-----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, DP8OZpu61dMfUZRsMLqKYC9EE2eodho6CIeoL0tUdif9ZPXMzNW7VylEeeopQqHY Xf49fvWzop0M1Z3nDUpyqw== 0000949509-01-500009.txt : 20010816 0000949509-01-500009.hdr.sgml : 20010816 ACCESSION NUMBER: 0000949509-01-500009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010630 FILED AS OF DATE: 20010815 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: 1714986 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 r13f2ndq.txt OAKTREE CAPITAL MANAGEMENT LLC 13F 6/30/01 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: John Frank Title: Managing Director, General Counsel Phone: 213-830-6428 Signature, Place, and Date of Signing: John Frank Los Angeles, CA August 14, 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: 143 Form 13F Information Table Value Total: $1,501,459 List of Other Included Managers: No. 13F File Number Name FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000)PRN AMT PRN DSCRETN MRGRS SOLE SHARED NONE ACORN PRODS INC COM 004857108 805 1,149,500 SH SOLE 1,149,500 AFFILIATED COMPUTER SERVICES SB NT CV 144A 06 008190AE0 26,963 24,750,000 PRN SOLE 24,750,000 AGNICO EAGLE MINES LTD SRNT CONV 3.5%04 008474AA6 1,419 1,730,000 PRN SOLE 1,730,000 ALKERMES INC SUB NT CV3.75%07 01642TAB4 977 1,300,000 PRN SOLE 1,300,000 ALPHARMA INC SR SB NT CV 3%06 020813AD3 6,394 6,000,000 PRN SOLE 6,000,000 AMERICAN TOWER CORP NT CV 6.25%09 029912AB8 18,872 17,500,000 PRN SOLE 17,500,000 AMERICAN TOWER CORP NT CV 2.25%09 029912AD4 3,334 4,000,000 PRN SOLE 4,000,000 AMERICAN TOWER CORP NT CONV 5%10 029912AF9 789 1,000,000 PRN SOLE 1,000,000 AMERISOURCE HEALTH CORP SB NT CV 144A 07 03071PAB8 23,191 17,925,000 PRN SOLE 17,925,000 ANTEC CORP SUB NT CV 4.5% 03 03664PAB1 481 596,000 PRN SOLE 596,000 APACHE CORP ACES C DP 1/50 037411600 3,707 84,600 SH SOLE 84,600 APT SATELLITE HOLDINGS LTD SPONSORED ADR 00203R105 6,676 1,734,086 SH SOLE 1,734,086 ASE TEST LTD ORD Y02516105 1,102 86,200 SH SOLE 86,200 ASIA PULP & PAPER LTD SPONSORED ADR 04516V100 15 1,520,600 SH SOLE 1,520,600 AURORA FOODS INC COM 05164B106 6,409 1,169,602 SH SOLE 1,169,602 BENCHMARK ELECTRS INC SUB NT CONV 6% 06 08160HAC5 1,348 1,500,000 PRN SOLE 1,500,000 BIOPURE CORP CL A 09065H105 59,581 2,510,807 SH SOLE 2,510,807 BISYS GROUP INC SB NT CV 144A 06 055472AA2 13,376 12,000,000 PRN SOLE 12,000,000 BRIGHTPOINT INC SB LYON ZERO 18 109473AC2 229 660,000 PRN SOLE 660,000 BROADWING INC PFD CV DEP 1/20 111620407 28,073 591,000 SH SOLE 591,000 CAMINUS CORP COM 133766105 93,491 3,852,140 SH SOLE 3,852,140 CELESTICA INC LYON ZERO 20 15101QAA6 8,347 18,810,000 PRN SOLE 18,810,000 CELLSTAR CORP SUB NT CONV 5%02 150925AC9 827 2,175,000 PRN SOLE 2,175,000 CEPHALON INC SB NT CV 144A 06 156708AB5 18,272 15,950,000 PRN SOLE 15,950,000 CHARMING SHOPPES INC SB NT CV 7.5% 06 161133AA1 843 850,000 PRN SOLE 850,000 CHARTER COMMUNICATIONS INC DEL SB NT CV 144A 05 16117MAA5 23,822 19,200,000 PRN SOLE 19,200,000 CHARTER COMMUNICATIONS INC DEL SUB NT CV5.75% 05 16117MAB3 4,591 3,700,000 PRN SOLE 3,700,000 CHARTER COMMUNICATIONS INC DEL SR NT CV 4.75% 06 16117MAC1 25,470 24,000,000 PRN SOLE 24,000,000 CHARTERED SEMICONDUCTOR MFG ADR 16133R106 202 8,000 SH SOLE 8,000 CHECKPOINT SOFTWARE TECH LTD ORD M22465104 2,544 50,300 SH SOLE 50,300 CHINA MOBILE HONG KONG LTD NT CONV 2.25% 05 16941MAA7 6,123 6,115,000 PRN SOLE 6,115,000 CIENA CORP NT CONV 3.75% 08 171779AA9 1,106 1,500,000 PRN SOLE 1,500,000 COLLAGENEX PHARMACEUTICALS INC COM 19419B100 2,510 340,086 SH SOLE 340,086 COMPANHIA PARANAENSE ENERG COP SPON ADR PFD 20441B407 5,623 748,800 SH SOLE 748,800 COMPANHIA VALE DO RIO DOCE SPON ADR PFD 204412100 10,883 469,100 SH SOLE 469,100 COMVERSE TECHNOLOGY INC SR DEB CV 144A 05 205862AH8 10,242 12,240,000 PRN SOLE 12,240,000 COMVERSE TECHNOLOGY INC SR DEB CV 1.5% 05 205862AJ4 50 60,000 PRN SOLE 60,000 COR THERAPEUTICS INC SUB NT CV 5% 07 217753AD4 3,206 3,000,000 PRN SOLE 3,000,000 COR THERAPEUTICS INC SR NT CV 144A 06 217753AE2 19,529 20,000,000 PRN SOLE 20,000,000 CURAGEN CORP SUB DEB CV 6% 07 23126RAC5 640 750,000 PRN SOLE 750,000 CV THERAPEUTICS INC SUB NT CV4.75% 07 126667AB0 323 300,000 PRN SOLE 300,000 CYPRESS SEMICONDUCTOR CORP SB NT CV 3.75% 05 232806AF6 835 1,000,000 PRN SOLE 1,000,000 DOUBLECLICK INC SB NT CV 4.75% 06 258609AC0 1,111 1,500,000 PRN SOLE 1,500,000 DUKE ENERGY CORP CORP UNITS 264399585 20,520 800,000 SH SOLE 800,000 E SIM LTD ORD M40990109 1,332 571,500 SH SOLE 571,500 ECHOSTAR COMMUNICATIONS NEW SB NT CV4.875% 07 278762AD1 28,058 29,000,000 PRN SOLE 29,000,000 EMCORE CORP SB NT CV 144A 06 290846AA2 19,727 21,300,000 PRN SOLE 21,300,000 EXPRESS SCRIPTS AUTO EXCH SEL TRACES 302181201 22,182 220,300 SH SOLE 220,300 FIRST DATA CORP SR CV DBT SEC 08 319963AD6 19,337 18,500,000 PRN SOLE 18,500,000 FOREST OIL CORP COM PAR $0.01 346091705 116,661 4,166,474 SH SOLE 4,166,474 GETTY IMAGES INC SB NT CV 144A 07 374276AD5 366 465,000 PRN SOLE 465,000 GETTY IMAGES INC SUB NT CONV 5%07 374276AE3 25,513 32,395,000 PRN SOLE 32,395,000 GRUPO INDL MASECA S A DE C V SPON ADR NEW 400488409 2,397 936,300 SH SOLE 936,300 GULF INDONESIA RES LTD COM 402284103 6,656 655,100 SH SOLE 655,100 HANOVER COMPRESSOR CO SR NT CV 4.75% 08 410768AC9 15,052 14,500,000 PRN SOLE 14,500,000 HEALTHCARE RLTY TR SB DB CV 6.55% 02 421946AA2 1,001 1,000,000 PRN SOLE 1,000,000 HEALTHSOUTH CORP SB DB CV 3.25% 03 421924AF8 39,653 42,200,000 PRN SOLE 42,200,000 HEXCEL CORP NEW SUB NT CV 7% 03 428291AA6 1,493 1,500,000 PRN SOLE 1,500,000 HILTON HOTELS CORP SUB NT CONV 5% 06 432848AL3 909 1,000,000 PRN SOLE 1,000,000 HUMAN GENOME SCIENCES INC SUB NT CV 5% 07 444903AF5 1,262 1,000,000 PRN SOLE 1,000,000 HUMAN GENOME SCIENCES INC SB NT CV 3.75% 07 444903AH1 22,093 27,060,000 PRN SOLE 27,060,000 HUTCHINSON TECHNOLOGY INC SB NT CV 6% 05 448407AC0 1,149 1,250,000 PRN SOLE 1,250,000 IMCLONE SYS INC. SUB NT CV 144A 05 45245WAA7 18,360 16,150,000 PRN SOLE 16,150,000 IMCLONE SYS INC. SUB NT CV 5.5% 05 45245WAD1 7,048 6,200,000 PRN SOLE 6,200,000 IMPERIAL PKG CORP COM 453077109 81 3,500 SH SOLE 3,500 INCO LTD DEB CONV 5.75% 04 453258AK1 985 1,000,000 PRN SOLE 1,000,000 INCYTE GENOMICS INC SUB NT CONV 07 45337CAC6 765 1,050,000 PRN SOLE 1,050,000 INTERNATIONAL RECTIFIER CORP SUB NT CV 144A 07 460254AD7 12,389 15,895,000 PRN SOLE 15,895,000 INTERNATIONAL RECTIFIER CORP SUB NT CV 4.25% 07460254AE5 12,085 15,505,000 PRN SOLE 15,505,000 INVITROGEN CORP SB NT CV 5.5% 07 46185RAB6 16,617 15,000,000 PRN SOLE 15,000,000 IVAX CORP SR SUB NT CV 07 465823AD4 7,118 4,865,000 PRN SOLE 4,865,000 IVAX CORP SR SB CV 144A 08 465823AE2 33,630 28,275,000 PRN SOLE 28,275,000 JUNIPER NETWORKS INC SB NT CV 4.75% 07 48203RAA2 707 1,000,000 PRN SOLE 1,000,000 KAMAN CORP SUB DEB CV 6% 12 483548AC7 930 1,000,000 PRN SOLE 1,000,000 KERR MCGEE CORP SB DB CV 5.25% 10 492386AP2 19,166 14,750,000 PRN SOLE 14,750,000 KMART FING I PFD TRCV 7.75% 498778208 13,532 287,800 SH SOLE 287,800 KOREA TELECOM SPONSORED ADR 50063P103 21,980 1,000,000 SH SOLE 1,000,000 KULICKE & SOFFA INDS INC SUB NT CV4.75% 06 501242AE1 9,259 9,550,000 PRN SOLE 9,550,000 L-3 COMMUNICATIONS HLDGS INC SR SB CV 144A 09 502424AA2 29,811 25,810,000 PRN SOLE 25,810,000 LAMAR ADVERTISING CO NT CV 5.25% 06 512815AF8 5,212 4,600,000 PRN SOLE 4,600,000 LSI LOGIC CORP SUB NT CV 4% 05 502161AE2 1,241 1,500,000 PRN SOLE 1,500,000 MAGNA INTL INC SBDB CV 4.87% 05 559222AG9 1,313 1,300,000 PRN SOLE 1,300,000 MIRANT TR I PFD CV SER A 60467Q102 8,748 121,500 SH SOLE 121,500 NATIONAL AUSTRALIA BK LTD CAP UTS EXCHBL 632525309 5,893 189,193 SH SOLE 189,193 NATIONAL DATA CORP SUB NT CONV 5% 03 635621AA3 15,050 14,150,000 PRN SOLE 14,150,000 NETWORK EQUIP TECHNOLOGIES SB DB CV 7.25% 14 641208AA1 357 600,000 PRN SOLE 600,000 NRG ENERGY INC CORP UNITS 629377201 7,845 339,600 SH SOLE 339,600 NUEVO FING I TECONS SER A 670511203 1,083 38,000 SH SOLE 38,000 NVIDIA CORP SB NT CV 4.75% 07 67066GAA2 10,310 8,365,000 PRN SOLE 8,365,000 OFFICE DEPOT INC LYON SUB ZERO 07 676220AA4 1,244 1,750,000 PRN SOLE 1,750,000 OMNICARE INC SUB DEB CV 5% 07 681904AD0 1,322 1,500,000 PRN SOLE 1,500,000 ORIX CORP ADN REPSTG CV 05 686330AB7 4,022 2,811,137 PRN SOLE 2,811,137 PENN TRAFFIC CO NEW COM NEW 707832200 7,932 1,724,396 SH SOLE 1,724,396 PEPSI-GEMEX S A DE C V GDR REP ORD 713435105 16,371 2,710,400 SH SOLE 2,710,400 PERSONNEL AMER INC SB NT CV 5.75% 04 715338AE9 34 100,000 PRN SOLE 100,000 PETROLEO BRASILEIRO SA PETROBR SPONSORED ADR 71654V408 3,045 117,100 SH SOLE 117,100 PETSMART INC SB NT CV 6.75% 04 716768AB2 980 1,000,000 PRN SOLE 1,000,000 POGO PRODUCING CO SUB NT CV 5.5% 06 730448AE7 11,499 12,842,000 PRN SOLE 12,842,000 PRIDE INTL INC SB DB CV ZRO 18 741932AB3 46,545 108,350,000PRN SOLE 108,350,000 PROTEIN DESIGN LABS INC SUB NT CV 5.5% 07 74369LAB9 9,416 7,000,000 PRN SOLE 7,000,000 PROVIDIAN FINL CORP SR NT CV 3.25% 05 74406AAA0 32,706 31,300,000 PRN SOLE 31,300,000 PROVINCE HEALTHCARE CO SB NT CV 144A 05 743977AA8 7,591 6,900,000 PRN SOLE 6,900,000 QUADRAMED CORP SB DB CV 5.25% 05 74730WAC5 688 1,100,000 PRN SOLE 1,100,000 RADISYS CORP SUB NT CV 5.5% 07 750459AB5 1,381 2,000,000 PRN SOLE 2,000,000 RATIONAL SOFTWARE CORP SUB NT CONV 5% 07 75409PAC7 27,103 25,270,000 PRN SOLE 25,270,000 REDBACK NETWORKS INC SB NT CV 5% 07 757209AB7 35,137 60,575,000 PRN SOLE 60,575,000 RES-CARE INC SR NT CONV 6% 04 760943AC4 1,110 1,500,000 PRN SOLE 1,500,000 RF MICRODEVICES INC SUB NT CV3.75% 05 749941AB6 1,755 2,000,000 PRN SOLE 2,000,000 S L INDS INC COM 784413106 5,828 525,000 SH SOLE 525,000 SCIENTIFIC GAMES CORP CL A 80874P109 37,515 6,369,300 SH SOLE 6,369,300 SEACOR SMIT INC SUBNTCV 5.375% 06 811904AE1 5,098 4,672,000 PRN SOLE 4,672,000 SEALED AIR CORP NEW PFD CV A $2 81211K209 14,182 355,000 SH SOLE 355,000 SEMTECH CORP SB NT CV 144A 07 816850AB7 8,780 8,995,000 PRN SOLE 8,995,000 SEMTECH CORP SB NT CV ACRD 07 816850AC5 117 120,000 PRN SOLE 120,000 SEMTECH CORP SUB NT CV 4.5% 07 816850AD3 14,519 14,875,000 PRN SOLE 14,875,000 SILICONWARE PRECISION INDS LTD SPONSD ADR SPL 827084864 3,004 1,065,200 SH SOLE 1,065,200 SK TELECOM LTD SPONSORED ADR 78440P108 4,891 289,400 SH SOLE 289,400 SPEEDWAY MOTORSPORTS INC SB DB CV 5.75% 03 847788AC0 511 500,000 PRN SOLE 500,000 SPX CORP LYON ZERO 144A 21 784635AC8 12,888 18,875,000 PRN SOLE 18,875,000 STANDARD MTR PRODS INC SB DB CV 6.75% 09 853666AB1 1,388 2,000,000 PRN SOLE 2,000,000 STMICROELECTRONICS N V SUB LYON ZERO 09 861012AB8 4,133 4,000,000 PRN SOLE 4,000,000 STMICROELECTRONICS N V SR CV ZERO144A10 861012AC6 3,684 5,530,000 PRN SOLE 5,530,000 SUNRISE ASSISTED LIVING INC SUB NT CV 5.5% 02 86768KAC0 486 500,000 PRN SOLE 500,000 SYSTEMS & COMPUTER TECHNOLOGY SUB DB CONV 5% 04 871873AB1 357 450,000 PRN SOLE 450,000 TELE CENTRO OESTE CELULAR S A SPON ADR PFD 87923P105 938 108,400 SH SOLE 108,400 TELECOMUNICACOES DE SAO PAULO SPON ADR PFD 87929A102 9,615 851,600 SH SOLE 851,600 TELEFONOS DE MEXICO S A SR DB CV 4.25% 04 879403AD5 1,918 1,500,000 PRN SOLE 1,500,000 TELEMIG CELULAR PART S A SPON ADR PFD 87944E105 6,075 147,100 SH SOLE 147,100 THERMO ELECTRON CORP SUB DB CV 144A 03 883556AF9 3,301 3,440,000 PRN SOLE 3,440,000 TOWER AUTOMOTIVE INC SB NT CV 5% 04 891707AE1 1,247 1,500,000 PRN SOLE 1,500,000 TRANSWITCH CORP NT CONV 4.5% 05 894065AB7 1,470 2,000,000 PRN SOLE 2,000,000 TURKCELL ILETISIM HIZMETLERI SPONSORED ADR 900111105 3,729 1,331,688 SH SOLE 1,331,688 TYCO INTL LTD NEW LYON ZRO 144A 20 902124AA4 24,579 32,220,000 PRN SOLE 32,220,000 TYCO INTL LTD NEW LYON ZERO 20 902124AC0 3,990 5,230,000 PRN SOLE 5,230,000 VERIZON COMMUNICATIONS DB CV ZRO 144A21 92343VAA2 5,211 9,650,000 PRN SOLE 9,650,000 VIROPHARMA INC SB NT CV 144A 07 928241AA6 30 55,000 PRN SOLE 55,000 VIROPHARMA INC SB NT CV 6% 07 928241AC2 388 720,000 PRN SOLE 720,000 WASTE CONNECTIONS INC SB NT CV 144A 06 941053AA8 20,166 17,450,000 PRN SOLE 17,450,000 WEATHERFORD INTL INC SR DBCV ZERO 20 947074AB6 35,388 56,500,000 PRN SOLE 56,500,000 WHOLE FOODS MKT INC SB DB CV ZRO 18 966837AC0 1,384 3,200,000 PRN SOLE 3,200,000 WIND RIVER SYSTEMS INC SUB NT CONV 5% 02 973149AC1 677 750,000 PRN SOLE 750,000 WMX TECHNOLOGIES INC SUB NTS CV 2% 05 92929QAF4 835 1,000,000 PRN SOLE 1,000,000 XM SATELLITE RADIO HLDGS INC SB NT CV 7.75% 06 983759AA9 2,049 1,535,000 PRN SOLE 1,535,000
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