8769000 PRN Sole N/A None Kulicke & Soffa Industries SB NT CV 144A 06 501242AH4 1,325 1570000 PRN Sole N/A None L-3 Communications Holdings, Inc. SR SB CV 5.25%09 502424AB0 7,736 6050000 PRN Sole N/A None Lamar Advertising Co. NT CV 5.25% 06 512815AF8 15,725 17000000 PRN Sole N/A None Lucent Technologies Inc PFD CV 8% 144A 549463206 4,718 5000 PRN Sole N/A None Medarex, Inc. SB NT CV 4.5%06 583916AA9 6,420 8000000 PRN Sole N/A None Mediacom Communications Corp. SR NT CV 5.25%06 58446KAA3 3,279 3500000 PRN Sole N/A None Millennium Pharmeceuticals SUB NT CV 5.5% 07 599902AB9 644 800000 PRN Sole N/A None Nortel Networks Corp. GTD SR CV 144A08 656568AA0 2,740 3250000 PRN Sole N/A None Nvidia Corp. SB NT CV 4.75%07 67066GAA2 5,513 5980000 PRN Sole N/A None PMC-Sierra Inc. SUB NT CV 144A06 69344FAA4 5,664 8150000 PRN Sole N/A None Province Healthcare Co. SB NT CV 4.5%05 743977AC4 5,209 4500000 PRN Sole N/A None Providian Financial Corp. SR NT CV 3.25%05 74406AAA0 9,240 14000000 PRN Sole N/A None RF MicroDevices Inc. SUB NT CV3.75%05 749941AB6 6,170 8000000 PRN Sole N/A None SCI Systems Inc. SUB NT CONV 3%07 783890AF3 8,297 11250000 PRN Sole N/A None Sanmina Corp. SUB NT CV 4.24%04 800907AB3 4,747 5000000 PRN Sole N/A None School Specialty Inc. SB NT CV 144A 08 807863AB1 3,471 3000000 PRN Sole N/A None Semtech Corp. SUB NT CV 4.5%07 816850AD3 9,400 10000000 PRN Sole N/A None Sepracor Inc. SB DEB CONV 5%07 817315AL8 9,800 14600000 PRN Sole N/A None Sepracor Inc. SUB DB CONV 7%05 817315AH7 4,950 6000000 PRN Sole N/A None Siebel Systems Inc. SB NT CV 5.5% 06 826170AC6 2,715 2900000 PRN Sole N/A None Sovereign Bancorp UNIT EX 111229 845905306 3,231 55000 PRN Sole N/A None Sprint-Corp FON Group EQUITY UNIT 852061605 1,894 70000 PRN Sole N/A None Waste Connections, Inc. SB NT CV 5.5%06 941053AB6 3,750 3,750,000 PRN Sole N/A None TOTAL 354,047
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