-----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, Bkpw1SsUVvneCXo87I/bS1q0fKbxzqF4fZrVUwdDsaLAOw0YXl47LkPtKU1lUXNk URNX7YWyVCikwbJiuZElIQ== 0000949509-01-500006.txt : 20010516 0000949509-01-500006.hdr.sgml : 20010516 ACCESSION NUMBER: 0000949509-01-500006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010331 FILED AS OF DATE: 20010515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OAKTREE CAPITAL MANAGEMENT L L C CENTRAL INDEX KEY: 0000949509 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-05050 FILM NUMBER: 1635659 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 r13f0331.txt OAKTREE CAPITAL MANAGEMENT LLC 13F 3/31/2001 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 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: Kenneth Liang Title: Managing Director, General Counsel Phone: 213-830-6422 Signature, Place, and Date of Signing: Kenneth Liang Los Angeles, CA May 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: 147 Form 13F Information Table Value Total: $1,394,171 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 782 1,149,500 SH SOLE 1,149,500 ACT MFG INC SUB NT CV 7%07 000973AB3 360 750,000 PRN SOLE 750,000 ADVANTICA RESTAURANT GROUP INC COM 00758B109 5,125 5,631,971 SH SOLE 5,631,971 AFFILIATED COMPUTER SERVICES SB NT CV 144A 06 008190AE0 27,057 27,250,000 PRN SOLE 27,250,000 AFFYMETRIX INC SB NT CV 4.75%07 00826TAD0 453 750,000 PRN SOLE 750,000 AGNICO EAGLE MINES LTD SRNT CONV 3.5%04 008474AA6 918 1,230,000 PRN SOLE 1,230,000 AMERICAN TOWER CORP NT CV 144A 5%10 029912AE2 17,559 22,355,000 PRN SOLE 22,355,000 AMERICAN TOWER CORP NT CONV 5%10 029912AF9 4,297 5,470,000 PRN SOLE 5,470,000 AMERISOURCE HEALTH CORP SB NT CV 144A 07 03071PAB8 23,713 20,000,000 PRN SOLE 20,000,000 ANNTAYLOR STORES CORP GTD SB DB CV 19 036115AC7 496 1,000,000 PRN SOLE 1,000,000 ANTEC CORP SUB NT CV 4.5%03 03664PAB1 700 1,100,000 PRN SOLE 1,100,000 APACHE CORP ACES C DP 1/50 037411600 10,618 218,700 SH SOLE 218,700 APT SATELLITE HOLDINGS LTD SPONSORED ADR 00203R105 4,833 1,558,886 SH SOLE 1,558,886 ASE TEST LTD ORD Y02516105 2,115 173,500 SH SOLE 173,500 ASIA PULP & PAPER LTD SPONSORED ADR 04516V100 213 1,520,600 SH SOLE 1,520,600 ASSISTED LIVING CONCEPTS INC SB DB CV 6%02 04543LAD1 481 1,105,000 PRN SOLE 1,105,000 ASSISTED LIVING CONCEPTS INC SUB DB CV 144A03 04543LAE9 116 255,000 PRN SOLE 255,000 ATRIX LABS INC SUB NT CONV 7%04 04962LAC5 248 280,000 PRN SOLE 280,000 AURORA FOODS INC COM 05164B106 8,074 1,170,134 SH SOLE 1,170,134 AVIRON SB NT CV 5.25%08 053762AD2 6,318 7,000,000 PRN SOLE 7,000,000 BAKER HUGHES INC SR LYON ZERO 08 057224AH0 10,373 12,930,000 PRN SOLE 12,930,000 BAKER J INC SUB NT CONV 7%02 057232AA8 483 586,000 PRN SOLE 586,000 BENCHMARK ELECTRS INC SUB NT CONV 6%06 08160HAC5 381 500,000 PRN SOLE 500,000 BIOPURE CORP CL A 09065H105 33,386 2,786,807 SH SOLE 2,786,807 BISYS GROUP INC SB NT CV 144A 06 055472AA2 13,358 13,000,000 PRN SOLE 13,000,000 BROADWING INC PFD CV DEP1/20 111620407 27,126 602,800 SH SOLE 602,800 CAMINUS CORP COM 133766105 70,841 3,852,140 SH SOLE 3,852,140 CELESTICA INC LYON ZERO 20 15101QAA6 16,234 45,810,000 PRN SOLE 45,810,000 CENTRAL GARDEN & PET CO SUB NT CONV 6%03 153527AC0 619 855,000 PRN SOLE 855,000 CHARMING SHOPPES INC SB NT CV 7.5%06 161133AA1 936 1,100,000 PRN SOLE 1,100,000 CHARTER COMMUNICATIONS INC DEL SB NT CV 144A 05 16117MAA5 42,776 34,135,000 PRN SOLE 34,135,000 CHARTER COMMUNICATIONS INC DEL SUB NT CV5.75%05 16117MAB3 1,711 1,365,000 PRN SOLE 1,365,000 CHINA MOBILE HONG KONG LTD NT CONV 2.25%05 16941MAA7 5,863 6,115,000 PRN SOLE 6,115,000 CNOOC LTD SPONSORED ADR 126132109 7,695 437,200 SH SOLE 437,200 COLLAGENEX PHARMACEUTICALS INC COM 19419B100 1,643 365,086 SH SOLE 365,086 COMMSCOPE INC SB NT CV 4%06 203372AB3 773 1,000,000 PRN SOLE 1,000,000 COMPANHIA PARANAENSE ENERG COP SPON ADR PFD 20441B407 2,541 306,200 SH SOLE 306,200 COMPANHIA VALE DO RIO DOCE SPON ADR PFD 204412100 10,128 411,700 SH SOLE 411,700 COMPANIA DE MINAS BUENAVENTURA SPON ADR SER B 204448104 1,637 110,500 SH SOLE 110,500 COMVERSE TECHNOLOGY INC SR DEB CV 144A05 205862AH8 36,287 42,900,000 PRN SOLE 42,900,000 DOUBLECLICK INC SB NT CV 4.75%06 258609AC0 527 750,000 PRN SOLE 750,000 DUKE ENERGY CORP CORP UNITS 264399585 19,075 700,000 SH SOLE 700,000 E SIM LTD ORD M40990109 673 694,500 SH SOLE 694,500 EARTHWEB INC SUB NT CONV 7%05 27032CAB4 518 1,500,000 PRN SOLE 1,500,000 EL PASO CORP DB ZRO CV 144A21 28336LAA7 30,705 69,000,000 PRN SOLE 69,000,000 EXCO RESOURCES INC COM NEW 269279204 3,900 200,000 SH SOLE 200,000 EXPRESS SCRIPTS AUTO EXCH SEC TRACES 302181201 24,254 292,000 SH SOLE 292,000 FOREST OIL CORP COM PAR $0.01 346091705 124,116 4,151,045 SH SOLE 4,151,045 FREEPORT-MCMORAN COPPER & GOLD CL B 35671D857 3,698 283,400 SH SOLE 283,400 GETTY IMAGES INC SB NT CV 144A 07 374276AD5 443 700,000 PRN SOLE 700,000 GETTY IMAGES INC SUB NT CONV 5%07 374276AE3 20,057 31,710,000 PRN SOLE 31,710,000 GLOBAL CROSSING LTD PFD CONV 7% G3921A142 2,590 20,000 SH SOLE 20,000 GRUPO INDL MASECA S A DE C V SPON ADR NEW 400488409 2,977 921,800 SH SOLE 921,800 GULF INDONESIA RES LTD COM 402284103 3,319 373,800 SH SOLE 373,800 HANARO TELECOM INC SPONSORED ADR 409649209 20 8,800 SH SOLE 8,800 HEALTHCARE RLTY TR SB DB CV 6.55%02 421946AA2 984 1,000,000 PRN SOLE 1,000,000 HEXCEL CORP NEW SUB NT CV 7%03 428291AA6 910 1,000,000 PRN SOLE 1,000,000 HILTON HOTELS CORP SUB NT CONV 5%06 432848AL3 647 750,000 PRN SOLE 750,000 HMT TECHNOLOGY CORP SB NT CV 5.75% 04 403917AD9 507 2,535,000 PRN SOLE 2,535,000 HOMEBASE INC SB NT CV 5.25%04 43738EAB4 175 550,000 PRN SOLE 550,000 HUMAN GENOME SCIENCES INC SUB NT CV 5%07 444903AF5 1,041 1,000,000 PRN SOLE 1,000,000 HUMAN GENOME SCIENCES INC SB NT CV 3.75%07 444903AH1 18,737 25,660,000 PRN SOLE 25,660,000 HUTCHINSON TECHNOLOGY INC SB NT CV 6%05 448407AC0 580 750,000 PRN SOLE 750,000 IMCLONE SYS INC SUB NT CV 144A05 45245WAA7 13,746 16,150,000 PRN SOLE 16,150,000 IMCLONE SYS INC SUB NT CV 5.5%05 45245WAD1 5,277 6,200,000 PRN SOLE 6,200,000 IMPERIAL PKG CORP COM 453077109 73 3,150 SH SOLE 3,150 INCO LTD DEB CONV 5.75%04 453258AK1 970 1,000,000 PRN SOLE 1,000,000 INTERNATIONAL RECTIFIER CORP SUB NT CV 144A07 460254AD7 21,366 25,555,000 PRN SOLE 25,555,000 INTERNATIONAL RECTIFIER CORP SUB NT CV4.25%07 460254AE5 10,321 12,345,000 PRN SOLE 12,345,000 INVITROGEN CORP SB NT CV 5.5%07 46185RAB6 12,578 13,000,000 PRN SOLE 13,000,000 ISTAR FINL INC COM 45031U101 7,303 316,560 SH SOLE 316,560 IVAX CORP SR SB CV 144A 07 465823AB8 13,331 11,895,000 PRN SOLE 11,895,000 IVAX CORP SR SUB NT CV 07 465823AD4 12,888 11,500,000 PRN SOLE 11,500,000 KERR MCGEE CORP SB DB CV 5.25%10 492386AP2 23,992 19,400,000 PRN SOLE 19,400,000 KMART FING I PFD TRCV 7.75% 498778208 819 20,000 SH SOLE 20,000 L-3 COMMUNICATIONS HLDGS INC SR SB CV 144A 09 502424AA2 30,546 25,900,000 PRN SOLE 25,900,000 MAGNA INTL INC SUB DB CV 144A05 559222AF1 527 555,000 PRN SOLE 555,000 MAGNA INTL INC SBDB CV 4.875%05 559222AG9 4,355 4,590,000 PRN SOLE 4,590,000 MIRANT TR I PFD CV SER A 60467Q102 24,846 333,500 SH SOLE 333,500 NATIONAL AUSTRALIA BK LTD CAP UTS EXCHBL 632525309 5,118 189,193 SH SOLE 189,193 NATIONAL DATA CORP SUB NT CONV 5%03 635621AA3 12,373 13,250,000 PRN SOLE 13,250,000 NETWORK EQUIP TECHNOLOGIES SB DB CV 7.25%14 641208AA1 236 600,000 PRN SOLE 600,000 NRG ENERGY INC CORP UNITS 629377201 9,577 290,200 SH SOLE 290,200 NUEVO FING I TECONS SER A 670511203 746 25,000 SH SOLE 25,000 NVIDIA CORP SB NT CV 4.75%07 67066GAA2 24,656 25,000,000 PRN SOLE 25,000,000 OFFICE DEPOT INC LYON SUB ZERO 07 676220AA4 1,016 1,500,000 PRN SOLE 1,500,000 OFFSHORE LOGISTICS INC SUB NT CONV 6%03 676255AF9 9,575 8,375,000 PRN SOLE 8,375,000 OMNICARE INC SUB DEB CV 5%07 681904AD0 1,281 1,450,000 PRN SOLE 1,450,000 ONI SYSTEMS CORP SUB NT CV 5%05 68273FAA1 641 1,000,000 PRN SOLE 1,000,000 ORIX CORP ADN REPSTG CV 05 686330AB7 4,022 2,811,137 PRN SOLE 2,811,137 PAKISTAN INVT FD INC COM 695844100 56 20,000 SH SOLE 20,000 PENN TRAFFIC CO NEW COM NEW 707832200 11,698 1,671,099 SH SOLE 1,671,099 PEPSI-GEMEX S A DE C V GDR REP ORD 713435105 14,787 3,017,700 SH SOLE 3,017,700 PERKINELMER INC CONV ZERO 20 714046AA7 17,282 33,000,000 PRN SOLE 33,000,000 PERSONNEL GROUP AMER INC SB NT CV 5.75%04 715338AE9 558 1,350,000 PRN SOLE 1,350,000 PETSMART INC SB NT CV 6.75%04 716768AB2 1,133 1,500,000 PRN SOLE 1,500,000 POGO PRODUCING CO SUB NT CV 5.5%06 730448AE7 14,475 15,610,000 PRN SOLE 15,610,000 POGO TR I QUIPS SER A 73044P208 11,187 162,600 SH SOLE 162,600 PRIDE INTL INC SB DB CV ZRO 18 741932AB3 38,962 85,900,000 PRN SOLE 85,900,000 PROTEIN DESIGN LABS INC SUB NT CV 5.5%07 74369LAB9 6,349 7,000,000 PRN SOLE 7,000,000 PROVIDIAN FINL CORP SR NT CV 3.25%05 74406AAA0 33,375 35,050,000 PRN SOLE 35,050,000 PROVINCE HEALTHCARE CO SB NT CV 144A 05 743977AA8 5,840 5,825,000 PRN SOLE 5,825,000 QUANTUM CORP SUB NT CONV 7%04 747906AC9 417 500,000 PRN SOLE 500,000 RATIONAL SOFTWARE CORP SUB NT CONV 5%07 75409PAC7 30,182 35,955,000 PRN SOLE 35,955,000 REDBACK NETWORKS INC SB NT CV 5%07 757209AB7 30,728 51,250,000 PRN SOLE 51,250,000 REPTRON ELECTRONICS INC SB NT CV 6.75%04 76026WAA7 349 550,000 PRN SOLE 550,000 S L INDS INC COM 784413106 6,878 525,000 SH SOLE 525,000 SATYAM INFOWAY LTD SPONSORED ADR 804099109 70 23,100 SH SOLE 23,100 SCHULER HOMES INC DEB CONV 6.5%03 808188AA4 1,060 1,125,000 PRN SOLE 1,125,000 SEACOR SMIT INC COM 811904101 2,328 51,503 SH SOLE 51,503 SEACOR SMIT INC SUBNTCV 5.375%06 811904AE1 9,649 9,368,000 PRN SOLE 9,368,000 SEALED AIR CORP NEW PFD CV A $2 81211K209 9,384 255,000 SH SOLE 255,000 SEMTECH CORP SB NT CV 144A 07 816850AB7 20,963 22,455,000 PRN SOLE 22,455,000 SEMTECH CORP SB NT CV ACRD 07 816850AC5 135 145,000 PRN SOLE 145,000 SEMTECH CORP SUB NT CV 4.5%07 816850AD3 8,860 9,490,000 PRN SOLE 9,490,000 SILICON GRAPHICS INC SR NT CV 5.25%04 827056AC6 679 1,150,000 PRN SOLE 1,150,000 SILICONWARE PRECISION INDS LTD SPONSD ADR SPL 827084864 5,265 1,316,200 SH SOLE 1,316,200 SK TELECOM LTD SPONSORED ADR 78440P108 7,535 496,400 SH SOLE 496,400 SPEEDWAY MOTORSPORTS INC SB DB CV 5.75%03 847788AC0 1,291 1,250,000 PRN SOLE 1,250,000 SPX CORP LYON ZERO 144A21 784635AC8 28,281 50,500,000 PRN SOLE 50,500,000 STANDARD MTR PRODS INC SR DB CV 6.75%09 853666AB1 580 1,000,000 PRN SOLE 1,000,000 STMICROELECTRONICS N V SUB LYON ZERO 09 861012AB8 4,225 4,000,000 PRN SOLE 4,000,000 STMICROELECTRONICS N V SR CV ZERO 144A10 861012AC6 4,323 6,500,000 PRN SOLE 6,500,000 SUNRISE ASSISTED LIVING INC SUB NT CV 5.5%02 86768KAC0 791 850,000 PRN SOLE 850,000 SYSTEMS & COMPUTER TECHNOLOGY SUB DB CONV 5%04 871873AB1 335 450,000 PRN SOLE 450,000 TELE CENTRO OESTE CELULAR S A SPON ADR PFD 87923P105 2,484 307,000 SH SOLE 307,000 TELE NORTE LESTE PART S A SPON ADR PFD 879246106 6,854 420,987 SH SOLE 420,987 TELE1 EUROPE HLDG AB SPONSORED ADR 87944T201 89 32,320 SH SOLE 32,320 TELECOMUNICACOES DE SAO PAULO SPON ADR PFD 87929A102 10,900 851,600 SH SOLE 851,600 TELEFONOS DE MEXICO S A SR DB CV 4.25%04 879403AD5 1,798 1,500,000 PRN SOLE 1,500,000 TELEMIG CELULAR PART S A SPON ADR PFD 87944E105 5,231 130,600 SH SOLE 130,600 THERMO ELECTRON CORP SUBDB CV 144A 03 883556AF9 955 1,000,000 PRN SOLE 1,000,000 THERMO ELECTRON CORP SUB DB CONV 4%05 883556AH5 369 400,000 PRN SOLE 400,000 TRANSWITCH CORP NT CONV 4.5%05 894065AB7 671 1,000,000 PRN SOLE 1,000,000 TURKCELL ILETISIM HIZMETLERI SPONSORED ADR 900111105 4,732 1,511,700 SH SOLE 1,511,700 TYCO INTL LTD NEW LYON ZRO 144A 20 902124AA4 30,230 41,090,000 PRN SOLE 41,090,000 TYCO INTL LTD NEW LYON ZERO 20 902124AC0 3,943 5,360,000 PRN SOLE 5,360,000 UNIBANCO-UNIAO DE BANCOS BRASL GDR REP PFD UT 90458E107 5,863 287,400 SH SOLE 287,400 VERTEX PHARMACEUTICALS INC SB NT CV 144A 07 92532FAC4 6,444 9,000,000 PRN SOLE 9,000,000 VIDESH SANCHAR NIGAM LTD SPON ADR NEW 92659G600 7,379 622,696 SH SOLE 622,696 VIROPHARMA INC SB NT CV 144A 07 928241AA6 539 1,025,000 PRN SOLE 1,025,000 VIROPHARMA INC SB NT CV 6%07 928241AC2 526 1,000,000 PRN SOLE 1,000,000 WEATHERFORD INTL INC SR DB CV ZERO 20 947074AB6 34,325 54,000,000 PRN SOLE 54,000,000 WHOLE FOODS MKT INC SB DB CV ZRO 18 966837AC0 587 1,500,000 PRN SOLE 1,500,000 WIPRO LTD SPON ADR 1 SH 97651M109 1,274 39,700 SH SOLE 39,700 XM SATELLITE RADIO HLDGS INC SB NT CV 7.75%06 983759AA9 10,043 13,000,000 PRN SOLE 13,000,000 XO COMMUNICATIONS INC SB NT CV 144A 09 983764AA9 17,026 35,750,000 PRN SOLE 35,750,000
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