-----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, VAmwSMCzxct+KZywF9LefAjUpgl8hv76JdvcElegwBt4y3MXDI6NP/BakmpUGXwH MMsfjSY65GiyeV5ApJ2cDQ== 0000950159-10-000863.txt : 20101018 0000950159-10-000863.hdr.sgml : 20101018 20101018091108 ACCESSION NUMBER: 0000950159-10-000863 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101018 DATE AS OF CHANGE: 20101018 EFFECTIVENESS DATE: 20101018 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CLINTON GROUP INC CENTRAL INDEX KEY: 0001134119 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06121 FILM NUMBER: 101127097 BUSINESS ADDRESS: STREET 1: 32 OLD SLIP 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128250400 13F-HR 1 clinton13fhr.txt CLINTON GROUP, INC. FORM 13F HOLDINGS REPORT 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, 2010 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: Clinton Group, Inc. Address: 9 West 57th Street New York, NY 10019 Form 13F File Number: 28-06121 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: Francis Ruchalski Title: CFO Phone: 212-825-0400 Signature, Place, and Date of Signing: /s/ Francis Ruchalski New York, NY 10/18/2010 - --------------------- ------------ --------- [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 is reported in this report and a portion is reported by other reporting manager(s).)
TITLE OF CUSIP VALUE SHARES SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ---------------------------------------------------------- ------- --------- -------------------------- ------------ ------------- ACTIVISION BLIZZARD INC COM 00507V109 263 24,278 SH DEFINED 01,02 24,278 ADTRAN INC COM 00738A106 308 8,713 SH DEFINED 01,02 8,713 AGL RES INC COM 001204106 555 14,465 SH DEFINED 01,02 14,465 ALEXION PHARMACEUTICALS INC COM 015351109 268 4,165 SH DEFINED 01,02 4,165 ALLIED NEVADA GOLD CORP COM 019344100 438 16,528 SH DEFINED 01,02 16,528 ALPHA NATURAL RESOURCES INC COM 02076X102 397 9,647 SH DEFINED 01,02 9,647 AMERICAN ELEC PWR INC COM 025537101 244 6,748 SH DEFINED 01,02 6,748 AMERICAN OIL & GAS INC NEW COM 028723104 993 122,652 SH DEFINED 01,02 122,652 AMERICAN TOWER CORP CL A 029912201 264 5,146 SH DEFINED 01,02 5,146 AMERISOURCEBERGEN CORP COM 03073E105 264 8,600 SH DEFINED 01,02 8,600 APPLE INC COM 037833100 248 875 SH DEFINED 01,02 875 AT&T INC COM 00206R102 439 15,357 SH DEFINED 01,02 15,357 ATMOS ENERGY CORP COM 049560105 348 11,899 SH DEFINED 01,02 11,899 AUTOMATIC DATA PROCESSING IN COM 053015103 305 7,257 SH DEFINED 01,02 7,257 BALL CORP COM 058498106 455 7,738 SH DEFINED 01,02 7,738 BANK HAWAII CORP COM 062540109 286 6,365 SH DEFINED 01,02 6,365 BANK OF AMERICA CORPORATION COM 060505104 561 42,790 SH DEFINED 01,02 42,790 BAXTER INTL INC COM 071813109 209 4,390 SH DEFINED 01,02 4,390 BERKLEY W R CORP COM 084423102 394 14,548 SH DEFINED 01,02 14,548 BIOMED REALTY TRUST INC COM 09063H107 234 13,072 SH DEFINED 01,02 13,072 BJS WHOLESALE CLUB INC COM 05548J106 293 7,058 SH DEFINED 01,02 7,058 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 812 64,000 SH DEFINED 01,02 64,000 BRIGHAM EXPLORATION CO COM 109178103 13,320 710,414 SH DEFINED 01,02 710,414 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 212 36,181 SH DEFINED 01,02 36,181 BROWN FORMAN CORP CL B 115637209 210 3,399 SH DEFINED 01,02 3,399 BUCYRUS INTL INC NEW COM 118759109 425 6,122 SH DEFINED 01,02 6,122 CALPINE CORP COM NEW 131347304 166 13,327 SH DEFINED 01,02 13,327 CAMPBELL SOUP CO COM 134429109 296 8,288 SH DEFINED 01,02 8,288 CARROLS RESTAURANT GROUP INC COM 14574X104 159 30,000 SH DEFINED 01,02 30,000 CATERPILLAR INC DEL COM 149123101 558 7,088 SH DEFINED 01,02 7,088 CELESTICA INC SUB VTG SHS 15101Q108 92 10,888 SH DEFINED 01,02 10,888 CENTRAL EUROPEAN DIST CORP COM 153435102 601 26,939 SH DEFINED 01,02 26,939 CEPHALON INC COM 156708109 344 5,503 SH DEFINED 01,02 5,503 CF INDS HLDGS INC COM 125269100 277 2,902 SH DEFINED 01,02 2,902 CHECK POINT SOFTWARE TECH LT ORD M22465104 447 12,101 SH DEFINED 01,02 12,101 CHIMERA INVT CORP COM 16934Q109 40 10,172 SH DEFINED 01,02 10,172 CHUBB CORP COM 171232101 700 12,289 SH DEFINED 01,02 12,289 CIMAREX ENERGY CO COM 171798101 403 6,084 SH DEFINED 01,02 6,084 CINTAS CORP COM 172908105 363 13,178 SH DEFINED 01,02 13,178 CISCO SYS INC COM 17275R102 249 11,353 SH DEFINED 01,02 11,353 CITIGROUP INC COM 172967101 815 208,554 SH DEFINED 01,02 208,554 CITRIX SYS INC COM 177376100 200 2,935 SH DEFINED 01,02 2,935 CLOROX CO DEL COM 189054109 241 3,608 SH DEFINED 01,02 3,608 CONCUR TECHNOLOGIES INC COM 206708109 252 5,090 SH DEFINED 01,02 5,090 CONSOLIDATED EDISON INC COM 209115104 713 14,780 SH DEFINED 01,02 14,780 COPART INC COM 217204106 251 7,618 SH DEFINED 01,02 7,618 CYPRESS SEMICONDUCTOR CORP COM 232806109 142 11,252 SH DEFINED 01,02 11,252 DARDEN RESTAURANTS INC COM 237194105 260 6,073 SH DEFINED 01,02 6,073 DEERE & CO COM 244199105 290 4,163 SH DEFINED 01,02 4,163 DISNEY WALT CO COM DISNEY 254687106 814 24,606 SH DEFINED 01,02 24,606 DOLBY LABORATORIES INC COM 25659T107 316 5,559 SH DEFINED 01,02 5,559 DONNELLEY R R & SONS CO COM 257867101 251 14,827 SH DEFINED 01,02 14,827 DRESSER-RAND GROUP INC COM 261608103 475 12,883 SH DEFINED 01,02 12,883 DU PONT E I DE NEMOURS & CO COM 263534109 202 4,523 SH DEFINED 01,02 4,523 E M C CORP MASS COM 268648102 764 37,613 SH DEFINED 01,02 37,613 E TRADE FINANCIAL CORP COM NEW 269246401 203 13,933 SH DEFINED 01,02 13,933 EDWARDS LIFESCIENCES CORP COM 28176E108 434 6,478 SH DEFINED 01,02 6,478 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 515 15,503 SH DEFINED 01,02 15,503 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 338 6,998 SH DEFINED 01,02 6,998 ENTERGY CORP NEW COM 29364G103 318 4,158 SH DEFINED 01,02 4,158 FACTSET RESH SYS INC COM 303075105 273 3,368 SH DEFINED 01,02 3,368 FAMILY DLR STORES INC COM 307000109 459 10,393 SH DEFINED 01,02 10,393 FISERV INC COM 337738108 304 5,651 SH DEFINED 01,02 5,651 FMC TECHNOLOGIES INC COM 30249U101 225 3,293 SH DEFINED 01,02 3,293 FORD MTR CO DEL COM PAR $0.01 345370860 330 26,967 SH DEFINED 01,02 26,967 FORTRESS INVESTMENT GROUP LL CL A 34958B106 558 155,330 SH DEFINED 01,02 155,330 FREEPORT-MCMORAN COPPER & GO COM 35671D857 293 3,435 SH DEFINED 01,02 3,435 GANNETT INC COM 364730101 161 13,188 SH DEFINED 01,02 13,188 GOLDCORP INC NEW COM 380956409 212 4,866 SH DEFINED 01,02 4,866 GOLDMAN SACHS GROUP INC COM 38141G104 7,764 53,701 SH DEFINED 01,02 53,701 GOODYEAR TIRE & RUBR CO COM 382550101 257 23,873 SH DEFINED 01,02 23,873 GRAFTECH INTL LTD COM 384313102 328 20,966 SH DEFINED 01,02 20,966 GRAINGER W W INC COM 384802104 308 2,585 SH DEFINED 01,02 2,585 GRIFFON CORP COM 398433102 925 75,899 SH DEFINED 01,02 75,899 GULFPORT ENERGY CORP COM NEW 402635304 687 49,619 SH DEFINED 01,02 49,619 HARRIS CORP DEL COM 413875105 248 5,597 SH DEFINED 01,02 5,597 HASBRO INC COM 418056107 307 6,901 SH DEFINED 01,02 6,901 HESS CORP COM 42809H107 621 10,500 SH DEFINED 01,02 10,500 HEWLETT PACKARD CO COM 428236103 809 19,218 SH DEFINED 01,02 19,218 HEXCEL CORP NEW COM 428291108 205 11,543 SH DEFINED 01,02 11,543 HOSPIRA INC COM 441060100 532 9,328 SH DEFINED 01,02 9,328 HOT TOPIC INC COM 441339108 4,918 821,000 SH DEFINED 01,02 821,000 INTERNATIONAL BUSINESS MACHS COM 459200101 335 2,500 SH DEFINED 01,02 2,500 INTUIT COM 461202103 957 21,847 SH DEFINED 01,02 21,847 JOHNSON & JOHNSON COM 478160104 415 6,702 SH DEFINED 01,02 6,702 JPMORGAN CHASE & CO COM 46625H100 1,447 38,030 SH DEFINED 01,02 38,030 KIMBERLY CLARK CORP COM 494368103 714 10,975 SH DEFINED 01,02 10,975 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 543 7,927 SH DEFINED 01,02 7,927 KINDER MORGAN MANAGEMENT LLC SHS 49455U100 426 7,069 SH DEFINED 01,02 7,069 KNIGHT TRANSN INC COM 499064103 223 11,546 SH DEFINED 01,02 11,546 KODIAK OIL & GAS CORP COM 50015Q100 237 70,000 SH DEFINED 01,02 70,000 KRAFT FOODS INC CL A 50075N104 280 9,083 SH DEFINED 01,02 9,083 KROGER CO COM 501044101 324 14,959 SH DEFINED 01,02 14,959 LIFE TECHNOLOGIES CORP COM 53217V109 294 6,288 SH DEFINED 01,02 6,288 LILLY ELI & CO COM 532457108 319 8,733 SH DEFINED 01,02 8,733 LINCOLN NATL CORP IND COM 534187109 492 20,574 SH DEFINED 01,02 20,574 LINEAR TECHNOLOGY CORP COM 535678106 442 14,398 SH DEFINED 01,02 14,398 LOCKHEED MARTIN CORP COM 539830109 206 2,892 SH DEFINED 01,02 2,892 LORILLARD INC COM 544147101 247 3,079 SH DEFINED 01,02 3,079 M & T BK CORP COM 55261F104 324 3,957 SH DEFINED 01,02 3,957 MARRIOTT INTL INC NEW CL A 571903202 393 10,968 SH DEFINED 01,02 10,968 MATTEL INC COM 577081102 473 20,153 SH DEFINED 01,02 20,153 MCCORMICK & CO INC COM NON VTG 579780206 1,093 25,996 SH DEFINED 01,02 25,996 MCCORMICK & SCHMICKS SEAFD R COM 579793100 263 33,804 SH DEFINED 01,02 33,804 MEDIACOM COMMUNICATIONS CORP CL A 58446K105 431 65,000 SH DEFINED 01,02 65,000 METLIFE INC COM 59156R108 1,619 42,113 SH DEFINED 01,02 42,113 MICROSOFT CORP COM 594918104 245 10,004 SH DEFINED 01,02 10,004 MOHAWK INDS INC COM 608190104 217 4,063 SH DEFINED 01,02 4,063 MONSANTO CO NEW COM 61166W101 415 8,663 SH DEFINED 01,02 8,663 MOSAIC CO COM 61945A107 248 4,225 SH DEFINED 01,02 4,225 MULTIMEDIA GAMES INC COM 625453105 133 35,900 SH DEFINED 01,02 35,900 NABORS INDUSTRIES LTD SHS G6359F103 334 18,517 SH DEFINED 01,02 18,517 NALCO HOLDING COMPANY COM 62985Q101 269 10,656 SH DEFINED 01,02 10,656 NATIONAL SEMICONDUCTOR CORP COM 637640103 146 11,401 SH DEFINED 01,02 11,401 NCR CORP NEW COM 62886E108 164 12,065 SH DEFINED 01,02 12,065 NEUTRAL TANDEM INC COM 64128B108 8,187 685,109 SH DEFINED 01,02 685,109 NEWS CORP CL A 65248E104 831 63,630 SH DEFINED 01,02 63,630 NII HLDGS INC CL B 62913F201 1,087 26,452 SH DEFINED 01,02 26,452 NORFOLK SOUTHERN CORP COM 655844108 220 3,699 SH DEFINED 01,02 3,699 NVIDIA CORP COM 67066G104 180 15,408 SH DEFINED 01,02 15,408 O CHARLEYS INC COM 670823103 4,344 604,173 SH DEFINED 01,02 604,173 OCEANEERING INTL INC COM 675232102 306 5,689 SH DEFINED 01,02 5,689 PACCAR INC COM 693718108 219 4,545 SH DEFINED 01,02 4,545 PARKER DRILLING CO COM 701081101 403 92,563 SH DEFINED 01,02 92,563 PG&E CORP COM 69331C108 579 12,739 SH DEFINED 01,02 12,739 PIONEER NAT RES CO COM 723787107 341 5,242 SH DEFINED 01,02 5,242 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 353 5,614 SH DEFINED 01,02 5,614 PMC-SIERRA INC COM 69344F106 89 12,116 SH DEFINED 01,02 12,116 POLYCOM INC COM 73172K104 271 9,929 SH DEFINED 01,02 9,929 PPG INDS INC COM 693506107 223 3,057 SH DEFINED 01,02 3,057 PROCTER & GAMBLE CO COM 742718109 862 14,371 SH DEFINED 01,02 14,371 PROGRESSIVE CORP OHIO COM 743315103 234 11,208 SH DEFINED 01,02 11,208 PRUDENTIAL FINL INC COM 744320102 660 12,187 SH DEFINED 01,02 12,187 PUBLIC STORAGE COM 74460D109 718 7,394 SH DEFINED 01,02 7,394 RALCORP HLDGS INC NEW COM 751028101 254 4,340 SH DEFINED 01,02 4,340 RANGE RES CORP COM 75281A109 4,282 112,300 SH DEFINED 01,02 112,300 RED ROBIN GOURMET BURGERS IN COM 75689M101 25,521 1,301,442 SH DEFINED 01,02 1,301,442 REGAL BELOIT CORP COM 758750103 394 6,711 SH DEFINED 01,02 6,711 RENAISSANCERE HOLDINGS LTD COM G7496G103 210 3,505 SH DEFINED 01,02 3,505 RESMED INC COM 761152107 231 7,052 SH DEFINED 01,02 7,052 REX ENERGY CORPORATION COM 761565100 1,926 150,500 SH DEFINED 01,02 150,500 ROCKWOOD HLDGS INC COM 774415103 288 9,160 SH DEFINED 01,02 9,160 ROSS STORES INC COM 778296103 250 4,568 SH DEFINED 01,02 4,568 SALESFORCE COM INC COM 79466L302 479 4,287 SH DEFINED 01,02 4,287 SARA LEE CORP COM 803111103 233 17,347 SH DEFINED 01,02 17,347 SLM CORP COM 78442P106 158 13,718 SH DEFINED 01,02 13,718 SOUTHERN CO COM 842587107 257 6,896 SH DEFINED 01,02 6,896 SOUTHWEST AIRLS CO COM 844741108 429 32,793 SH DEFINED 01,02 32,793 SPDR S&P 500 ETF TR TR UNIT 78462F103 4,223 37,000 SH DEFINED 01,02 37,000 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 223 11,175 SH DEFINED 01,02 11,175 STARBUCKS CORP COM 855244109 205 8,039 SH DEFINED 01,02 8,039 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 201 3,824 SH DEFINED 01,02 3,824 STEEL DYNAMICS INC COM 858119100 942 66,734 SH DEFINED 01,02 66,734 STERLING BANCORP COM 859158107 261 30,000 SH DEFINED 01,02 30,000 STIFEL FINL CORP COM 860630102 237 5,127 SH DEFINED 01,02 5,127 SYSCO CORP COM 871829107 633 22,202 SH DEFINED 01,02 22,202 TARGET CORP COM 87612E106 613 11,473 SH DEFINED 01,02 11,473 TECO ENERGY INC COM 872375100 222 12,840 SH DEFINED 01,02 12,840 TFS FINL CORP COM 87240R107 284 30,884 SH DEFINED 01,02 30,884 TIME WARNER INC COM NEW 887317303 917 29,922 SH DEFINED 01,02 29,922 TOREADOR RES CORP COM 891050106 3,012 269,383 SH DEFINED 01,02 269,383 TRANSDIGM GROUP INC COM 893641100 241 3,890 SH DEFINED 01,02 3,890 TRAVELERS COMPANIES INC COM 89417E109 408 7,828 SH DEFINED 01,02 7,828 TYCO INTERNATIONAL LTD SHS H89128104 962 26,200 SH DEFINED 01,02 26,200 UNITED ONLINE INC COM 911268100 65 11,386 SH DEFINED 01,02 11,386 UNITED PARCEL SERVICE INC CL B 911312106 280 4,206 SH DEFINED 01,02 4,206 US BANCORP DEL COM NEW 902973304 205 9,502 SH DEFINED 01,02 9,502 VANTAGE DRILLING COMPANY ORD SHS G93205113 80 50,000 SH DEFINED 01,02 50,000 VARIAN MED SYS INC COM 92220P105 212 3,500 SH DEFINED 01,02 3,500 VERISK ANALYTICS INC CL A 92345Y106 306 10,936 SH DEFINED 01,02 10,936 VERIZON COMMUNICATIONS INC COM 92343V104 557 17,087 SH DEFINED 01,02 17,087 WAL MART STORES INC COM 931142103 207 3,868 SH DEFINED 01,02 3,868 WATSON PHARMACEUTICALS INC COM 942683103 1,101 26,026 SH DEFINED 01,02 26,026 WEBMD HEALTH CORP COM 94770V102 210 4,213 SH DEFINED 01,02 4,213 WELLS FARGO & CO NEW COM 949746101 298 11,867 SH DEFINED 01,02 11,867 WEYERHAEUSER CO COM 962166104 250 15,838 SH DEFINED 01,02 15,838 WINDSTREAM CORP COM 97381W104 554 45,106 SH DEFINED 01,02 45,106 WISCONSIN ENERGY CORP COM 976657106 368 6,373 SH DEFINED 01,02 6,373 WYNDHAM WORLDWIDE CORP COM 98310W108 721 26,245 SH DEFINED 01,02 26,245 179 144,646
FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 179 Form 13F Information Table Value Total: $144,646 (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. Form 13F File Number Name 01 28-10034 CGI Holdings, Inc. 02 28-10033 Clinton Group Equity, Co. -----END PRIVACY-ENHANCED MESSAGE-----