-----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, DCwqO9fZLfOH46tsn64j/soscHcGU7Ab8e9QfYoO/dviudFCLiqV/ZXsIm6n2yUu A2npPhE9olVf3TgB0k3dKA== 0001176552-03-000014.txt : 20031112 0001176552-03-000014.hdr.sgml : 20031111 20031112101018 ACCESSION NUMBER: 0001176552-03-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031112 EFFECTIVENESS DATE: 20031112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SUTTONBROOK CAPITAL MANAGEMENT LP CENTRAL INDEX KEY: 0001176552 IRS NUMBER: 460465072 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10322 FILM NUMBER: 03991262 BUSINESS ADDRESS: STREET 1: 654 MADISON AVE STREET 2: STE 1009 CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 2123084310 FORMER COMPANY: FORMER CONFORMED NAME: SUTTONBROOK CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 20020628 13F-HR 1 f13-3q03.txt SUTTONBROOK CAPITAL 2003 3Q (SPT 30) 13F FILING 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, 2003 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: SuttonBrook Capital Management LP Address: 654 Madison Ave suite 1009 New York, NY 10021 13F File Number: 28-10322 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: Brett Spector Title: CFO Phone: 212-308-4589 Signature, Place, and Date of Signing: Brett Spector New York, NY November 11, 2003 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 90 Form13F Information Table Value Total: $1,177,264 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE 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 8.875% 15 FEB 2011 BNDCRP 00130HAU9 4975 5000000 SH SOLE 5000000 AMGEN INC NOTE 3/0 031162AE0 31109 40500000 SH SOLE 40500000 AMGN 0 03/32-05 BNDCRP 031162AC4 3457 4500000 SH SOLE 4500000 AMIS HOLDINGS INC EQYLST 031538101 1387 75000 SH SOLE 75000 ANADARKO PETE CORP COM 032511107 4176 100000 SH SOLE 100000 ANCHOR GLASS CONTAINER CORP EQYLST 03304B300 4908 300000 SH SOLE 300000 ATARI INC COM 04651M105 5050 1250000 SH SOLE 1250000 AVON PRODS INC COM 054303102 1072 16600 SH SOLE 16600 AXE 0% 07 JUL 2033-SER 144A BNDCRP 035290AD7 8921 22800000 SH SOLE 22800000 BIOGEN INC COM 090597105 11688 306600 SH SOLE 306600 BJ SVCS CO NOTE 0.500% 4/2 055482AF0 14280 17500000 SH SOLE 17500000 BJS .3954% 24 APR 2022 BNDCRP 055482AE3 14280 17500000 SH SOLE 17500000 BLACK & DECKER CORP COM 091797100 2028 50000 SH SOLE 50000 CAPITALSOURCE INC COM 14055X102 3063 175000 SH SOLE 175000 CAREMARK RX INC COM 141705103 10846 479900 SH SOLE 479900 CCL 1.132% 29 APR 2033-SER144A BNDCRP 143658AT9 12938 20000000 SH SOLE 20000000 CHIR 1.625% 01 AUG 2033 BNDCRP 170040AF6 8063 7500000 SH SOLE 7500000 CIENA CORP COM 171779101 185 31600 SH SOLE 31600 CMCSA 2% 15 NOV 2029-VAR EQYLST 200300606 7525 200000 SH SOLE 200000 COLGATE PALMOLIVE CO COM 194162103 1062 19000 SH SOLE 19000 COMCAST CORP NEW CL A SPL 20030N200 27251 919400 SH SOLE 919400 COMCAST HOLDINGS CORP ZONES CV2% PCS 200300507 35306 1050000 SH SOLE 1050000 CONSECO INC COM NEW 208464883 12682 702200 SH SOLE 702200 CONSECO INC PFD -WI EQYLST 208464875 2460 100000 SH SOLE 100000 COX COMMUNICATIONS INC NEW CL A 224044107 6963 220200 SH SOLE 220200 CPN 8.75% 15 JUL 2013 144A BNDCRP 131347BD7 13725 15000000 SH SOLE 15000000 DEVON ENERGY CORP NEW COM 25179M103 800 16600 SH SOLE 16600 DEVON ENERGY CORP NEW DBCV 6/2 25179MAD5 40416 74500000 SH SOLE 74500000 DRRX 6.25% 15 JUN 2008-SER144A BNDCRP 266605AA2 2098 2000000 SH SOLE 2000000 DST 3.625% 15 AUG 2023 144A BNDCRP 233326AC1 16181 15000000 SH SOLE 15000000 DST 4.125% 15 AUG 2023-SER144A BNDCRP 233326AA5 33375 30000000 SH SOLE 30000000 DST SYS INC DEL COM 233326107 2294 61000 SH SOLE 61000 EOP OPER LTD PARTNERSHIP NOTE 7.250%11/1 268766BR2 7535 7125000 SH SOLE 7125000 FIAT 3 1/4 07-04 BNDCRP 31563NAA1 10835 11000000 SH SOLE 11000000 FIRST DATA CORP COM 319963104 3197 80000 SH SOLE 80000 FIRSTENERGY CORP COM 337932107 8773 275000 SH SOLE 275000 FISHER SCIENTIFIC INTL INC COM NEW 338032204 4672 117700 SH SOLE 117700 FLEX 1% 01 AUG 2010 144A BNDCRP 33938EAK3 34725 30000000 SH SOLE 30000000 GENERAL MTRS CORP CL H NEW 370442832 32100 2243200 SH SOLE 2243200 GENERAL MTRS CORP DEB SR CONV B 370442733 21869 950000 SH SOLE 950000 GIS 0% 28 OCT 2022 BNDCRP 370334AT1 31894 45000000 SH SOLE 45000000 HAL 3.125% 15 JUL 2023 144A BNDCRP 406216AL5 36405 36000000 SH SOLE 36000000 HALLIBURTON CO COM 406216101 652 26900 SH SOLE 26900 HANCOCK JOHN FINL SVCS INC COM 41014S106 13520 400000 SH SOLE 400000 HMA 1.5% 01 AUG 2023 144A BNDCRP 421933AE2 13203 12500000 SH SOLE 12500000 IDEC PHARMACEUTICALS CORP COM 449370105 9854 296000 SH SOLE 296000 IGEN INC COM 449536101 6973 121100 SH SOLE 121100 INTL PAPER CO COM 460146103 1381 35400 SH SOLE 35400 JDS UNIPHASE CORP COM 46612J101 220 61200 SH SOLE 61200 L 0.75% 20 MAR 2023 - 144A BNDCRP 530718AB1 45794 42500000 SH SOLE 42500000 LIBERTY MEDIA CORP DEB 3.750% 2/1 530715AL5 9223 14500000 SH SOLE 14500000 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 69414 10250000 SH SOLE 10250000 LNR PPTY CORP COM 501940100 2043 49900 SH SOLE 49900 LOWES COS INC NOTE 0.861%10/1 548661CG0 48360 46500000 SH SOLE 46500000 LUCENT TECHNOLOGIES INC DBCV 2.750% 6/1 549463AG2 7022 7500000 SH SOLE 7500000 LUCENT TECHNOLOGIES INC DBCV 2.750% 6/1 549463AH0 7219 7500000 SH SOLE 7500000 MAY DEPT STORES CO COM 577778103 998 40500 SH SOLE 40500 MEDI 1% 15 JUL 2023 - 144A BNDCRP 584699AD4 19025 20000000 SH SOLE 20000000 MEDTRONIC INC DBCV 1.250% 9/1 585055AB2 46238 45000000 SH SOLE 45000000 METRO GOLDWYN MAYER INC COM 591610100 29669 1934100 SH SOLE 1934100 MONY GROUP INC COM 615337102 5696 175000 SH SOLE 175000 NEW PLAN EXCEL RLTY TR INC NOTE 3.750% 6/0 648053AB2 15281 15000000 SH SOLE 15000000 NEWFIELD EXPL CO COM 651290108 6642 172200 SH SOLE 172200 NORSKE SKOG CANADA LTD EQYLST 65653R103 7465 2950500 SH SOLE 2950500 OFFICEMAX INC COM 67622M108 3748 400000 SH SOLE 400000 OVERTURE SVCS INC COM 69039R100 7912 300500 SH SOLE 300500 PAIN THERAPEUTICS INC COM 69562K100 777 126300 SH SOLE 126300 PALM INC COM NEW 696642206 383 19800 SH SOLE 19800 PARAMETRIC TECHNOLOGY CORP COM 699173100 195 62000 SH SOLE 62000 PENNEY J C INC COM 708160106 1175 55000 SH SOLE 55000 PEOPLESOFT INC COM 712713106 24732 1353700 SH SOLE 1353700 PHOENIX COS INC NEW CORPORATE UNIT 71902E406 12127 335000 SH SOLE 335000 QUS 13.5% 15 DEC 2010 - 144A BNDCRP 74913RAB7 17513 15000000 SH SOLE 15000000 QUS 14% 15 DEC 2014 - 144A BNDCRP 74913RAC5 6013 5000000 SH SOLE 5000000 QWEST 0% 30 JUN 2007-LOAN BNDCRP LN121319 3071 3000000 SH SOLE 3000000 RAYONIER INC COM 754907103 1035 25500 SH SOLE 25500 ROGERS COMMUNICATIONS INC DBCV 2.000%11/2 775109AE1 26006 28500000 SH SOLE 28500000 SBC COMMUNICATIONS INC COM 78387G103 690 31000 SH SOLE 31000 SELECTIVE INS GROUP INC NOTE 1.616% 9/2 816300AB3 9256 20500000 SH SOLE 20500000 SIGI 1.6155 24 SEP 2032 - 144A BNDCRP 816300AA5 4289 9500000 SH SOLE 9500000 SPRINT CORP EQUITY UNIT 7.125% EQYLST 852061605 21518 2850000 SH SOLE 2850000 SUN MICROSYSTEMS INC COM 866810104 169 51000 SH SOLE 51000 SUPERVALU INC NOTE 11/0 868536AP8 29569 95000000 SH SOLE 95000000 TCT 5.375% 15 AUG 2023 144A BNDCRP 892081AA8 6060 6000000 SH SOLE 6000000 TRANSOCEAN SEDCO FOREX INC DBCV 1.500% 5/1 893830AD1 32054 33260000 SH SOLE 33260000 TRB 2.0% 15 NOV 2029 - PREF EQYLST 896047305 28670 350700 SH SOLE 350700 UNM 8.25% 15 MAY 2006 PFD EQYLST 91529Y403 5330 165000 SH SOLE 165000 VCI 1.0843% 22 MAY 2033 BNDCRP 918866AJ3 23826 38000000 SH SOLE 38000000 VERIZON COMMUNICATIONS COM 92343V104 2495 76900 SH SOLE 76900 WESTCORP INC COM 957907108 6190 177100 SH SOLE 177100
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