0000950159-11-000259.txt : 20110419 0000950159-11-000259.hdr.sgml : 20110419 20110419132955 ACCESSION NUMBER: 0000950159-11-000259 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110419 DATE AS OF CHANGE: 20110419 EFFECTIVENESS DATE: 20110419 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: 11767565 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: March 31, 2011 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 4/19/2011 --------------------- ------------ --------- [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 ----------------------------- -------------------------------------------------------------- --------------------- ------- -------- 3M CO COM 88579Y101 295 3,157 SH DEFINED 01,02 3,157 ABRAXAS PETE CORP COM 003830106 1,168 200,000 SH DEFINED 01,02 200,000 AERCAP HOLDINGS NV SHS N00985106 313 24,902 SH DEFINED 01,02 24,902 AGNICO EAGLE MINES LTD COM 008474108 228 3,442 SH DEFINED 01,02 3,442 AMDOCS LTD ORD G02602103 406 14,074 SH DEFINED 01,02 14,074 AMERIGAS PARTNERS L P UNIT L P INT 030975106 288 6,000 SH DEFINED 01,02 6,000 AMPHENOL CORP NEW CL A 032095101 564 10,372 SH DEFINED 01,02 10,372 ANNALY CAP MGMT INC COM 035710409 212 12,137 SH DEFINED 01,02 12,137 ATMOS ENERGY CORP COM 049560105 221 6,473 SH DEFINED 01,02 6,473 BAXTER INTL INC COM 071813109 243 4,513 SH DEFINED 01,02 4,513 BEST BUY INC COM 086516101 318 11,071 SH DEFINED 01,02 11,071 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 355 19,859 SH DEFINED 01,02 19,859 BRISTOL MYERS SQUIBB CO COM 110122108 595 22,498 SH DEFINED 01,02 22,498 BROADCOM CORP CL A 111320107 531 13,478 SH DEFINED 01,02 13,478 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 64 10,438 SH DEFINED 01,02 10,438 CALIFORNIA PIZZA KITCHEN INC COM 13054D109 366 21,690 SH DEFINED 01,02 21,690 CALLON PETE CO DEL COM 13123X102 1,204 155,000 SH DEFINED 01,02 155,000 CAMAC ENERGY INC COM 131745101 116 77,273 SH DEFINED 01,02 77,273 CAMERON INTERNATIONAL CORP COM 13342B105 460 8,060 SH DEFINED 01,02 8,060 CAMPBELL SOUP CO COM 134429109 309 9,319 SH DEFINED 01,02 9,319 CANADIAN PAC RY LTD COM 13645T100 235 3,646 SH DEFINED 01,02 3,646 CARNIVAL CORP PAIRED CTF 143658300 274 7,151 SH DEFINED 01,02 7,151 CBL & ASSOC PPTYS INC COM 124830100 236 13,532 SH DEFINED 01,02 13,532 CELESTICA INC SUB VTG SHS 15101Q108 165 15,384 SH DEFINED 01,02 15,384 CHARLES RIV LABS INTL INC COM 159864107 205 5,344 SH DEFINED 01,02 5,344 CHESAPEAKE ENERGY CORP COM 165167107 312 9,299 SH DEFINED 01,02 9,299 CHIMERA INVT CORP COM 16934Q109 90 22,675 SH DEFINED 01,02 22,675 CISCO SYS INC COM 17275R102 874 50,981 SH DEFINED 01,02 50,981 CITIGROUP INC COM 172967101 3,364 761,113 SH DEFINED 01,02 761,113 COMCAST CORP NEW CL A 20030N101 401 16,229 SH DEFINED 01,02 16,229 COVANCE INC COM 222816100 253 4,625 SH DEFINED 01,02 4,625 D R HORTON INC COM 23331A109 410 35,212 SH DEFINED 01,02 35,212 DELTA AIR LINES INC DEL COM NEW 247361702 113 11,502 SH DEFINED 01,02 11,502 DEVON ENERGY CORP NEW COM 25179M103 343 3,736 SH DEFINED 01,02 3,736 DOMINION RES INC VA NEW COM 25746U109 353 7,908 SH DEFINED 01,02 7,908 E M C CORP MASS COM 268648102 510 19,183 SH DEFINED 01,02 19,183 EDWARDS LIFESCIENCES CORP COM 28176E108 373 4,285 SH DEFINED 01,02 4,285 EMCOR GROUP INC COM 29084Q100 201 6,504 SH DEFINED 01,02 6,504 EMERSON ELEC CO COM 291011104 1,142 19,545 SH DEFINED 01,02 19,545 ENDURANCE SPECIALTY HLDGS LT SHS G30397106 306 6,264 SH DEFINED 01,02 6,264 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 592 11,447 SH DEFINED 01,02 11,447 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 1,876 55,000 SH DEFINED 01,02 55,000 FIRST NIAGARA FINL GP INC COM 33582V108 692 50,935 SH DEFINED 01,02 50,935 FLEXTRONICS INTL LTD ORD Y2573F102 76 10,203 SH DEFINED 01,02 10,203 FOREST LABS INC COM 345838106 206 6,384 SH DEFINED 01,02 6,384 FRONTIER COMMUNICATIONS CORP COM 35906A108 215 26,137 SH DEFINED 01,02 26,137 GALLAGHER ARTHUR J & CO COM 363576109 267 8,792 SH DEFINED 01,02 8,792 GOLDMAN SACHS GROUP INC COM 38141G104 7,930 50,000 SH DEFINED 01,02 50,000 GOODYEAR TIRE & RUBR CO COM 382550101 771 51,451 SH DEFINED 01,02 51,451 GRAN TIERRA ENERGY INC COM 38500T101 1,150 142,500 SH DEFINED 01,02 142,500 HANOVER INS GROUP INC COM 410867105 393 8,675 SH DEFINED 01,02 8,675 HECLA MNG CO COM 422704106 248 27,286 SH DEFINED 01,02 27,286 HERALD NATL BK NEW YORK COM 42703Q104 2,726 1,206,328 SH DEFINED 01,02 1,206,328 HERSHEY CO COM 427866108 307 5,644 SH DEFINED 01,02 5,644 HERTZ GLOBAL HOLDINGS INC COM 42805T105 307 19,624 SH DEFINED 01,02 19,624 HEWLETT PACKARD CO COM 428236103 878 21,440 SH DEFINED 01,02 21,440 HOT TOPIC INC COM 441339108 3,619 635,698 SH DEFINED 01,02 635,698 ILLINOIS TOOL WKS INC COM 452308109 500 9,306 SH DEFINED 01,02 9,306 INTEL CORP COM 458140100 301 14,892 SH DEFINED 01,02 14,892 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 278 4,465 SH DEFINED 01,02 4,465 JOHNSON & JOHNSON COM 478160104 330 5,572 SH DEFINED 01,02 5,572 JONES LANG LASALLE INC COM 48020Q107 202 2,022 SH DEFINED 01,02 2,022 KANSAS CITY SOUTHERN COM NEW 485170302 202 3,703 SH DEFINED 01,02 3,703 KELLOGG CO COM 487836108 453 8,395 SH DEFINED 01,02 8,395 KEYCORP NEW COM 493267108 99 11,200 SH DEFINED 01,02 11,200 L-3 COMMUNICATIONS HLDGS INC COM 502424104 243 3,105 SH DEFINED 01,02 3,105 LAZARD LTD SHS A G54050102 312 7,499 SH DEFINED 01,02 7,499 LEAPFROG ENTERPRISES INC CL A 52186N106 989 229,000 SH DEFINED 01,02 229,000 LEAR CORP COM NEW 521865204 274 5,610 SH DEFINED 01,02 5,610 LIBERTY GLOBAL INC COM SER A 530555101 337 8,145 SH DEFINED 01,02 8,145 LOCKHEED MARTIN CORP COM 539830109 360 4,475 SH DEFINED 01,02 4,475 LOOKSMART LTD COM NEW 543442503 113 69,000 SH DEFINED 01,02 69,000 MARRIOTT INTL INC NEW CL A 571903202 660 18,562 SH DEFINED 01,02 18,562 MCCORMICK & CO INC COM NON VTG 579780206 860 17,977 SH DEFINED 01,02 17,977 MCCORMICK & SCHMICKS SEAFD R COM 579793100 429 59,000 SH DEFINED 01,02 59,000 MCMORAN EXPLORATION CO COM 582411104 1,041 58,800 SH DEFINED 01,02 58,800 MFA FINANCIAL INC COM 55272X102 346 42,145 SH DEFINED 01,02 42,145 MICROS SYS INC COM 594901100 242 4,893 SH DEFINED 01,02 4,893 MICROSOFT CORP COM 594918104 376 14,824 SH DEFINED 01,02 14,824 MOLEX INC COM 608554101 249 9,904 SH DEFINED 01,02 9,904 MORTONS RESTAURANT GRP INC N COM 619430101 3,335 462,589 SH DEFINED 01,02 462,589 NATURAL RESOURCE PARTNERS L COM UNIT L P 63900P103 291 8,300 SH DEFINED 01,02 8,300 NETAPP INC COM 64110D104 349 7,244 SH DEFINED 01,02 7,244 NEUTRAL TANDEM INC COM 64128B108 16,303 1,105,319 SH DEFINED 01,02 1,105,319 NEW YORK CMNTY BANCORP INC COM 649445103 184 10,677 SH DEFINED 01,02 10,677 NIKE INC CL B 654106103 336 4,441 SH DEFINED 01,02 4,441 NRG ENERGY INC COM NEW 629377508 322 14,960 SH DEFINED 01,02 14,960 O CHARLEYS INC COM 670823103 1,433 240,000 SH DEFINED 01,02 240,000 OMNICOM GROUP INC COM 681919106 273 5,570 SH DEFINED 01,02 5,570 OVERLAND STORAGE INC COM NEW 690310206 6,459 2,832,861 SH DEFINED 01,02 2,832,861 OWENS ILL INC COM NEW 690768403 499 16,532 SH DEFINED 01,02 16,532 PARAMETRIC TECHNOLOGY CORP COM NEW 699173209 269 11,964 SH DEFINED 01,02 11,964 PAYCHEX INC COM 704326107 483 15,403 SH DEFINED 01,02 15,403 PEOPLES UNITED FINANCIAL INC COM 712704105 295 23,440 SH DEFINED 01,02 23,440 PERKINELMER INC COM 714046109 223 8,480 SH DEFINED 01,02 8,480 PG&E CORP COM 69331C108 245 5,556 SH DEFINED 01,02 5,556 POPULAR INC COM 733174106 53 18,036 SH DEFINED 01,02 18,036 PORTER BANCORP INC COM 736233107 4,070 515,874 SH DEFINED 01,02 515,874 PRINCIPAL FINL GROUP INC COM 74251V102 305 9,486 SH DEFINED 01,02 9,486 PROTECTIVE LIFE CORP COM 743674103 332 12,493 SH DEFINED 01,02 12,493 RANGE RES CORP COM 75281A109 3,215 55,000 SH DEFINED 01,02 55,000 RANGE RES CORP COM 75281A109 5 35,000 PUT DEFINED 01,02 35,000 RAYTHEON CO COM NEW 755111507 448 8,816 SH DEFINED 01,02 8,816 RED HAT INC COM 756577102 399 8,786 SH DEFINED 01,02 8,786 RED ROBIN GOURMET BURGERS IN COM 75689M101 16,770 623,596 SH DEFINED 01,02 623,596 RED ROBIN GOURMET BURGERS IN COM 75689M101 35 174,300 PUT DEFINED 01,02 174,300 REGAL ENTMT GROUP CL A 758766109 151 11,190 SH DEFINED 01,02 11,190 RENAISSANCERE HOLDINGS LTD COM G7496G103 209 3,034 SH DEFINED 01,02 3,034 RESMED INC COM 761152107 214 7,137 SH DEFINED 01,02 7,137 REX ENERGY CORPORATION COM 761565100 6,676 573,547 SH DEFINED 01,02 573,547 ROBERT HALF INTL INC COM 770323103 571 18,663 SH DEFINED 01,02 18,663 ROCKWELL COLLINS INC COM 774341101 217 3,353 SH DEFINED 01,02 3,353 ROCKWOOD HLDGS INC COM 774415103 516 10,482 SH DEFINED 01,02 10,482 ROVI CORP COM 779376102 298 5,554 SH DEFINED 01,02 5,554 RUTHS HOSPITALITY GROUP INC COM 783332109 1,419 274,994 SH DEFINED 01,02 274,994 SAIC INC COM 78390X101 235 13,882 SH DEFINED 01,02 13,882 SCHWAB CHARLES CORP NEW COM 808513105 254 14,070 SH DEFINED 01,02 14,070 SCRIPPS NETWORKS INTERACT IN CL A COM 811065101 274 5,470 SH DEFINED 01,02 5,470 SEACOR HOLDINGS INC COM 811904101 533 5,767 SH DEFINED 01,02 5,767 SILVER WHEATON CORP COM 828336107 208 4,808 SH DEFINED 01,02 4,808 SIRIUS XM RADIO INC COM 82967N108 76 46,008 SH DEFINED 01,02 46,008 SOUTHERN CO COM 842587107 210 5,523 SH DEFINED 01,02 5,523 STAPLES INC COM 855030102 549 28,290 SH DEFINED 01,02 28,290 STRYKER CORP COM 863667101 405 6,654 SH DEFINED 01,02 6,654 TD AMERITRADE HLDG CORP COM 87236Y108 248 11,861 SH DEFINED 01,02 11,861 TEREX CORP NEW COM 880779103 355 9,593 SH DEFINED 01,02 9,593 TIDEWATER INC COM 886423102 243 4,058 SH DEFINED 01,02 4,058 TIME WARNER INC COM NEW 887317303 798 22,344 SH DEFINED 01,02 22,344 TOREADOR RES CORP COM 891050106 3,899 361,725 SH DEFINED 01,02 361,725 TOWERS WATSON & CO CL A 891894107 350 6,313 SH DEFINED 01,02 6,313 TRANSATLANTIC PETROLEUM LTD SHS G89982105 898 289,750 SH DEFINED 01,02 289,750 TRW AUTOMOTIVE HLDGS CORP COM 87264S106 232 4,216 SH DEFINED 01,02 4,216 US BANCORP DEL COM NEW 902973304 215 8,139 SH DEFINED 01,02 8,139 VANTAGE DRILLING COMPANY ORD SHS G93205113 90 50,000 SH DEFINED 01,02 50,000 VENOCO INC COM 92275P307 952 55,694 SH DEFINED 01,02 55,694 WAL MART STORES INC COM 931142103 204 3,924 SH DEFINED 01,02 3,924 WASTE CONNECTIONS INC COM 941053100 261 9,073 SH DEFINED 01,02 9,073 WELLS FARGO & CO NEW COM 949746101 282 8,903 SH DEFINED 01,02 8,903 WESTERN UN CO COM 959802109 494 23,794 SH DEFINED 01,02 23,794 WYNN RESORTS LTD COM 983134107 373 2,937 SH DEFINED 01,02 2,937 XCEL ENERGY INC COM 98389B100 235 9,825 SH DEFINED 01,02 9,825 YUM BRANDS INC COM 988498101 358 6,969 SH DEFINED 01,02 6,969 ZEBRA TECHNOLOGIES CORP CL A 989207105 227 5,773 SH DEFINED 01,02 5,773 ZIMMER HLDGS INC COM 98956P102 291 4,815 SH DEFINED 01,02 4,815 144 130,820

FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 144 Form 13F Information Table Value Total: $130,820 (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.