-----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, OQjq04oAlcDKLbRExnZNRTjaMYKFVO1STTbXwxvtY6t8JNog0rn8pYfEOOIr8pln Km98ELOL7jnBIBfdRDVHvQ== 0001144204-09-060192.txt : 20091117 0001144204-09-060192.hdr.sgml : 20091117 20091116210617 ACCESSION NUMBER: 0001144204-09-060192 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091117 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: D. E. Shaw & Co., INC. CENTRAL INDEX KEY: 0001009207 IRS NUMBER: 133839469 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-05396 FILM NUMBER: 091188899 BUSINESS ADDRESS: STREET 1: 120 WEST FORTY-FIFTH STREET STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2124780000 MAIL ADDRESS: STREET 1: 120 WEST FORTY-FIFTH STREET STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: SHAW D E & CO INC DATE OF NAME CHANGE: 19990329 13F-HR/A 1 v166765_13fhr-a.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 ------------------ Check here if Amendment [X]; Amendment Number: 1 --- This Amendment (Check only one.): [ ] is a restatement. [X] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: D. E. Shaw & Co., Inc. (see notes 1, 2 and 3) ---------------------------------------------- Address: 120 West 45th Street, 39th Floor -------------------------------- New York, NY 10036 ------------------ Form 13F File Number: 28-5396 ------- 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: Jennifer McGrady ---------------- Title: Secretary --------- Phone: (212) 478-0000 -------------- Signature, Place, and Date of Signing: /s/ Jennifer McGrady New York, NY November 16, 2009 - -------------------- ------------ ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 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).) [ ] 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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 -------------- Form 13F Information Table Entry Total: 1 -------------- Form 13F Information Table Value Total: $ 463,744 -------------- (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. No. Form 13F File Number Name 1 28-5394 D. E. Shaw & Co., L.P. ------- ---------------------- (see notes 2 and 3) Form 13F NOTES 1. D. E. Shaw & Co., Inc. disclaims status as an institutional investment manager and makes this filing in its capacity as the parent entity of investment advisers. 2. D. E. Shaw & Co., Inc. or its subsidiaries ("D. E. Shaw") are general partners or members of various entities and therefore may exercise investment discretion for them. D. E. Shaw disclaims that it exercises investment discretion for certain of such entities, but includes the holdings of all such subentities in this form. 3. D. E. Shaw & Co., Inc. or its subsidiaries ("D. E. Shaw") are general partners or members of various entities and therefore may exercise voting discretion for them. D. E. Shaw disclaims that it exercises voting discretion for certain of such entities, but includes the holdings of all such subentities in this form. FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ----------------------------------------------------------------------------------------------------------------------------------- WARNER CHILCOTT PLC IRELAND SHS A G94368100 463744 21449767 SH DEFINED 01 21449767
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