-----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, KDDU/CUha+V5LFjS5CLWOwEmWvscoVxkDxi4Emp6aV65orhYZ0sDKzuIBuvZX4D0 7xgwXV+s5bw1CjxHQtXoBg== 0001176552-04-000013.txt : 20040813 0001176552-04-000013.hdr.sgml : 20040813 20040813104045 ACCESSION NUMBER: 0001176552-04-000013 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040331 FILED AS OF DATE: 20040813 EFFECTIVENESS DATE: 20040813 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-10322 FILM NUMBER: 04972232 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/A 1 f13_2q04.txt Q2 2004 AMMEND 1 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, 2004 Check here if Amendment [ X]; Amendment Number: This Amendment (Check only one.): [ X] 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 August 12, 2004 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: 102 Form13F Information Table Value Total: $1,848,735 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO NOTE 11/2 88579YAB7 26250 28000000 SH SOLE 28000000 0 0 ABS 7.25% 16 MAY 2007 PFD 013104203 24591 890000 SH SOLE 890000 0 0 AES 8.875% 15 FEB 2011 00130HAU9 5163 5000000 SH SOLE 5000000 0 0 AFFILIATED MANAGERS GROUP DBCV 2/2 008252AE8 19209 15000000 SH SOLE 15000000 0 0 ALTRIA GROUP INC COM 02209S103 15015 300000 SH SOLE 300000 0 0 AMCOR LTD PRIDES 7.25% 02341R401 8463 161200 SH SOLE 161200 0 0 AMGEN INC NOTE 3/0 031162AE0 29717 40500000 SH SOLE 40500000 0 0 AMGN 0 03/32-05 031162AC4 3302 4500000 SH SOLE 4500000 0 0 ANIXTER INTL INC NOTE 7/0 035290AF2 11368 22400000 SH SOLE 22400000 0 0 AT&T WIRELESS SVCS INC COM 00209A106 38664 2700000 SH SOLE 2700000 0 0 ATARI INC COM 04651M105 428 177400 SH SOLE 177400 0 0 AVO 2.5% 15 JUL 2024-144A 00763MAF5 7652 7000000 SH SOLE 7000000 0 0 AVTR 4.5% 01 APR 2024 144A 053494AE0 15189 14500000 SH SOLE 14500000 0 0 BIOVERIS CORP COM 090676107 1008 121100 SH SOLE 121100 0 0 BJ SVCS CO NOTE 0.500% 4/2 055482AF0 8450 10000000 SH SOLE 10000000 0 0 BKUNA 3.125% 01 MAR 2034-144A 06652BAD5 13657 14500000 SH SOLE 14500000 0 0 BLACK & DECKER CORP COM 091797100 2330 37500 SH SOLE 37500 0 0 BRASCAN CORPORATION 10549P606 5243 187000 SH SOLE 187000 0 0 C 0% 06 APR 2009-PFD 173075508 21024 576000 SH SOLE 576000 0 0 CAPSRC 1.25% 15 MAR 2034- 144A 14055XAA0 29888 30000000 SH SOLE 30000000 0 0 CARS 6% 15 MAY 2024 139733AB5 3633 3500000 SH SOLE 3500000 0 0 CB RICHARD ELLIS GROUP INC CL A 12497T101 5730 300000 SH SOLE 300000 0 0 CMCSA 2% 15 NOV 2029-VAR 200300606 1494 34900 SH SOLE 34900 0 0 CNO 5.5% 15 MAY 2007 PFD 208464867 35230 1300000 SH SOLE 1300000 0 0 COLGATE PALMOLIVE CO COM 194162103 964 16500 SH SOLE 16500 0 0 COMCAST CORP NEW CL A 20030N101 15418 548700 SH SOLE 548700 0 0 COMCAST CORP NEW CL A SPL 20030N200 1723 62400 SH SOLE 62400 0 0 COMMERCE BANCORP INC NJ COM 200519106 20629 375000 SH SOLE 375000 0 0 CONSECO INC COM NEW 208464883 29418 1478300 SH SOLE 1478300 0 0 COSTCO COMPANIES INC NOTE 8/1 22160QAC6 23441 25000000 SH SOLE 25000000 0 0 CPN 7.875% 01 APR 2008 131347AJ5 1995 3000000 SH SOLE 3000000 0 0 CPN 8.5% 01 MAY 2008 13134VAA1 1330 2000000 SH SOLE 2000000 0 0 CVS CORP COM 126650100 40970 975000 SH SOLE 975000 0 0 CYPRESS SEMICONDUCTOR CORP NOTE 1.250% 6/1 232806AH2 69126 58500000 SH SOLE 58500000 0 0 DEVON ENERGY CORP NEW DBCV 6/2 25179MAD5 22075 40000000 SH SOLE 40000000 0 0 DEVON ENERGY CORP NEW DEB 4.900% 8/1 25179MAA1 16510 16000000 SH SOLE 16000000 0 0 DEVON ENERGY CORP NEW DEB 4.950% 8/1 25179MAB9 9209 8925000 SH SOLE 8925000 0 0 DIRECTV GROUP INC COM 25459L106 35190 2057912 SH SOLE 2057912 0 0 DISNEY WALT CO COM DISNEY 254687106 38235 1500000 SH SOLE 1500000 0 0 DST SYS INC DEL COM 233326107 41336 859550 SH SOLE 859550 0 0 E TRADE FINANCIAL CORP COM 269246104 2230 200000 SH SOLE 200000 0 0 EASTMAN KODAK CO NOTE 3.375%10/1 277461BE8 11063 10000000 SH SOLE 10000000 0 0 EK 3.375% 15 OCT 2033-144A 2774618X0 16594 15000000 SH SOLE 15000000 0 0 EOP OPER LTD PARTNERSHIP NOTE 7.250%11/1 268766BR2 40265 39500000 SH SOLE 39500000 0 0 EQUITY OFFICE PROPERTIES TRU PFD CV B 5.25% 294741509 43836 871500 SH SOLE 871500 0 0 EV 0% 13 AUG 2031 27827WAA1 30572 45000000 SH SOLE 45000000 0 0 FON 2.692% 23 NOV 2008 PFD 852061878 23250 25000 SH SOLE 25000 0 0 FRANKLIN RES INC NOTE 5/1 354613AC5 24550 40000000 SH SOLE 40000000 0 0 GENERAL MLS INC DBCV 10/2 370334AU8 3528 5000000 SH SOLE 5000000 0 0 GENERAL MTRS CORP DEB SR CONV B 370442733 53105 2150000 SH SOLE 2150000 0 0 GENZ 1.25% 01 DEC 2023 372917AM6 12219 12500000 SH SOLE 12500000 0 0 GIS 0% 28 OCT 2022 370334AT1 24697 35000000 SH SOLE 35000000 0 0 HOLLINGER INTL INC CL A 435569108 4281 255000 SH SOLE 255000 0 0 IDEC PHARMACEUTICALS CORP NOTE 4/2 449370AE5 40838 63500000 SH SOLE 63500000 0 0 IFOX 4% 15 JUL 2024 - 144A 45664XAA7 3068 3000000 SH SOLE 3000000 0 0 IVX 1.5% 01 MAR 2024 - 144A 465823AH5 5617 5500000 SH SOLE 5500000 0 0 J P MORGAN CHASE & CO COM 46625H100 15353 396000 SH SOLE 396000 0 0 KERR MCGEE CORP COM 492386107 4382 81500 SH SOLE 81500 0 0 LABORATORY CORP AMER HLDGS NOTE 9/1 50540RAC6 66600 92500000 SH SOLE 92500000 0 0 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 59548 85000000 SH SOLE 85000000 0 0 LNT 2.5% 15 FEB 2030 018803403 1703 50000 SH SOLE 50000 0 0 LOCKHEED MARTIN CORP COM 539830109 10499 201600 SH SOLE 201600 0 0 MANDALAY RESORT GROUP COM 562567107 36523 532100 SH SOLE 532100 0 0 MANITOBA TELECOM SERVICES-B 563486307 4118 121164 SH SOLE 121164 0 0 MANITOBA TELECOM SVCS INC 563486109 9174 270000 SH SOLE 270000 0 0 MEDTRONIC INC DBCV 1.250% 9/1 585055AB2 53288 52500000 SH SOLE 52500000 0 0 METRO GOLDWYN MAYER INC COM 591610100 28580 2361947 SH SOLE 2361947 0 0 MONOLITHIC SYS TECHNOLOGY IN COM 609842109 5263 698900 SH SOLE 698900 0 0 MONY GROUP INC COM 615337102 20345 650000 SH SOLE 650000 0 0 NATIONAL AUSTRALIA BK LTD CAP UTS EXCHBL 632525309 98399 2758252 SH SOLE 2758252 0 0 NEW PLAN EXCEL RLTY TR INC NOTE 3.750% 6/0 648053AB2 35642 33945000 SH SOLE 33945000 0 0 NORSKE SKOG CANADA LTD 65653R103 3514 1000000 SH SOLE 1000000 0 0 NORTHROP GRUMMAN CORP COM 666807102 8141 151600 SH SOLE 151600 0 0 OATS 3.25% 15 MAY 2034 144A 96808BAA5 4253 4000000 SH SOLE 4000000 0 0 PENN WEST PETROL 707886602 4485 96400 SH SOLE 96400 0 0 PEOPLESOFT INC COM 712713106 2775 150000 SH SOLE 150000 0 0 PERINI CORP COM 713839108 1334 125000 SH SOLE 125000 0 0 PHHM 3.25% 15 MAY 2024 144A 696639AA1 5771 6000000 SH SOLE 6000000 0 0 PSTI 3.25% 30 JUN 2024 - 144A 713569AA9 2191 2000000 SH SOLE 2000000 0 0 QUS 13.5% 15 DEC 2010 - 144A 74913RAB7 13369 11500000 SH SOLE 11500000 0 0 QUS 14% 15 DEC 2014 - 144A 74913RAC5 5950 5000000 SH SOLE 5000000 0 0 QWEST 0% 30 JUN 2007-LOAN LN121319 3120 3000000 SH SOLE 3000000 0 0 REGIONS FINL CORP COM 758940100 6908 189000 SH SOLE 189000 0 0 ROGERS COMMUNICATIONS INC DBCV 2.000%11/2 775109AE1 12334 13000000 SH SOLE 13000000 0 0 SBC COMMUNICATIONS INC COM 78387G103 752 31000 SH SOLE 31000 0 0 SELECTIVE INS GROUP INC NOTE 1.616% 9/2 816300AB3 10859 19500000 SH SOLE 19500000 0 0 SIGI 1.6155 24 SEP 2032 - 144A 816300AA5 278 500000 SH SOLE 500000 0 0 SIZELER PPTY INVS INC SDCV 9.000% 7/1 830137AB1 5603 5400000 SH SOLE 5400000 0 0 SOVEREIGN BANCORP INC COM 845905108 53299 2411700 SH SOLE 2411700 0 0 SPRINT CORP COM FON GROUP 852061100 9856 560000 SH SOLE 560000 0 0 SUPERVALU INC NOTE 11/0 868536AP8 19450 57100000 SH SOLE 57100000 0 0 TCT 5.375% 15 AUG 2023 892081AB6 7183 6500000 SH SOLE 6500000 0 0 TCT 5.375% 15 AUG 2023 144A 892081AA8 12293 11125000 SH SOLE 11125000 0 0 TRIBUNE CO NEW SB DB EXCH2%29 896047305 52839 633750 SH SOLE 633750 0 0 UNION PLANTERS CORP COM 908068109 6797 228000 SH SOLE 228000 0 0 UNITED STATES CELLULAR CORP NOTE 6/1 911684AA6 13144 25000000 SH SOLE 25000000 0 0 UNITEDHEALTH GROUP INC COM 91324P102 13670 219600 SH SOLE 219600 0 0 VERIZON COMMUNICATIONS COM 92343V104 2783 76900 SH SOLE 76900 0 0 WELLCARE HEALTH PLANS INC 94946T106 170 10000 SH SOLE 10000 0 0 WELLCHOICE INC COM 949475107 26939 650700 SH SOLE 650700 0 0 WESTCORP INC COM 957907108 5245 115400 SH SOLE 115400 0 0 WYE FRN 15 JAN 2024 - 144A 983024AC4 44033 45000000 SH SOLE 45000000 0 0
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