-----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, VdOtCJjsJZy5hDNF0JzR7VwflQgocJwe2AVHAwE2Wn+IaTZa39Cp98TvNyToh7Ra hVt4RMlqUY2ktm9Pl28QSg== 0000949509-01-500012.txt : 20020410 0000949509-01-500012.hdr.sgml : 20020410 ACCESSION NUMBER: 0000949509-01-500012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OAKTREE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000949509 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05050 FILM NUMBER: 1785631 BUSINESS ADDRESS: STREET 1: 333 S GRAND AVENUE 28TH FL CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: 2138306300 MAIL ADDRESS: STREET 2: 333 S GRAND AVE 28TH FL CITY: LOS ANGLES STATE: CA ZIP: 90071 13F-HR 1 r13f3rdq.txt OAKTREE CAPITAL MANAGEMENT LLC 9/30/01 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2001 Check here if Amendment [ ] ; Amendment Number: This Amendment (Check only one.) : [ ] is a restatement. [ ] adds new holding entries. Institutional Manager Filing this Report: Name: Oaktree Capital Management, LLC Address:333 South Grand Avenue 28 Floor Los Angeles, CA 90071 13F File Number: 28-5050 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: Kristin H. Scott Title: Senior Vice President Phone: 213-830-6225 Signature, Place, and Date of Signing: Kristin H. Scott Los Angeles, CA November 12, 2001 Report Type (Check only one.): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE REPORT [ ] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 152 Form 13F Information Table Value Total: $1,381,799 List of Other Included Managers: No. 13F File Number Name FORM 13F INFORMATION TABLE
NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000)PRN AMT PRN DSCRETN MRGRS SOLE SHARED NONE ACORN PRODS INC COM 004857108 494 1,149,500 SH SOLE 1,149,500 ADVANCED SEMICONDUCTOR ENGR SPONSORED ADR 00756M404 564 245,100 SH SOLE 245,100 AES CORP JR SBDB CV4.5%05 00130HAN5 4,589 5,700,000 PRN SOLE 5,700,000 AES CORP COM 001030H105 2,949 230,000 SH SOLE 230,000 AFFILIATED COMPUTER SERVICES SB NTCV 144A 06 008190AE0 15,187 13,250,000 PRN SOLE 13,250,000 AFFILIATED COMPUTER SERVICES SUB NT CV 3.5%06 008190AF7 2,292 2,000,000 PRN SOLE 2,000,000 AGNICO EAGLE MINES LTD SRNT CONV 3.5%04 008474AA6 1,884 2,230,000 PRN SOLE 2,230,000 ALKERMES INC SUB NT CV3.75%07 01642TAB4 764 1,300,000 PRN SOLE 1,300,000 ANNTAYLOR STORES CORP GTD SB DB CV 19 036115AC7 973 2,000,000 PRN SOLE 2,000,000 APACHE CORP PFD C DP 1/50 037411600 3,151 84,600 SH SOLE 84,600 APT SATELLITE HOLDINGS LTD SPONSORED ADR 00203R105 4,187 1,744,586 SH SOLE 1,744,586 ASE TEST LTD ORD Y02516105 664 86,200 SH SOLE 86,200 ASPEN TECHNOLOGY INC SB DB CV 5.25%05 045327AB9 1,095 1,500,000 PRN SOLE 1,500,000 AURORA FOODS INC COM 05164B106 4,636 1,161,810 SH SOLE 1,161,810 BEA SYSTEMS INC SB NT CV 4%06 073325AD4 1,836 2,500,000 PRN SOLE 2,500,000 BIOPURE CORP CL A 09065H105 41,930 2,510,807 SH SOLE 2,510,807 BISYS GROUP INC SB NT CV 144A 06 055472AA2 12,525 12,000,000 PRN SOLE 12,000,000 BISYS GROUP INC SB NT CV 4%06 055472AB0 3,653 3,500,000 PRN SOLE 3,500,000 BRIGHTPOINT INC SB LYON ZERO 18 109473AC2 235 660,000 PRN SOLE 660,000 BROADWING INC PFD CV DEP1/20 111620407 12,418 313,100 SH SOLE 313,100 CAMINUS CORP COM 133766105 50,887 3,852,140 SH SOLE 3,852,140 CELLSTAR CORP SUB NT CONV 5%02 150925AC9 1,333 2,150,000 PRN SOLE 2,150,000 CEPHALON INC SB NT CV 144A 06 156708AB5 12,747 13,950,000 PRN SOLE 13,950,000 CHARMING SHOPPES INC SB NT CV 7.5%06 161133AA1 560 600,000 PRN SOLE 600,000 CHARTER COMMUNICATIONS INC DEL SB NT CV 144A 05 16117MAA5 12,046 14,420,000 PRN SOLE 14,420,000 CHARTER COMMUNICATIONS INC DEL SUB NT CV5.75%05 16117MAB3 23,624 28,280,000 PRN SOLE 28,280,000 CHINA MOBILE HONG KONG LTD NT CONV 2.25%05 16941MAA7 5,843 6,295,000 PRN SOLE 6,295,000 CHINA UNICOM LTD SPONSORED ADR 16945R104 2,067 191,400 SH SOLE 191,400 CHINADOTCOM CORP CL A G2108N109 869 434,300 SH SOLE 434,300 CIENA CORP NT CONV 3.75%08 171779AA9 1,079 1,800,000 PRN SOLE 1,800,000 CKE RESTAURANTS INC SB NT CV 4.25%04 12561EAB1 1,619 2,300,000 PRN SOLE 2,300,000 CNOOC LTD SPONSORED ADR 126132109 3,182 159,100 SH SOLE 159,100 COCA-COLA FEMSA S A DE C V SPON ADR REP L 191241108 3,577 181,100 SH SOLE 181,100 COLLAGENEX PHARMACEUTICALS INC COM 19419B100 2,449 340,086 SH SOLE 340,086 COMMSCOPE INC SB NT CV 4%06 203372AB3 1,168 1,500,000 PRN SOLE 1,500,000 COMPANHIA VALE DO RIO DOCE SPON ADR PFD 204412100 2,824 141,900 SH SOLE 141,900 CONEXANT SYSTEMS INC SB NT CV 4.25%06 207142AB6 1,729 2,600,000 PRN SOLE 2,600,000 COR THERAPEUTICS INC SUB NT CV 5%07 217753AD4 5,874 6,600,000 PRN SOLE 6,600,000 COR THERAPEUTICS INC SR NT CV 144A 06 217753AE2 18,798 22,000,000 PRN SOLE 22,000,000 CURAGEN CORP SUB DEB CV 6%07 23126RAC5 565 750,000 PRN SOLE 750,000 CYPRESS SEMICONDUCTOR CORP SB NT CV 3.75%05 232806AF6 1,360 1,750,000 PRN SOLE 1,750,000 E SIM LTD ORD M40990109 320 571,500 SH SOLE 571,500 ECHOSTAR COMMUNICATIONS NEW SB NT CV4.875%07 278762AD1 22,586 29,050,000 PRN SOLE 29,050,000 ECHOSTAR COMMUNICATIONS NEW SR NT CV 144A 08 278762AE9 5,798 7,000,000 PRN SOLE 7,000,000 EMBRAER-EMPRESA BRASILEIRA DE SP ADR PFD SHS 29081M102 11,430 896,500 SH SOLE 896,500 FEI CO SUB NT CV 5.5%08 30241LAA7 6,740 8,600,000 PRN SOLE 8,600,000 FIRST DATA CORP SR CV DBT SEC 08 319963AD6 21,010 20,500,000 PRN SOLE 20,500,000 FIRST UN REAL EST EQ&MTG INVTS SH BEN INT 337400105 178 70,000 SH SOLE 70,000 FOREST OIL CORP COM PAR $0.01 346091705 86,899 3,503,974 SH SOLE 3,503,974 GETTY IMAGES INC SUB NT CONV 5%07 374276AE3 35,393 47,530,000 PRN SOLE 47,530,000 GRUPO ELEKTRA SA DE CV GLOBL DEP RCPT 40050A102 2,144 456,100 SH SOLE 456,100 GRUPO INDL MASECA S A DE C V SPON ADR NEW 400488409 3,096 1,015,100 SH SOLE 1,015,100 GRUPO IUSACELL S A DE C V NEW SPON ADR V 40050B100 2,778 1,234,800 SH SOLE 1,234,800 GULF INDONESIA RES LTD COM 402284103 4,374 502,800 SH SOLE 502,800 HANOVER COMPRESSOR CO SR NT CV 4.75%08 410768AC9 9,819 11,500,000 PRN SOLE 11,500,000 HEALTHSOUTH CORP SB DB CV 3.25%03 421924AF8 47,573 50,200,000 PRN SOLE 50,200,000 HEXCEL CORP NEW SUB NT CV 7%03 428291AA6 186 232,000 PRN SOLE 232,000 HILTON HOTELS CORP SUB NT CONV 5%06 432848AL3 1,485 1,825,000 PRN SOLE 1,825,000 HNC SOFTWARE INC SB NT CV 144A08 40425PAB3 12,856 13,750,000 PRN SOLE 13,750,000 HUMAN GENOME SCIENCES INC SUB NT CV 5%07 444903AF5 17,379 20,150,000 PRN SOLE 20,150,000 HUTCHINSON TECHNOLOGY INC SB NT CV 6%05 448407AC0 1,019 1,150,000 PRN SOLE 1,150,000 IMCLONE SYS INC SUB NT CV 144A05 45245WAA7 19,848 16,150,000 PRN SOLE 16,150,000 IMCLONE SYS INC SUB NT CV 5.5%05 45245WAD1 7,620 6,200,000 PRN SOLE 6,200,000 INCO LTD DEB CONV 5.75%04 453258AK1 981 1,000,000 PRN SOLE 1,000,000 INCYTE GENOMICS INC SUB NT CONV 07 45337CAC6 1,035 1,550,000 PRN SOLE 1,550,000 INTERNATIONAL RECTIFIER CORP SUB NT CV 144A07 460254AD7 739 980,000 PRN SOLE 980,000 INTERNATIONAL RECTIFIER CORP SUB NT CV4.25%07 460254AE5 9,183 12,185,000 PRN SOLE 12,185,000 INVITROGEN CORP SB NT CV 5.5%07 46185RAB6 14,096 13,000,000 PRN SOLE 13,000,000 IVAX CORP SR SUB NT CV 07 465823AD4 23,870 22,965,000 PRN SOLE 22,965,000 IVAX CORP SR SB CV 144A08 465823AE2 13,601 15,500,000 PRN SOLE 15,500,000 JOY GLOBAL INC COM 481165108 69,383 4,672,248 SH SOLE 4,672,248 KAMAN CORP SUB DEB CV 6%12 483548AC7 905 1,000,000 PRN SOLE 1,000,000 KERR MCGEE CORP SB DB CV 5.25%10 492386AP2 17,426 16,000,000 PRN SOLE 16,000,000 KMART FING I PFD TRCV 7.75% 498778208 16,564 445,400 SH SOLE 445,400 KOREA TELECOM SPONSORED ADR 50063P103 29,308 1,602,400 SH SOLE 1,602,400 KULICKE & SOFFA INDS INC SUB NT CV4.75%06 501242AE1 8,515 11,550,000 PRN SOLE 11,550,000 KULICKE & SOFFA INDS INC SB NT CV 144A 06 501242AH4 5,070 6,000,000 PRN SOLE 6,000,000 L-3 COMMUNICATIONS HLDGS INC SR SB CV 144A 09 502424AA2 32,908 25,810,000 PRN SOLE 25,810,000 L-3 COMMUNICATIONS HLDGS INC SR SB CV 5.25%09 502424AB0 893 700,000 PRN SOLE 700,000 LSI LOGIC CORP SB NT CV 4.25%04 502161AD4 8,190 8,000,000 PRN SOLE 8,000,000 LSI LOGIC CORP SUB NT CV 4%05 502161AE2 1,216 1,500,000 PRN SOLE 1,500,000 LTX CORP SR SB CV 144A06 502392AD5 3,130 4,000,000 PRN SOLE 4,000,000 MAGNA INTL INC SBDB CV 4.875%05 559222AG9 22,055 22,250,000 PRN SOLE 22,250,000 MEDIACOM COMMUNICATIONS CORP SR NT CV 5.25%06 58446KAA3 17,225 18,300,000 PRN SOLE 18,300,000 MERCURY INTERACTIVE CORP SB NT CV 4.75%07 589405AB5 2,081 3,060,000 PRN SOLE 3,060,000 MIRANT TR I PFD CV SER A 60467Q102 21,084 394,100 SH SOLE 394,100 MRV COMMUNICATIONS INC SUB NT CONV 5%03 553477AB6 536 850,000 PRN SOLE 850,000 NATIONAL AUSTRALIA BK LTD CAP UTS EXCHBL 632525309 7,512 278,943 SH SOLE 278,943 NATIONAL DATA CORP SUB NT CONV 5%03 635621AA3 12,687 11,350,000 PRN SOLE 11,350,000 NETWORK ASSOCS INC SB DB CV ZERO 18 640938AB2 333 750,000 PRN SOLE 750,000 NETWORK EQUIP TECHNOLOGIES SB DB CV 7.25%14 641208AA1 345 600,000 PRN SOLE 600,000 NORTEL NETWORKS CORP NEW GTD SR CV 144A08 656568AA0 33,092 39,530,000 PRN SOLE 39,530,000 NRG ENERGY INC CORP UNITS 629377201 6,588 339,600 SH SOLE 339,600 NUEVO FING I TECONS SER A 670511203 1,110 38,000 SH SOLE 38,000 OFFICE DEPOT INC LYON SUB ZERO 07 676220AA4 24,342 32,350,000 PRN SOLE 32,350,000 OMNICARE INC SUB DEB CV 5%07 681904AD0 3,193 3,600,000 PRN SOLE 3,600,000 ORIX CORP ADN REPSTG CV 05 686330AB7 3,837 2,811,137 PRN SOLE 2,811,137 PENN TRAFFIC CO NEW COM NEW 707832200 8,605 1,724,396 SH SOLE 1,724,396 PEPSI-GEMEX S A DE C V GDR REP ORD 713435105 12,809 2,439,800 SH SOLE 2,439,800 PERSONNEL GROUP AMER INC SB NT CV 5.75%04 715338AE9 41 100,000 PRN SOLE 100,000 PETROLEO BRASILEIRO SA PETROBR SPONSORED ADR 71654V408 2,489 126,000 SH SOLE 126,000 PETSMART INC SB NT CV 6.75%04 716768AB2 401 400,000 PRN SOLE 400,000 POGO PRODUCING CO SUB NT CV 5.5%06 730448AE7 669 725,000 PRN SOLE 725,000 PROTEIN DESIGN LABS INC SUB NT CV 5.5%07 74369LAB9 8,375 9,000,000 PRN SOLE 9,000,000 PROVINCE HEALTHCARE CO SB NT CV 144A 05 743977AA8 8,034 6,900,000 PRN SOLE 6,900,000 PROVINCE HEALTHCARE CO SB NT CV 4.5%05 743977AC4 2,212 1,900,000 PRN SOLE 1,900,000 QUADRAMED CORP SB DB CV 5.25%05 74730WAC5 762 1,100,000 PRN SOLE 1,100,000 RADISYS CORP SUB NT CV 5.5%07 750459AB5 1,215 2,000,000 PRN SOLE 2,000,000 REDBACK NETWORKS INC SB NT CV 5%07 757209AB7 24,871 69,075,000 PRN SOLE 69,075,000 RES-CARE INC SR NT CONV 6%04 760943AC4 2,045 2,750,000 PRN SOLE 2,750,000 RF MICRODEVICES INC SUB NT CV3.75%05 749941AB6 1,552 2,000,000 PRN SOLE 2,000,000 ROYAL CARIBBEAN CRUISES LTD LYON ZERO 21 780153AK8 991 3,600,000 PRN SOLE 3,600,000 S L INDS INC COM 784413106 2,987 525,000 SH SOLE 525,000 SANMINA CORP SB DB CV ZERO 20 800907AD9 26,519 75,000,000 PRN SOLE 75,000,000 SANMINA CORP COM 800907107 788 58,000 SH SOLE 58,000 SCIENTIFIC GAMES CORP CL A 80874P109 25,159 6,369,300 SH SOLE 6,369,300 SEALED AIR CORP NEW PFD CV A $2 81211K209 15,998 405,000 SH SOLE 405,000 SEMTECH CORP SB NT CV 144A 07 816850AB7 6,886 7,310,000 PRN SOLE 7,310,000 SEMTECH CORP SB NT CV ACRD 07 816850AC5 104 110,000 PRN SOLE 110,000 SEMTECH CORP SUB NT CV 4.5%07 816850AD3 21,731 23,070,000 PRN SOLE 23,070,000 SEPRACOR INC SB DEB CONV 5%07 817315AL8 1,120 1,675,000 PRN SOLE 1,675,000 SERVICE CORP INTL SUB NT CV6.75%08 817565AU8 61,728 54,900,000 PRN SOLE 54,900,000 SHAW GROUP INC LYON 21 820280AC9 2,700 5,000,000 PRN SOLE 5,000,000 SILICONWARE PRECISION INDS LTD SPONSD ADR SPL 827084864 3,489 1,446,653 SH SOLE 1,446,653 SINCLAIR BROADCAST GROUP INC PFD CV EXCH D 829226505 404 15,700 SH SOLE 15,700 SONG NETWORKS HLDG AKTIEBOLAG SPONSORED ADR 83544Q101 12 32,320 SH SOLE 32,320 SPEEDWAY MOTORSPORTS INC SB DB CV 5.75%03 847788AC0 465 500,000 PRN SOLE 500,000 SPRINT CORP EQUITY UNIT 852061605 23,936 880,000 SH SOLE 880,000 SPX CORP LYON ZERO 144A21 784635AC8 10,352 18,875,000 PRN SOLE 18,875,000 SPX CORP LYON ZERO 21 784635AD6 219 400,000 PRN SOLE 400,000 STANDARD MTR PRODS INC SB DB CV 6.75%09 853666AB1 1,329 2,000,000 PRN SOLE 2,000,000 STMICROELECTRONICS N V SR CV ZERO144A10 861012AC6 3,566 5,445,000 PRN SOLE 5,445,000 SYSTEMS & COMPUTER TECHNOLOGY SUB DB CONV 5%04 871873AB1 375 450,000 PRN SOLE 450,000 TELE CENTRO OESTE CELULAR S A SPON ADR PFD 87923P105 261 52,800 SH SOLE 52,800 TELECOMUNICACOES DE SAO PAULO SPON ADR PFD 87929A102 9,049 1,107,600 SH SOLE 1,107,600 TELEFONOS DE MEXICO S A SR DB CV 4.25%04 879403AD5 1,789 1,500,000 PRN SOLE 1,500,000 TELEMIG CELULAR PART S A SPON ADR PFD 87944E105 5,468 240,900 SH SOLE 240,900 TELESP CELULAR PART S A SPON ADR PFD 87952L108 1,055 199,900 SH SOLE 199,900 THERMO ELECTRON CORP SUBDB CV 144A 03 883556AF9 990 1,000,000 PRN SOLE 1,000,000 TOWER AUTOMOTIVE INC SB NT CV 5%04 891707AE1 1,554 2,000,000 PRN SOLE 2,000,000 TURKCELL ILETISIM HIZMETLERI SPONSORED ADR 900111105 2,371 3,078,792 SH SOLE 3,078,792 TV AZTECA S A DE C V SPONSORED ADR 901145102 215 55,900 SH SOLE 55,900 TYCO INTL LTD NEW LYON ZRO 144A 20 902124AA4 24,247 32,220,000 PRN SOLE 32,220,000 TYCO INTL LTD NEW LYON ZERO 20 902124AC0 3,936 5,230,000 PRN SOLE 5,230,000 VERIZON COMMUNICATIONS DB CV ZRO 144A21 92343VAA2 19,287 34,650,000 PRN SOLE 34,650,000 VIDESH SANCHAR NIGAM LTD SPON ADR NEW 92659G00 3,163 333,700 SH SOLE 333,700 VIROPHARMA INC SB NT CV 144A 07 928241AA6 30 55,000 PRN SOLE 55,000 VIROPHARMA INC SB NT CV 6%07 928241AC2 1,613 2,970,000 PRN SOLE 2,970,000 WASTE CONNECTIONS INC SB NT CV 144A06 941053AA8 15,605 15,450,000 PRN SOLE 15,450,000 WHOLE FOODS MKT INC SB DB CV ZRO 18 966837AC0 1,414 3,200,000 PRN SOLE 3,200,000 WIND RIVER SYSTEMS INC SUB NT CONV 5%02 973149AC1 227 250,000 PRN SOLE 250,000 WMX TECHNOLOGIES INC SUB NTS CV 2%05 92929QAF4 797 1,000,000 PRN SOLE 1,000,000
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