-----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, FuyLwAQctaWbu2FGtra3k+rFx6xafyQkJa3MoALopcbQrkHeIMH9hPt86t5Vn8hf X6QYfB3CdNL7TX2RFEvJOg== 0000905718-03-000304.txt : 20031114 0000905718-03-000304.hdr.sgml : 20031114 20031114110312 ACCESSION NUMBER: 0000905718-03-000304 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031114 EFFECTIVENESS DATE: 20031114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FEINBERG STEPHEN CENTRAL INDEX KEY: 0000947822 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06882 FILM NUMBER: 031001236 BUSINESS ADDRESS: STREET 1: 450 PARK AVE STREET 2: 28TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128912120 MAIL ADDRESS: STREET 1: 450 PARK AVE STREET 2: 28TH FL CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 form13fsept03.txt FM13F FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2003 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: 299 Park Avenue, 22nd Floor, New York, NY 10171 ------------------------------------------------------------ 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: Name: Stephen A. Feinberg ----------------------- Title: Investment Manager ----------------------- Phone: (212) 421-2600 ----------------------- Signature, Place, and Date of Signing: /s/ Stephen Feinberg New York, NY 11/13/03 - --------------------------- ------------------------ ------------------ [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: 24 - -------------------------------------------------------------------------------- Form 13F Information Table Value Total: $ 393,193 (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 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 September 30, 2003
- ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Title of Value Shares or SH/ Put/ Investment Other Voting Authority Name of Issuer Class CUSIP (x$1000) Prin. Amt. PRN Call Discretion Managers Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ ALLSTREAM INC CL A VTG SHS 02004C105 $ 1,426 36,522 SH SOLE N/A X ALLSTREAM INC CL B LT VTG SH 02004C204 $101,488 2,598,935 SH SOLE N/A X APARTMENT INVESTMENT COMMON STOCK 03748R101 $ 16,827 427,525 SH SOLE N/A X & MANAGEMENT CO. AT&T WIRELESS SERVICES INC. COMMON STOCK 00209A106 $ 2,454 300,000 SH SOLE N/A X BIOSPHERE MEDICAL, INC. COMMON STOCK 09066V103 $ 4,986 1,559,268 SH SOLE N/A X CALIFORNIA COASTAL COMMON STOCK 129915203 $ 1,128 127,209 SH SOLE N/A X COMMUNITIES INC. CLEAN HARBORS INC. COMMON STOCK 184496107 $ 4,437 1,043,900 SH SOLE N/A X CONSECO INC COMMON STOCK 208464883 $ 89,295 4,960,853 SH SOLE N/A X CONSECO INC WARRANTS 208464123 $ 555 108,891 SH SOLE N/A X CRONOS GROUP, N.V. ORD L20708100 $ 986 249,100 SH SOLE N/A X DARLING INTERNATIONAL INC. COMMON STOCK 237266101 $ 18,801 8,355,849 SH SOLE N/A X FIRST UNION REAL ESTATE SH BEN INT 337400105 $ 3,194 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 HEALTHAXIS, INC. COMMON STOCK 42219D308 $ 81 11,750 SH SOLE N/A X I-STAT CORP. COMMON STOCK 450312103 $ 26,434 1,919,702 SH SOLE N/A X KINDRED HEALTHCARE INC. COMMON STOCK 494580103 $ 56,160 1,500,001 SH SOLE N/A X NUCENTRIX BROADBAND NETWORKS COMMON STOCK 670198100 $ 1,178 1,338,266 SH SOLE N/A X PENN TRAFFIC COMPANY COMMON STOCK 707832200 $ 7 46,075 SH SOLE N/A X SEPRACOR INC. COMMON STOCK 817315104 $ 15,053 545,000 SH SOLE N/A X SPEEDUS CORP. COMMON STOCK 847723103 $ 25 21,548 SH SOLE N/A X SPRINT CORP - PCS GROUP COMMON STOCK 852061506 $ 1,764 300,000 SH SOLE N/A X SUPERCONDUCTOR TECHNOLOGIES INC. COMMON STOCK 867931107 $ 226 101,280 SH SOLE N/A X TRANS WORLD ENTERTAINMENT CORP. COMMON STOCK 89336Q100 $ 44,854 6,921,881 SH SOLE N/A X VITRAN CORP. COMMON STOCK 92850E107 $ 1,220 117,200 SH SOLE N/A X
-----END PRIVACY-ENHANCED MESSAGE-----