-----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, Jl7Shj7aqY+tOlUoMTd3CkyaPHLMwAzhRNcF2J7S8xCaeACTumZklW5m3YW1xRRb J0jIUSBY6TV1srBhMX5PPw== 0001005477-02-002290.txt : 20020523 0001005477-02-002290.hdr.sgml : 20020523 20020523135920 ACCESSION NUMBER: 0001005477-02-002290 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20020523 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06121 FILM NUMBER: 02660849 BUSINESS ADDRESS: STREET 1: 32 OLD SLIP 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128250400 13F-HR/A 1 d37450_13f-hra.txt FORM 13 F 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, 2002 Check here if Amendment |X|; Amendment Number: 1 This Amendment (Check only one.): |X| 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 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: John Hall Title: CFO Phone: 212-825-0400 Signature, Place, and Date of Signing: /s/ John Hall New York, NY 5/23/02 - ---------------------------- -------------------- --------------- [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: 93 Form 13F Information Table Value Total: 615,339 (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 28-10034 CGI Holdings, Inc. 02 28-10033 Clinton Group Equity, Co. Quarter Ended March 31, 2002 13F Information Table
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 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 AFFILIATED COMPUTER SVCS INC Note 3.500% 2/1 008190AF7 40454 28130000 PRN Defined 01, 02 None AMERICAN EXPRESS CO Com 025816109 227 5562 SH Defined 01, 02 Sole AMERICAN INTERNATIONAL GROUP Com 026874107 304 4227 SH Defined 01, 02 Sole AMERICAN INTL GROUP INC DBCV 11/0 026874AP2 9019 15000000 PRN Defined 01, 02 None AMKOR TECH INC Note 5.750% 6/0 031652AN0 2395 2500000 PRN Defined 01, 02 None ANHEUSER-BUSCH COS INC Com 035229103 226 4341 SH Defined 01, 02 Sole AOL TIME WARNER Com 00184A105 263 11131 SH Defined 01, 02 Sole BANK OF AMERICA CORP Com 060505104 454 6685 SH Defined 01, 02 Sole BANK ONE CORP Com 06423A103 224 5365 SH Defined 01, 02 Sole BARNES & NOBLE INC Note 5.250% 3/1 067774AD1 27038 23085000 PRN Defined 01, 02 None BEA SYSTEMS INC Note 4.000% 12/1 073325AD4 10076 12067000 PRN Defined 01, 02 None BEST BUY INC DBCV 0.684% 6/2 086516AD3 14793 18800000 PRN Defined 01, 02 None BISYS GROUP INC Note 4.000% 3/1 055472AB0 3094 2500000 PRN Defined 01, 02 None CELESTICA INC Note 8/0 15101QAA6 17966 41300000 PRN Defined 01, 02 None CEPHALON INC Note 5.250% 5/0 156708AC3 5014 4675000 PRN Defined 01, 02 None CHARTER COMMUNICATION INC DEL Note 5.750% 10/1 16117MAB3 17875 20605000 PRN Defined 01, 02 None CHEVRONTEXACO CORP Com 166764100 433 4807 SH Defined 01, 02 Sole CISCO SYSTEMS INC Com 17275R102 439 25977 SH Defined 01, 02 Sole CITIGROUP INC Com 172967101 891 18005 SH Defined 01, 02 Sole COCA-COLA CO/THE Com 191216100 563 10777 SH Defined 01, 02 Sole DELL COMPUTER CORP Com 247025109 214 8220 SH Defined 01, 02 Sole DIAMONDS TRUST SERIES I Unit Ser I 252787106 2,662 25668 SH Defined 01, 02 Sole ELECTRONIC DATA SYS CORP NEW Note 10/1 285661AB0 9450 12000000 PRN Defined 01, 02 None ELI LILLY & CO Com 532457108 349 4588 SH Defined 01, 02 Sole ENERGY SELECT SECTOR SPDR SBI INT-Energy 81369Y506 373 12936 SH Defined 01, 02 Sole ENZON INC Note 4.500% 7/0 293904AB4 8781 10000000 PRN Defined 01, 02 None EXXON MOBIL CORPORATION Com 30231G102 1,189 27139 SH Defined 01, 02 Sole FANNIE MAE Com 313586109 242 3035 SH Defined 01, 02 Sole FINANCIAL SELECT SECTOR SPDR SBI INT-FINL 81369Y605 2,150 79210 SH Defined 01, 02 Sole GENERAL ELECTRIC CO Com 369604103 849 22691 SH Defined 01, 02 Sole GENERAL MOTORS CORP DEB SR CONV B 370442733 10525 385100 PRN Defined 01, 02 None GENERAL SEMICONDUCTOR 5.750% 12/1 370787AB9 12598 12582000 PRN Defined 01, 02 None GENZYME CORP SDCV 3.000% 5/1 372917AK0 27996 29450000 PRN Defined 01, 02 None GILEAD SCIENCES INC Note 5.000% 12/1 375558AB9 9981 6100000 PRN Defined 01, 02 None GOLDMAN SACHS GROUP INC Com 38141G104 933 10343 SH Defined 01, 02 Sole HCC INSURANCE Note 2.00% 9/0 404132AA0 10181 9394000 PRN Defined 01, 02 None HOME DEPOT INC Com 437076102 513 10555 SH Defined 01, 02 Sole HUTCHINSON TECHNOLOGY INC Note 6.000% 3/1 448407AC0 6289 6500000 PRN Defined 01, 02 None IMMUNEX CORP Com 452528102 683 22577 SH Defined 01, 02 Sole INDUSTRIAL SELECT SECT SPDR SBI INT-INDS 81369Y704 634 23286 SH Defined 01, 02 Sole INTEL CORP Com 458140100 558 18365 SH Defined 01, 02 Sole INTERNATIONAL RECTIFIER CORP Note 4.250% 7/1 460254AE5 16136 17350000 PRN Defined 01, 02 None INTERPUBLIN GROUP COS INC Note 1.870% 6/0 460690AJ9 8325 10000000 PRN Defined 01, 02 None INTL BUSINESS MACHINES CORP Com 459200101 478 4601 SH Defined 01, 02 Sole JABIL CIRCUIT Note 1.750% 5/1 466313AA1 12022 12572000 PRN Defined 01, 02 None JOHNSON & JOHNSON Com 478160104 853 13142 SH Defined 01, 02 Sole JP MORGAN CHASE & CO Com 46625H100 299 8397 SH Defined 01, 02 Sole JUNIPER NETWORKS INC Note 4.750% 3/1 48203RAA2 1445 2000000 PRN Defined 01, 02 None KING PHARMACEUTICALS INC DBCV 2.750% 11/1 495582AG3 7678 7775000 PRN Defined 01, 02 None KULICKE & SOFFA Note 4.750% 12/1 501242AE1 4632 4237000 PRN Defined 01, 02 None L-3 COMMUNICATIONS HLDGS Debt 4.000% 9/1 502424AD6 25612 21500000 PRN Defined 01, 02 None LAM RESEARCH Note 4.000% 6/0 512807AE8 10918 11000000 PRN Defined 01, 02 None MEDTRONIC INC DBCV 1.250% 9/1 585055AB2 38063 37500000 PRN Defined 01, 02 None MERCK & CO. INC. Com 589331107 265 4603 SH Defined 01, 02 Sole MICROSOFT CORP Com 594918104 1,028 17052 SH Defined 01, 02 Sole MORGAN STANLEY DEAN WITTER & Com 617446448 200 3497 SH Defined 01, 02 Sole NCO GROUP INC Note 4.750% 4/1 628858AB8 11272 10825000 PRN Defined 01, 02 None NETWORK ASSOCS INC Note 5.250% 8/1 64123LAB7 18660 12000000 PRN Defined 01, 02 None NVIDIA CORP Note 4.750% 10/1 67066GAA2 25400 20841000 PRN Defined 01, 02 None ONI SYSTEMS CORP Note 5.000% 10/1 68273FAA1 773 1000000 PRN Defined 01, 02 None ORACLE CORPORATION Com 68389X105 159 12440 SH Defined 01, 02 Sole PEPSICO INC Com 713448108 413 8038 SH Defined 01, 02 Sole PFIZER INC Com 717081103 1,049 26398 SH Defined 01, 02 Sole PHARMACIA CORPORATION Com 71713U102 252 5607 SH Defined 01, 02 Sole PHILIP MORRIS COMPANIES INC Com 718154107 403 7657 SH Defined 01, 02 Sole PHOTRONICS INC Note 4.750% 12/1 719405AC6 4700 4000000 PRN Defined 01, 02 None PMC-SIERRA INC Note 3.750% 8/1 69344FAB2 8397 10415000 PRN Defined 01, 02 None PROCTER & GAMBLE CO Com 742718109 454 5040 SH Defined 01, 02 Sole PROVINCE HEALTHCARE CO Note 4.500% 11/2 743977AC4 3763 3662000 PRN Defined 01, 02 None QUEST DIAGNOSTIC INC DBCV 1.750% 11/3 74834LAF7 17970 16000000 PRN Defined 01, 02 None RATIONAL SOFTWARE CORP Note 5.000% 2/0 75409PAC7 9676 11090000 PRN Defined 01, 02 None REEBOK INTL LTD DBCV 4.250% 3/0 758110AE0 8426 8241000 PRN Defined 01, 02 None RESMED INC Note 4.000% 6/2 761152AB3 5468 6000000 PRN Defined 01, 02 None ROYAL DUTCH PETRO-NY SHARES NY Reg GLD1.25 780257804 479 8830 SH Defined 01, 02 Sole SANMINA CORP Note 4.250% 5/0 800907AB3 22253 23455000 PRN Defined 01, 02 None SBC COMMUNICATIONS INC Com 78387G103 422 11288 SH Defined 01, 02 Sole SCHOOL SPECIALTY INC Note 6.000% 8/0 807863AC9 8284 7600000 PRN Defined 01, 02 None SECURITY CAPITAL GROUP-B CL B 81413P204 509 20000 SH Defined 01, 02 Sole SHIRE FINANCE LTD Note 2.000% 8/2 82481UAB5 7000 8000000 PRN Defined 01, 02 None STMICROELCTRONICS N V Note 9/2 861012AB8 11716 11500000 PRN Defined 01, 02 None SYMANTEC CORP Note 3.000% 11/0 871503AB4 20720 14800000 PRN Defined 01, 02 None TECHNOLOGY SELECT SECT SPDR SBI INT-TECH 81369Y803 1,423 65692 SH Defined 01, 02 Sole TERADYNE INC SDCV 3.750% 10/1 880770AD4 5076 3000000 PRN Defined 01, 02 None TEXAS INSTRUMENTS INC Com 882508104 212 6431 SH Defined 01, 02 Sole TYCO INTL LTD NEW Note 11/1 902124AC0 18023 27000000 PRN Defined 01, 02 None VERIZON COMMUNICATIONS INC Com 92343V104 363 7968 SH Defined 01, 02 Sole VIACOM INC-CL B CL B 925524308 371 7687 SH Defined 01, 02 Sole WACHOVIA CORP Com 929903102 219 5909 SH Defined 01, 02 Sole WALGREEN CO Com 931422109 210 5370 SH Defined 01, 02 Sole WAL-MART STORES INC Com 931142103 1,149 18753 SH Defined 01, 02 Sole WELLS FARGO & COMPANY Com 949746101 280 5675 SH Defined 01, 02 Sole WYETH Com 983024100 392 5974 SH Defined 01, 02 Sole YOUNG & RUBICAM INC Note 3.000% 1/1 987425AC9 12156 12500000 PRN Defined 01, 02 None 615,339
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