-----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, LWLtgbAO4SgNwAeME+Pv7+cD604phs27zgQJDNLEwSnhHoxrMg3Pry4EDaMYYeE3 jnS6M4XPj0Uhqc7ruRiA4w== 0000922423-01-000205.txt : 20010223 0000922423-01-000205.hdr.sgml : 20010223 ACCESSION NUMBER: 0000922423-01-000205 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DICKSTEIN PARTNERS INC CENTRAL INDEX KEY: 0000922415 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133537972 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04300 FILM NUMBER: 1544910 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 0001.txt FORM 13-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER Report for the Calendar Year or Quarter Ended December 31, 2000. - -------------------------------------------------------------------------------- (Please read instructions before preparing form.) - -------------------------------------------------------------------------------- If amended report check here: |_| Dickstein Partners Inc. - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 660 Madison Avenue, 16th Floor New York New York 10021 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) - -------------------------------------------------------------------------------- Timothy O'Brien, (212) 754-4000, Vice President - -------------------------------------------------------------------------------- Name, Phone No., and Title of Person Duly Authorized to Submit This Report ATTENTION - -------------------------------------------------------------------------------- Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). - -------------------------------------------------------------------------------- The institutional investment manager submitting this Form and its attachments and the person by whom it is signed represent hereby that all information contained therein is true, correct and complete. It is understood that all required items, statements and schedules are considered integral parts of this Form and that the submission of any amendment represents that all unamended items, statements and schedules remain true, correct and complete as previously submitted. Pursuant to the requirements of Securities Exchange Act of 1934, the undersigned institutional investment manager has caused this report to be signed on its behalf in the City of New York and State of New York on the 14th day of February, 2001. DICKSTEIN PARTNERS INC. ------------------------------------------ (Name of Institutional Investment Manager) /s/ Timothy O'Brien ------------------------------------------ Manual Signature of Person Duly Authorized to Submit this Report Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order.) 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. Name: 13F File No.: Name: 13F File No.: - ----------------------------- ---------------- -------------- ------------- 1. Dickstein & Co., L.P. 28-4218 6. - ----------------------------- ---------------- -------------- ------------- 2. Dickstein Partners, L.P. 28-4098 7. - ----------------------------- ---------------- -------------- ------------- 3. Mark Dickstein 28-4210 8. - ----------------------------- ---------------- -------------- ------------- 4. 9. - ----------------------------- ---------------- -------------- ------------- 5. 10. - ----------------------------- ---------------- -------------- -------------
FORM 13F -------------------------- (SEC USE ONLY) Page 1 of 2 Name of Reporting Manager Dickstein Partners Inc. - ----------------------------------------------------------------------------------------------------------------------------------- Item 8: Item 5: Item 6: Voting Item 1: Item 2: Item 3: Item 4: Shares or Investment Discretion Item 7: (Shares)(b)Shared Name of Issuer Title of CUSIP Fair Market Principal b) Shared- (c) Managers Authority Class Number Value Amount (a)Sole As Defined Shared- See Instr.V (a) Sole (c)None - ----------------------------------------------------------------------------------------------------------------------------------- ADC Telecommunications Call 000886-90-1 362,500.00 20,000 (c) X 1,2,3 X 90,625.00 5,000 (c) X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Alcatel Spon Adr Cl 0 01373W-10-6 7,929,211.50 141,750 X 1,2,3 X - ----------------------------------------------------------------------------------------------------------------------------------- AT & T Corp Com 001957-10-9 6,960,937.50 405,000 X 1,2,3 X 773,437.50 45,000 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- AT & T Corp Call 001957-90-9 1,375,000.00 80,000 (c) X 1,2,3 X 343,750.00 20,000 (c) X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- AT & T Corp Put 001957-95-9 1,546,875.00 90,000 (p) X 1,2,3 X 171,875.00 10,000 (p) X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Ames Dept Stores Inc Com New 030789-50-7 115,000.00 80,000 X 1,2,3 X 28,750.00 20,000 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- At Home Corp Com Ser A 045919-10-7 442,500.00 80,000 X 1,2,3 X 110,625.00 20,000 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Brown & Sharpe Mfg Co. CL A 115223-10-9 390,000.00 80,000 X 1,2,3 X 97,500.00 20,000 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- C-Cube Microsystems Inc New Com 12501N-10-8 1,495,750.00 124,000 X 1,2,3 X 373,937.50 31,000 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Cendant Corp Com 151313-10-3 1,155,000.00 120,000 X 1,2,3 X 288,750.00 30,000 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Cendant Corp Call 151313-90-3 63,525.00 6,600 (c) X 1,2,3 X 16,362.50 1,700 (c) X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Citigroup Inc Call 172967-90-1 8,578,500.00 168,000 (c) X 1,2,3 X 2,144,625.00 42,000 (c) X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Dominion Res Inc VA New Com 25746U-10-9 27,089,440.00 404,320 X 1,2,3 X - ----------------------------------------------------------------------------------------------------------------------------------- Echostar Communications New Cl A 278762-10-9 409,500.00 18,000 X 1,2,3 X 102,375.00 4,500 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Exelixis Inc Com 30161Q-10-4 96,315.63 6,475 X 1,2,3 X 95,200.00 6,400 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Kmart Corp Com 482584-10-9 210,000.00 40,000 X 1,2,3 X 52,500.00 10,000 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Kmart Corp Put 482584-95-9 1,260,000.00 240,000 (p) X 1,2,3 X 325,500.00 62,000 (p) X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Litton Inds Inc Com 538021-10-6 1,218,687.50 15,500 X 1,2,3 X 306,637.50 3,900 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Column Totals 66,021,192.13 - -----------------------------------------------------------------------------------------------------------------------------------
-------------------------- (SEC USE ONLY) Page 2 of 2 Name of Reporting Manager Dickstein Partners Inc. - ----------------------------------------------------------------------------------------------------------------------------------- Item 8: Item 5: Item 6: Voting Item 1: Item 2: Item 3: Item 4: Shares or Investment Discretion Item 7: (Shares)(b)Shared Name of Issuer Title of CUSIP Fair Market Principal b) Shared- (c) Managers Authority Class Number Value Amount (a)Sole As Defined Shared- See Instr.V (a) Sole (c)None - ----------------------------------------------------------------------------------------------------------------------------------- Marvel Enterprises Inc Com 57383M-10-8 279,675.00 203,400 X 1,2,3 X 69,850.00 50,800 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Mellon Finl Corp Call 58551A-90-8 787,020.80 16,000 (c) X 1,2,3 X 196,755.20 4,000 (c) X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Motorola Inc Call 620076-90-9 486,000.00 24,000 (c) X 1,2,3 X 121,500.00 6,000 (c) X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Nisource Inc Com 65473P-10-5 220,000.00 80,000 X 1,2,3 X 54,664.50 19,878 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Rare Medium Group Inc Com 75382N-10-9 311,100.00 163,200 X 1,2,3 X 77,775.00 40,800 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Saks Inc Put 79377W-95-8 880,000.00 88,000 (p) X 1,2,3 X 220,000.00 22,000 (p) X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Veritas Software Co Com 923436-10-9 676,462.50 7,731 X 1,2,3 X 262.50 3 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Voicestream Wireless Corp Com 928615-10-3 2,415,000.00 24,000 X 1,2,3 X 603,750.00 6,000 X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- Worldcom Inc GA New Call 98157D-90-6 590,625.00 42,000 (c) X 1,2,3 X 112,500.00 8,000 (c) X 3 X - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Column Totals 8,102,940.50 - ----------------------------------------------------------------------------------------------------------------------------------- Aggregate Totals 74,124,132.63 - -----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER Report for the Calendar Year or Quarter Ended December 31, 2000. - -------------------------------------------------------------------------------- (Please read instructions before preparing form.) - -------------------------------------------------------------------------------- If amended report check here: |_| Dickstein & Co., L.P. - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 660 Madison Avenue, 16th Floor New York, New York 10021 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) - -------------------------------------------------------------------------------- Timothy O'Brien, (212) 754-4000, Vice President of Dickstein Partners Inc., the general partner of the general partner of Dickstein & Co., L.P. - -------------------------------------------------------------------------------- Name, Phone No., and Title of Person Duly Authorized to Submit This Report ATTENTION - -------------------------------------------------------------------------------- Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). - -------------------------------------------------------------------------------- The institutional investment manager submitting this Form and its attachments and the person by whom it is signed represent hereby that all information contained therein is true, correct and complete. It is understood that all required items, statements and schedules are considered integral parts of this Form and that the submission of any amendment represents that all unamended items, statements and schedules remain true, correct and complete as previously submitted. Pursuant to the requirements of Securities Exchange Act of 1934, the undersigned institutional investment manager has caused this report to be signed on its behalf in the City of New York and State of New York on the 14th day of February, 2000. DICKSTEIN & CO., L.P. ------------------------------------------ (Name of Institutional Investment Manager) /s/ Timothy O'Brien ------------------------------------------ Manual Signature of Person Duly Authorized to Submit this Report Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order.) 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. Name: 13F File No.: Name: 13F File No.: - ----------------------------- ---------------- -------------- ------------- 1. 6. - ----------------------------- ---------------- -------------- ------------- 2. 7. - ----------------------------- ---------------- -------------- ------------- 3. 8. - ----------------------------- ---------------- -------------- ------------- 4. 9. - ----------------------------- ---------------- -------------- ------------- 5. 10. - ----------------------------- ---------------- -------------- ------------- Pursuant to General Instruction B to Form 13F, the securities over which Dickstein & Co., L.P. exercises investment discretion are reported on its behalf on the Form 13F, of even date, filed by Dickstein Partners Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER Report for the Calendar Year or Quarter Ended December 31, 2000. - -------------------------------------------------------------------------------- (Please read instructions before preparing form.) - -------------------------------------------------------------------------------- If amended report check here: |_| Dickstein Partners, L.P. - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 660 Madison Avenue, 16th Floor New York, New York 10021 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) - -------------------------------------------------------------------------------- Timothy O'Brien, (212) 754-4000, VP of Dickstein Partners Inc., the general partner of Dickstein Partners, L.P. - -------------------------------------------------------------------------------- Name, Phone No., and Title of Person Duly Authorized to Submit This Report ATTENTION - -------------------------------------------------------------------------------- Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). - -------------------------------------------------------------------------------- The institutional investment manager submitting this Form and its attachments and the person by whom it is signed represent hereby that all information contained therein is true, correct and complete. It is understood that all required items, statements and schedules are considered integral parts of this Form and that the submission of any amendment represents that all unamended items, statements and schedules remain true, correct and complete as previously submitted. Pursuant to the requirements of Securities Exchange Act of 1934, the undersigned institutional investment manager has caused this report to be signed on its behalf in the City of New York and State of New York on the 14th day of February, 2000. DICKSTEIN PARTNERS, L.P. ------------------------------------------ (Name of Institutional Investment Manager) /s/ Timothy O'Brien ------------------------------------------ Manual Signature of Person Duly Authorized to Submit this Report Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order.) 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. Name: 13F File No.: Name: 13F File No.: - ----------------------------- ---------------- -------------- ------------- 1. 6. - ----------------------------- ---------------- -------------- ------------- 2. 7. - ----------------------------- ---------------- -------------- ------------- 3. 8. - ----------------------------- ---------------- -------------- ------------- 4. 9. - ----------------------------- ---------------- -------------- ------------- 5. 10. - ----------------------------- ---------------- -------------- ------------- Pursuant to General Instruction B to Form 13F, the securities over which Dickstein Partners, L.P. exercises investment discretion are reported on its behalf on the Form 13F, of even date, filed by Dickstein Partners Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER Report for the Calendar Year or Quarter Ended December 31, 2000. - -------------------------------------------------------------------------------- (Please read instructions before preparing form.) - -------------------------------------------------------------------------------- If amended report check here: |_| Mark Dickstein - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 660 Madison Avenue, 16th Floor New York, New York 10021 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) - -------------------------------------------------------------------------------- Mark Dickstein, (212) 754-4000, - -------------------------------------------------------------------------------- Name, Phone No., and Title of Person Duly Authorized to Submit This Report ATTENTION - -------------------------------------------------------------------------------- Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). - -------------------------------------------------------------------------------- The institutional investment manager submitting this Form and its attachments and the person by whom it is signed represent hereby that all information contained therein is true, correct and complete. It is understood that all required items, statements and schedules are considered integral parts of this Form and that the submission of any amendment represents that all unamended items, statements and schedules remain true, correct and complete as previously submitted. Pursuant to the requirements of Securities Exchange Act of 1934, the undersigned institutional investment manager has caused this report to be signed on its behalf in the City of New York and State of New York on the 14th day of February, 2000. MARK DICKSTEIN ------------------------------------------ (Name of Institutional Investment Manager) /s/ Mark Dickstein ------------------------------------------ Manual Signature of Person Duly Authorized to Submit this Report Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order.) 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. Name: 13F File No.: Name: 13F File No.: - ----------------------------- ---------------- -------------- ------------- 1. 6. - ----------------------------- ---------------- -------------- ------------- 2. 7. - ----------------------------- ---------------- -------------- ------------- 3. 8. - ----------------------------- ---------------- -------------- ------------- 4. 9. - ----------------------------- ---------------- -------------- ------------- 5. 10. - ----------------------------- ---------------- -------------- ------------- Pursuant to General Instruction B to Form 13F, the securities over which Mark Dickstein exercises investment discretion are reported on his behalf on the Form 13F, of even date, filed by Dickstein Partners Inc. -----END PRIVACY-ENHANCED MESSAGE-----