13F-HR 1 form13f0202.txt FORM13F FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2001 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: Stephen A. Feinberg Address: 450 Park Avenue, 28th Floor, New York, NY 10022 ------------------------------------------------------------ Form 13F File Number: 28-06882 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: Reporting Manager: Name: Stephen A. Feinberg ----------------------- Title: Investment Manager ----------------------- Phone: (212) 421-2600 ----------------------- Signature, Place, and Date of Signing: /s/ Stephen Feinberg New York, NY 2/12/02 --------------------------- ------------------------ ----------------- [Signature] [City, State] [Date] Report Type (Check only one): [ ] 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).) [X] 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).) List of Other Managers Reporting for this Manager, [If there are no entries in this list, omit this section.] Form 13F File Number 28-6286 ----------------------------------------------------------- Name J. Ezra Merkin* --------------------------------------------------------------- Form 13F Summary Page Report Summary Number of Other Included Managers: 1* Form 13F Information Table Entry Total: 22 Form 13F Information Table Value Total: $187,476 (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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. 1* ---------------------------------------------------------------------- Form 13F File Number 28-6286 ----------------------------------------------------------- Name J. Ezra Merkin ---------------------------------------------------------------------- * Mr. Stephen A. Feinberg shares investment discretion with Mr. J. Ezra Merkin over certain securities, and such securities are not included herein, but are reported on the Form 13F filed by Mr. Merkin.
FORM 13F INFORMATION TABLE STEPHEN A. FEINBERG FORM 13F December 31, 2001 Name of Issuer Title of Class CUSIP Value Shares or SH/ Put/ Investment Other Voting Authority (x$1000) Prin. Amt. PRN Call Discretion Managers Sole Shared None AMERICAN SKIING COMPANY COMMON STOCK 029654308 $ 676 1,352,800 SH SOLE N/A X BIOSPHERE MEDICAL, INC. COMMON STOCK 09066V103 $ 17,573 1,559,268 SH SOLE N/A X CALIFORNIA COASTAL COMMON STOCK 129915203 $ 509 127,209 SH SOLE N/A X CONDUCTUS, INC. COMMON STOCK 206784100 $ 488 168,800 SH SOLE N/A X CRONOS GROUP, N.V. ORD L20708100 $ 1,436 287,200 SH SOLE N/A X FIRST UNION REAL ESTATE SH BEN INT 337400105 $ 4,147 1,764,699 SH SOLE N/A X FIRST UNION REAL ESTATE PRD CONV SER A 337400303 $ 614 30,500 SH SOLE N/A X GENERAL MARITIME CORP. COMMON STOCK Y2692M103 $ 1,999 199,921 SH SOLE N/A X HEALTHAXIS, INC. COMMON STOCK 42219D100 $ 106 153,259 SH SOLE N/A X I-STAT CORP. COMMON STOCK 450312103 $ 15,146 1,919,702 SH SOLE N/A X IBERIABANK CORP. COMMON STOCK 450828108 $ 3,066 110,600 SH SOLE N/A X INSIGNIA FINANCIAL GROUP, COMMON STOCK 45767A105 $ 400 36,992 SH SOLE N/A X INC. KINDRED HEALTHCARE, INC. COMMON STOCK 494580103 $ 61,437 1,181,472 SH SOLE N/A X NUCENTRIX BROADBAND COMMON STOCK 670198100 $ 14,721 1,338,266 SH SOLE N/A X NETWORKS PENN TRAFFIC COMPANY COMMON STOCK 707832200 $ 951 179,400 SH SOLE N/A X REUNION INDUSTRIES, INC. COMMON STOCK 761312107 $ 21 67,303 SH SOLE N/A X SCIENT CORP. COMMON STOCK 80864H109 $ 434 1,034,160 SH SOLE N/A X SEPRACOR, INC. COMMON STOCK 817315104 $ 11,127 195,000 SH SOLE N/A X SOLUTIA, INC. COMMON STOCK 834376105 $ 140 10,000 SH SOLE N/A X SPEEDUS.COM COMMON STOCK 847723103 $ 19 21,548 SH SOLE N/A X TRANS WORLD ENTERTAINMENT COMMON STOCK 89336Q100 $ 52,222 6,871,281 SH SOLE N/A X CORP. VITRAN CORP. COMMON STOCK 92850E107 $ 244 117,200 SH SOLE N/A X