-----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, Aldwcw5LRRuYk3ypKUrr7QaB6Xne/8oUK4sHfO733Y0a3dzCDWnz/GI9aGeXPGAA 2U2kQ/CEgb9jUYIQ7Vf3Mw== 0001005477-02-000472.txt : 20020414 0001005477-02-000472.hdr.sgml : 20020414 ACCESSION NUMBER: 0001005477-02-000472 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020212 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: 02538449 BUSINESS ADDRESS: STREET 1: 32 OLD SLIP 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128250400 13F-HR 1 d02-35892.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: December 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: 55 Water Street, 31st Floor New York, NY 10041 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: CFO Phone: 212-825-0400 Signature, Place, and Date of Signing: /s/ John Hall New York, NY 2/11/02 - -------------------------------------------------------------------------------- [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 is reported in this report and a portion is reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 73 Form 13F Information Table Value Total: 534,229 (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 01 28- Clinton Group Equity, Co. 02 28- CGI Holdings, Inc.
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 - ------------------------------ ---------------- -------- -------- -------- --- ---- ------- --------- ------ ------- ---- AOL Time Warner COM 00184A105 310 9643 SH Defined 01, 02 Sole Abbott Labs COM 002824100 230 4127 SH Defined 01, 02 Sole Advanced Energy Industries SB NT CV 144A 06 007973AB6 6,208 5500000 PRN Defined 01, 02 None Affiliated Computer Services, Inc. SUB NT CV 3.5% 06 008190AF7 5,587 4030000 PRN Defined 01, 02 None Agilent Technologies, Inc. SR DEB CV 144A21 00846UAA9 4,470 4000000 PRN Defined 01, 02 None American Home Products Corp. COM 026609107 219 3577 SH Defined 01, 02 Sole American International Group COM 026874107 463 5829 SH Defined 01, 02 Sole Aviron SB NT CV 5.25% 08 053762AD2 5,879 5530000 PRN Defined 01, 02 None Bisys Group Inc. SB NT CV 4%06 055472AB0 12,344 10500000 PRN Defined 01, 02 None Bank of America Corp. COM 060505104 235 3726 SH Defined 01, 02 Sole Barnes & Noble, Inc. SUB NT CV 5.25%09 067774AD1 18,704 16300000 PRN Defined 01, 02 None BEA Systems Inc. SB NT CV 4% 06 073325AD4 5,262 6200000 PRN Defined 01, 02 None Best Buy Inc. SR DEB CV .684%21 086516AD3 3,872 5000000 PRN Defined 01, 02 None Brinker International Inc. DB CV Zero144A21 109641AA8 8,978 14000000 PRN Defined 01, 02 None Cephalon Inc. SB NT CV 144A 06 156708AD1 7,630 7000000 PRN Defined 01, 02 None Cephalon Inc. SB NT CV 5.25%06 156708AC3 21,322 17300000 PRN Defined 01, 02 None Charter Communications Inc. SUB NT CV5.75%05 16117MAB3 18,129 17905000 PRN Defined 01, 02 None ChevronTexaco COM 166764100 234 2608 SH Defined 01, 02 Sole Cisco Systems Inc COM 17275R102 306 16911 SH Defined 01, 02 Sole Citigroup Inc. COM 172967101 582 11534 SH Defined 01, 02 Sole Coca-Cola Company COM 191216100 276 5863 SH Defined 01, 02 Sole Community Health Sys. Inc. SB NT CV 4.25%08 203668AA6 5,799 5795000 PRN Defined 01, 02 None COR Therapeutics SR NT CV 4.5%06 217753AG7 8,415 8500000 PRN Defined 01, 02 None COR Therapeutics SUB NT CV 5%07 217753AD4 11,306 11250000 PRN Defined 01, 02 None Echostar Communications SB NT CV4.875%07 278762AD1 1,790 2000000 PRN Defined 01, 02 None Echostar Communications SR NT CV 144A 08 278762AE9 23,078 25500000 PRN Defined 01, 02 None Electronic Data Sys. SR NT CV ZERO 21 285661AB0 12,506 15000000 PRN Defined 01, 02 None Enzon Inc. SUB NT CV 4.5%08 293904AB4 3,220 3230000 PRN Defined 01, 02 None Exxon Mobil Corp. COM 30231G102 554 14121 SH Defined 01, 02 Sole General Electric Co. COM 369604103 912 22767 SH Defined 01, 02 Sole Genzyme Corp. SB DEB CV 3%21 372917AK0 25,766 23450000 PRN Defined 01, 02 None Gilead Sciences Inc. SUB NT CV 5%07 375558AB9 10,872 7100000 PRN Defined 01, 02 None HCC Insurance Holdings, Inc. NT CONV 2%21 404132AA0 11,226 10394000 PRN Defined 01, 02 None Hanover Compressor Company SR NT CV 4.75%08 410768AC9 6,938 7521000 PRN Defined 01, 02 None Home Depot Inc. COM 437076102 312 6116 SH Defined 01, 02 Sole Intel Corp. COM 458140100 515 16397 SH Defined 01, 02 Sole International Business Machs. COM 459200101 493 4077 SH Defined 01, 02 Sole International Rectifier Corp. SUB NT CV4.25%07 460254AE5 18,866 22850000 PRN Defined 01, 02 None Invitrogen Corp. SBNT CV 5.5%07 46185RAB6 9,062 8950000 PRN Defined 01, 02 None Invitrogen Corp. SB NT CV 144A 06 46185RAC4 6,764 7000000 PRN Defined 01, 02 None Jabil Circuit Inc. SB NT CV 1.75%21 466313AA1 13,775 14462000 PRN Defined 01, 02 None Johnson & Johnson COM 478160104 411 6957 SH Defined 01, 02 Sole Kulicke & Soffa Industries SUB NT CV4.75%06 501242AE1 8,528 8837000 PRN Defined 01, 02 None LSI Logic Corp. SB NT CV 144A 06 502161AF9 20,405 22000000 PRN Defined 01, 02 None L-3 Communications Holdings, Inc. SR SB CV 144A 11 502424AC8 16,500 16000000 PRN Defined 01, 02 None Medarex, Inc. SB NT CV 4.5%06 583916AA9 4,775 5350000 PRN Defined 01, 02 None Medtronic Inc. CONV DEB 144A 21 585055AA4 11,097 10000000 PRN Defined 01, 02 None Microsoft Corp. COM 594918104 836 12623 SH Defined 01, 02 Sole NCO Group Inc. SB NT CV 4.75%06 628858AB8 8,252 9000000 PRN Defined 01, 02 None Nortel Networks Corp. GTD SR CV 144A08 656568AA0 14,597 15000000 PRN Defined 01, 02 None Nvidia Corp. SB NT CV 4.75%07 67066GAA2 19,998 12065000 PRN Defined 01, 02 None Oracle Corp. COM 68389X105 181 13152 SH Defined 01, 02 Sole PMC-Sierra Inc. SUB NT CV 144A06 69344FAA4 13,103 15115000 PRN Defined 01, 02 None Peregrine Systems Inc SUB NT CV 5.5%07 71366QAC5 9,608 10500000 PRN Defined 01, 02 None PFIZER Inc. COM 717081103 571 14329 SH Defined 01, 02 Sole Proctor & Gamble Co. COM 742718109 264 3340 SH Defined 01, 02 Sole Province Healthcare Co. SB NT CV 4.5%05 743977AC4 8,755 8500000 PRN Defined 01, 02 None RF MicroDevices Inc. SUB NT CV3.75%05 749941AB6 7,481 9000000 PRN Defined 01, 02 None Rational Software Corp. SUB NT CONV 5%07 75409PAC7 7,225 7912000 PRN Defined 01, 02 None Regenoron Pharmaceutical SB NT CV 144A 08 75886FAA5 13,081 11500000 PRN Defined 01, 02 None Resmed Inc. SUB NT CV 4%06 761152107 12,431 11470000 PRN Defined 01, 02 None SBC Communications Inc. COM 78387G103 327 8343 SH Defined 01, 02 Sole SCI Systems Inc. SUB NT CONV 3%07 783890AF3 7,679 9350000 PRN Defined 01, 02 None School Specialty Inc. SB NT CV 6% 08 807863AC9 8,899 9000000 PRN Defined 01, 02 None Financial Select Sector SPDR SBI INT FINL 81369Y605 286 10905 SH Defined 01, 02 Sole Semtech Corp. SUB NT CV 4.5%07 816850AD3 9,201 8500000 PRN Defined 01, 02 None Symantec Corp. SUB NT CV 144A06 871503AA6 16,301 13500000 PRN Defined 01, 02 None Tech Data Corp. SB DEB CV 144A21 878237AB2 10,901 11180000 PRN Defined 01, 02 None Teradyne Inc. SR DB CV 144A 06 880770AC6 5,455 4000000 PRN Defined 01, 02 None Tyco International Ltd. COM 902124106 270 4592 SH Defined 01, 02 Sole Verizon Communications Inc. COM 9234V104 264 5567 SH Defined 01, 02 Sole Wal-Mart Stores Inc. COM 931142103 607 10549 SH Defined 01, 02 Sole Wind River Systems Inc. SB NT CV 144A 06 973149AD9 3,071 3000000 PRN Defined 01, 02 None TOTAL 534,229
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