13F-HR 1 d51595_13fhr.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, 2002 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 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 8/14/02 ------------------- --------------------- ----------------- [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: 56 Form 13F Information Table Value Total: 683,548 (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 June 30, 2002 Form 13F Information Table
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ----------------------------------------------------------------------------------------------------------------------------------- NAME OF ISSUER TITLE OF CLASS CUSIP VALUE SHARES SH/ Put/ INVSTMT OTHER VOTING AUTHORITY (X1000) PRN AMT PRN Call DSCRETN MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- Affiliated Computer Services, Inc. NOTE 3.500% 2/1 008190AF7 32,678 25505000 PRN Defined 01,02 None Agilent Technologies, Inc. DBCV 3.000% 12/0 00846UAB7 21,469 21100000 PRN Defined 01,02 None Amkor Technology, Inc. NOTE 5.750% 6/0 031652AN0 10,920 19500000 PRN Defined 01,02 None Barnes & Noble, Inc. NOTE 5.250% 3/1 067774AD1 20,711 19585000 PRN Defined 01,02 None BEA Systems, Inc. NOTE 4.000% 12/1 073325AD4 13,041 16150000 PRN Defined 01,02 None Best Buy Co, Inc. DBCV 0.684% 6/2 086516AD3 9,505 13800000 PRN Defined 01,02 None Brocade Communications Systems NOTE 2.000% 1/0 111621AB4 17,349 22350000 PRN Defined 01,02 None Burr-Brown Corp. NOTE 4.250% 2/1 122574AF3 13,601 13500000 PRN Defined 01,02 None Celestica, Inc. NOTE 8/0 15101QAA6 25,274 60175000 PRN Defined 01,02 None Cephalon, Inc. NOTE 5.250% 5/0 156708AC3 16,209 17500000 PRN Defined 01,02 None Charles River Laboratories International Inc. DBCV 3.500% 2/0 159863AL3 7,900 7069000 PRN Defined 01,02 None EchoStar Communications Corp. NOTE 5.750% 5/1 278762AG4 17,220 23075000 PRN Defined 01,02 None Enzon, Inc. NOTE 4.500% 7/0 293904AB4 6,293 8740000 PRN Defined 01,02 None Ford Motor Co Capital Trust II PFD TR CV6.5% 345395206 16,785 298400 PRN Defined 01,02 None Genzyme Corp-Genl Division SDCV 3.000% 5/1 372917AK0 16,979 20865000 PRN Defined 01,02 None Gilead Sciences, Inc. NOTE 5.000% 12/1 375558AB9 20,859 13600000 PRN Defined 01,02 None Goldman Sachs Group, Inc. Com 38141G104 1,100 15000 SH Defined 01,02 Sole HCC Insurance Holdings, Inc. NOTE 2.000% 9/0 404132AA0 9,881 9394000 PRN Defined 01,02 None Hutchinson Technology, Inc. NOTE 6.000% 3/1 448407AC0 9,694 10595000 PRN Defined 01,02 None Immunex Corp. Com 452528102 447 20000 SH Defined 01,02 Sole Interpublic Group Cos, Inc. NOTE 1.870% 6/0 460690AJ9 14,736 18712000 PRN Defined 01,02 None Invitrogen Corp NOTE 2.250% 12/1 46185RAD2 11,877 15190000 PRN Defined 01,02 None Jabil Circuit, Inc. NOTE 1.750% 5/1 466313AA 12,565 13252000 PRN Defined 01,02 None JC Penney Co, Inc. NOTE 5.000% 10/1 708160BV7 3,054 3050000 PRN Defined 01,02 None Juniper Networks, Inc. NOTE 4.750% 3/1 48203RAA2 7,317 12195000 PRN Defined 01,02 None Kerr-McGee Corp. SDCV 5.250% 2/1 492386AP2 10,632 9600000 PRN Defined 01,02 None King Pharmaceuticals, Inc. DBCV 2.750% 11/1 495582AG3 4,448 5135000 PRN Defined 01,02 None L-3 Communications Holdings, Inc. DEBT 4.000% 9/1 502424AD6 20,726 17200000 PRN Defined 01,02 None Lam Research Corp. NOTE 4.000% 6/0 512807AE8 1,862 2200000 PRN Defined 01,02 None Lehman Brothers Holdings, Inc. FRNT 4/0 524908EC0 25,438 25000000 PRN Defined 01,02 None Lehman Brothers Holdings, Inc. Com 524908100 938 15000 SH Defined 01,02 Sole Lennar Corp. DBCV 7/2 526057AA2 17,545 22000000 PRN Defined 01,02 None LSI Logic Corp. NOTE 4.250% 3/1 502161AD4 15,585 16150000 PRN Defined 01,02 None Manpower, Inc. DBCV 8/1 56418HAC4 7,559 12329000 PRN Defined 01,02 None Medtronic, Inc. DBCV 1.250% 9/1 585055AB2 6,405 6310000 PRN Defined 01,02 None NCO Group, Inc. NOTE 4.750% 4/1 628858AB8 10,695 11515000 PRN Defined 01,02 None Network Associates Inc NOTE 5.250% 8/1 64123LAB7 29,812 22300000 PRN Defined 01,02 None North Fork Bancorp NY Com 659424105 398 10000 SH Defined 01,02 Sole Nvidia Corp. NOTE 4.750% 10/1 67066GAA2 16,218 19540000 PRN Defined 01,02 None Photronics, Inc. NOTE 6.000% 6/0 719405AA0 4,187 4278000 PRN Defined 01,02 None Photronics, Inc. NOTE 4.750% 12/1 719405AC6 10,906 12500000 PRN Defined 01,02 None PMC - Sierra, Inc. NOTE 3.750% 8/1 69344FAB2 8,648 11880000 PRN Defined 01,02 None Pennzoil-Quaker State Com 709323109 220 10200 SH Defined 01,02 Sole Quest Diagnostics DBCV 1.75% 11/3 74834LAF7 19,266 16600000 PRN Defined 01,02 None Rational Software Corp. NOTE 5.000% 2/0 75409PAC7 21,449 26480000 PRN Defined 01,02 None Reebok International Ltd. DBCV 4.250% 3/0 758110AE0 8,958 8491000 PRN Defined 01,02 None Reinsurance Group Of America PFD TR INC EQ 759351307 13,371 271500 PRN Defined 01,02 None Sanmina-SCI Corp. NOTE 4.250% 5/0 800907AB3 8,325 9250000 PRN Defined 01,02 None Sealed Air Corp. PFD CV A $2 81211K209 9,506 232700 PRN Defined 01,02 None Shire Finance Ltd. NOTE 2.000% 8/2 82481UAB5 3,660 4000000 PRN Defined 01,02 None Siebel Systems, Inc. NOTE 5.500% 9/1 826170AC6 13,425 13425000 PRN Defined 01,02 None Sonic Automotive, Inc. NOTE 5.250% 5/0 83545GAE2 11,569 13375000 PRN Defined 01,02 None STMicroelectronics NV NOTE 9/2 861012AB8 18,920 21500000 PRN Defined 01,02 None Symantec Corp. NOTE 3.000% 11/0 871503AB4 5,978 4900000 PRN Defined 01,02 None Teradyne, Inc. SDCV 3.750% 10/1 880770AD4 7,755 6600000 PRN Defined 01,02 None Young & Rubicam, Inc. NOTE 3.000% 1/1 987425AC9 11,680 12500000 PRN Defined 01,02 None