0001193125-11-310168.txt : 20111114 0001193125-11-310168.hdr.sgml : 20111111 20111114133035 ACCESSION NUMBER: 0001193125-11-310168 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sankaty Advisors, LLC CENTRAL INDEX KEY: 0001317947 IRS NUMBER: 043505100 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11314 FILM NUMBER: 111200454 BUSINESS ADDRESS: STREET 1: C/O BAIN CAPITAL, LLC STREET 2: 111 HUNTINGTON AVENUE CITY: BOSTON STATE: MA ZIP: 02199 BUSINESS PHONE: 617-516-2000 MAIL ADDRESS: STREET 1: C/O BAIN CAPITAL, LLC STREET 2: 111 HUNTINGTON AVENUE CITY: BOSTON STATE: MA ZIP: 02199 13F-HR 1 d253476d13fhr.txt FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 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: Sankaty Advisors, LLC* Address: John Hancock Tower 200 Clarendon Street Boston, Massachusetts 02116 Form 13F File Number: 28-11314 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. *Sankaty Advisors, LLC serves as an adviser to pooled investment vehicles (the "Funds") but exercises investment discretion with respect to only a limited number of these Funds. The filing of this 13F Holdings Report by Sankaty Advisors, LLC shall not be construed as an admission that Sankaty Advisors, LLC is the beneficial owner of such shares held by each of the Funds. Person Signing this Report on Behalf of Reporting Manager: Name: Jonathan S. Lavine Title: Manager Phone: (617) 516-2000 Signature, Place, and Date of Signing: /s/ Jonathan S. Lavine Boston, MA 11/14/11 ------------------------- ------------------------- ----------------------- [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 are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 10 ------------- Form 13F Information Table Entry Total: 16 ------------- Form 13F Information Table Value Total: 375,297 ------------- (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.
No. Form 13F File Number Name 1. 28-14551 Sankaty Credit Member, LLC 2. 28-14552 Sankaty Credit Member (Offshore), Ltd. 3. 28-14550 Sankaty Credit Opportunities Investors III, LLC 4. 28-14556 Sankaty Credit Opportunities III, L.P. 5. 28-14554 Sankaty Credit Opportunities Investors IV, LLC 6. 28-14555 Sankaty Credit Opportunities IV, L.P. 7. 28-14557 Sankaty Credit Opportunities (Offshore Master) IV, L.P 8. 28-14553 Sankaty Credit Opportunities Investors (Offshore) IV, L.P. 9. 28-14558 Prospect Harbor Investors, LLC 10. 28-14559 Prospect Harbor Credit Partners, L.P.
SANKATY ADVISORS, LLC FORM 13F INFORMATION TABLE AS OF 09/30/11
VALUE INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP SHARES (X$1000) DISCRETION MANAGERS SOLE SHARED NONE ACCURIDE CORP NEW COM NEW 00439T206 2,433,370 $ 12,459 (OTHER) X AEROFLEX HLDG CORP COM 007767106 3,430,986 $ 31,222 (OTHER) X ALERE INC COM 01449J105 1,837,985 $ 36,116 (OTHER) X DANA HLDG CORP COM 235825205 4,326,022 $ 45,423 (OTHER) X DDI CORP COM 0.0001 NEW 233162502 286,778 $ 2,076 (OTHER) X JDA SOFTWARE GROUP INC COM 46612K108 1,956,883 $ 45,869 (OTHER) X JONES GROUP INC COM 48020T101 3,197,705 $ 29,451 (OTHER) X NRG ENERGY INC COM NEW 629377508 325,469 $ 6,903 (OTHER) X SEMGROUP CORP CL A 81663A105 240,886 $ 4,808 (OTHER) X SEMGROUP CORP CL A 81663A105 86,128 $ 1,719 (SOLE) X SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 3,591,617 $ 57,286 (OTHER) X SUPERMEDIA INC COM 868447103 64,503 $ 100 (OTHER) X SUPERMEDIA INC COM 868447103 9,837 $ 15 (SOLE) X SWIFT TRANSN CO COM 87074U101 4,668,325 $ 30,064 (OTHER) X VERINT SYS INC COM 92343X100 2,047,412 $ 53,826 (OTHER) X WASHINGTON POST CO CL B 939640108 54,922 $ 17,958 (OTHER) X