13F-HR 1 p12-1861form13fhr.txt CHARTER OAK PARTNERS MANAGEMENT, L.P. 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, 2012 ---------------------------- 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: CHARTER OAK PARTNERS MANAGEMENT, L.P. -------------------------------------------------- Address: 10 WRIGHT STREET -------------------------------------------------- WESTPORT, CT 06880 -------------------------------------------------- Form 13F File Number: 028-13963 ------------------ 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: JERROLD N. FINE -------------------------------------------------- Title: MANAGING MEMBER OF THE GENERAL PARTNER -------------------------------------------------- Phone: 203-226-7591 -------------------------------------------------- Signature, Place, and Date of Signing: /s/ Jerrold N. Fine Westport, CT 11/14/2012 ------------------------ ------------------------------ ---------- [Signature] [City, State] [Date] The 13F reports relating to the securities holdings of Charter Oak Partners and its affiliated funds prior to January 1, 2010 can be found under the name "Charter Oak Partners/CT", 13F File Number 028-01685. 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: 2 ------------- Form 13F Information Table Entry Total: 78 ------------- Form 13F Information Table Value Total: $ 205,159 ------------- (in thousands) 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. 028-12871 CHARTER OAK MANAGEMENT GP LLC 2. 028-13964 FINE PARTNERS, L.P.
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------------------------- -------------- --------- -------- ----------------- ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ---- ABERCROMBIE & FITCH CO. CLA 002896207 627 18,490 SH DEFINED 1, 2 18,490 0 0 ABERCROMBIE & FITCH CO. CLA 002896207 51 1,510 SH DEFINED 1 1,510 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 5,161 161,783 SH DEFINED 1, 2 161,783 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 422 13,217 SH DEFINED 1 13,217 0 0 ASBURY AUTOMOTIVE GROUP INC COM 043436104 1,292 46,237 SH DEFINED 1, 2 46,237 0 0 ASBURY AUTOMOTIVE GROUP INC COM 043436104 105 3,763 SH DEFINED 1 3,763 0 0 CENTURYLINK INC COM 156700106 1,868 46,233 SH DEFINED 1, 2 46,233 0 0 CENTURYLINK INC COM 156700106 152 3,767 SH DEFINED 1 3,767 0 0 DST SYS INC DEL COM 233326107 523 9,244 SH DEFINED 1, 2 9,244 0 0 DST SYS INC DEL COM 233326107 43 756 SH DEFINED 1 756 0 0 EVEREST RE GROUP LTD COM G3223R108 17,103 159,905 SH DEFINED 1, 2 159,905 0 0 EVEREST RE GROUP LTD COM G3223R108 1,393 13,024 SH DEFINED 1 13,024 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 683 69,298 SH DEFINED 1, 2 69,298 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 56 5,702 SH DEFINED 1 5,702 0 0 GEO GROUP INC COM 36159R103 2,555 92,327 SH DEFINED 1, 2 92,327 0 0 GEO GROUP INC COM 36159R103 212 7,673 SH DEFINED 1 7,673 0 0 GREENBRIER COS INC COM 393657101 2,849 176,498 SH DEFINED 1, 2 176,498 0 0 GREENBRIER COS INC COM 393657101 229 14,208 SH DEFINED 1 14,208 0 0 HANESBRANDS INC COM 410345102 1,031 32,355 SH DEFINED 1, 2 32,355 0 0 HANESBRANDS INC COM 410345102 84 2,645 SH DEFINED 1 2,645 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 5,991 436,370 SH DEFINED 1, 2 436,370 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 478 34,788 SH DEFINED 1 34,788 0 0 HOLOGIC INC COM 436440101 1,869 92,443 SH DEFINED 1, 2 92,443 0 0 HOLOGIC INC COM 436440101 153 7,557 SH DEFINED 1 7,557 0 0 KOHLS CORP COM 500255104 2,841 55,472 SH DEFINED 1, 2 55,472 0 0 KOHLS CORP COM 500255104 232 4,528 SH DEFINED 1 4,528 0 0 KRAFT FOODS INC CL A 50075N104 2,294 55,469 SH DEFINED 1, 2 55,469 0 0 KRAFT FOODS INC CL A 50075N104 84 4,531 SH DEFINED 1 4,531 0 0 KRAFT FOODS GROUP, INC COM 50076Q106 1,032 23,110 SH DEFINED 1, 2 23,110 0 0 KRAFT FOODS GROUP, INC COM 50076Q106 187 1,890 SH DEFINED 1 1,890 0 0 MARINEMAX INC COM 567908108 215 25,892 SH DEFINED 1, 2 25,892 0 0 MARINEMAX INC COM 567908108 17 2,108 SH DEFINED 1 2,108 0 0 MARTEN TRANS LTD COM 573075108 4,420 251,543 SH DEFINED 1, 2 251,543 0 0 MARTEN TRANS LTD COM 573075108 364 20,693 SH DEFINED 1 20,693 0 0 MEDTRONIC INC COM 585055106 1,993 46,222 SH DEFINED 1, 2 46,222 0 0 MEDTRONIC INC COM 585055106 163 3,778 SH DEFINED 1 3,778 0 0 METLIFE INC COM 59156R108 3,931 114,081 SH DEFINED 1, 2 114,081 0 0 METLIFE INC COM 59156R108 293 8,509 SH DEFINED 1 8,509 0 0 MICROSOFT CORP COM 594918104 5,623 188,931 SH DEFINED 1, 2 188,931 0 0 MICROSOFT CORP COM 594918104 458 15,390 SH DEFINED 1 15,390 0 0 MYLAN INC COM 628530107 15,360 630,240 SH DEFINED 1, 2 630,240 0 0 MYLAN INC COM 628530107 1,251 51,340 SH DEFINED 1 51,340 0 0 NIC INC COM 62914B100 1,048 70,828 SH DEFINED 1, 2 70,828 0 0 NIC INC COM 62914B100 85 5,772 SH DEFINED 1 5,772 0 0 NCR CORP NEW COM 62886E108 4,066 174,445 SH DEFINED 1, 2 174,445 0 0 NCR CORP NEW COM 62886E108 338 14,480 SH DEFINED 1 14,480 0 0 NORTHWEST NAT GAS CO COM 667655104 2,276 46,223 SH DEFINED 1, 2 46,223 0 0 NORTHWEST NAT GAS CO COM 667655104 186 3,777 SH DEFINED 1 3,777 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 1,145 46,006 SH DEFINED 1, 2 46,006 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 93 3,748 SH DEFINED 1 3,748 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 13,442 156,188 SH DEFINED 1, 2 156,188 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 1,095 12,723 SH DEFINED 1 12,723 0 0 PRUDENTIAL FINL INC COM 744320102 4,026 73,866 SH DEFINED 1, 2 73,866 0 0 PRUDENTIAL FINL INC COM 744320102 328 6,017 SH DEFINED 1 6,017 0 0 PUT/SPY@ 142 EXP 10/20/2012 SPY 9EDEJSEV3 246 2,312 SH DEFINED 1, 2 2,312 0 0 PUT/SPY@ 142 EXP 10/20/2012 SPY 9EDEJSEV3 20 188 SH DEFINED 1 188 0 0 PUT/SPY@137 EXP 11/17/2012 SPY 78462F81I 51 463 SH DEFINED 1, 2 463 0 0 PUT/SPY@137 EXP 11/17/2012 SPY 78462F81I 4 37 SH DEFINED 1 37 0 0 STAPLES INC COM 855030102 532 46,222 SH DEFINED 1, 2 46,222 0 0 STAPLES INC COM 855030102 44 3,778 SH DEFINED 1 3,778 0 0 SOUTH JERSEY INDS INC COM 838518108 1,412 26,669 SH DEFINED 1, 2 26,669 0 0 SOUTH JERSEY INDS INC COM 838518108 115 2,172 SH DEFINED 1 2,172 0 0 SOUTHWEST GAS CORP COM 844895102 2,043 46,223 SH DEFINED 1, 2 46,223 0 0 SOUTHWEST GAS CORP COM 844895102 167 3,777 SH DEFINED 1 3,777 0 0 SOUTHWESTERN ENERGY CO COM 845467109 5,458 156,936 SH DEFINED 1, 2 156,936 0 0 SOUTHWESTERN ENERGY CO COM 845467109 443 12,744 SH DEFINED 1 12,744 0 0 SPDR GOLD TRUST COM 78463V107 1,629 9,475 SH DEFINED 1, 2 9,475 0 0 SPDR GOLD TRUST COM 78463V107 133 772 SH DEFINED 1 772 0 0 UIL HLDG CORP COM 902748102 3,306 92,183 SH DEFINED 1, 2 92,183 0 0 UIL HLDG CORP COM 902748102 269 7,509 SH DEFINED 1 7,509 0 0 USA TRUCK INC COM 902925106 68,190 18,785 SH DEFINED 1, 2 18,785 0 0 USA TRUCK INC COM 902925106 5 1,515 SH DEFINED 1 1,515 0 0 VERIFONE SYS INC COM 92342Y109 2,573 92,387 SH DEFINED 1, 2 92,387 0 0 VERIFONE SYS INC COM 92342Y109 206 7,395 SH DEFINED 1 7,395 0 0 WABASH NATL CORP COM 929566107 2,363 331,407 SH DEFINED 1, 2 331,407 0 0 WABASH NATL CORP COM 929566107 193 27,093 SH DEFINED 1 27,093 0 0 WHITING USA TRUST II TR UNIT 966388100 1,794 92,998 SH DEFINED 1, 2 92,998 0 0 WHITING USA TRUST II TR UNIT 966388100 147 7,602 SH DEFINED 1 7,602 0 0