0000950159-11-000483.txt : 20110805 0000950159-11-000483.hdr.sgml : 20110805 20110805164258 ACCESSION NUMBER: 0000950159-11-000483 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110805 DATE AS OF CHANGE: 20110805 EFFECTIVENESS DATE: 20110805 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: 111014734 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: June 30, 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 8/5/2011 --------------------- ------------ --------- [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 ----------------------------- -------------------------------------------------------------- --------------------- ------- -------- ABRAXAS PETE CORP COM 003830106 766 200,000 SH DEFINED 01,02 200,000 ADVANCED MICRO DEVICES INC COM 007903107 163 23,322 SH DEFINED 01,02 23,322 AETNA INC NEW COM 00817Y108 279 6,336 SH DEFINED 01,02 6,336 ALLIED WRLD ASSUR COM HLDG A SHS H01531104 491 8,529 SH DEFINED 01,02 8,529 ALTRIA GROUP INC COM 02209S103 376 14,227 SH DEFINED 01,02 14,227 AMDOCS LTD ORD G02602103 397 13,067 SH DEFINED 01,02 13,067 ANIXTER INTL INC COM 035290105 310 4,742 SH DEFINED 01,02 4,742 APPLIED MATLS INC COM 038222105 296 22,776 SH DEFINED 01,02 22,776 ARCH CAP GROUP LTD ORD G0450A105 799 25,045 SH DEFINED 01,02 25,045 AVALONBAY CMNTYS INC COM 053484101 295 2,301 SH DEFINED 01,02 2,301 BAKER HUGHES INC COM 057224107 256 3,523 SH DEFINED 01,02 3,523 BALL CORP COM 058498106 285 7,400 SH DEFINED 01,02 7,400 BANK OF AMERICA CORPORATION COM 060505104 297 27,102 SH DEFINED 01,02 27,102 BOSTON SCIENTIFIC CORP COM 101137107 211 30,520 SH DEFINED 01,02 30,520 BRE PROPERTIES INC CL A 05564E106 299 5,999 SH DEFINED 01,02 5,999 BRIGHAM EXPLORATION CO COM 109178103 3,143 105,000 SH DEFINED 01,02 105,000 BROWN & BROWN INC COM 115236101 374 14,571 SH DEFINED 01,02 14,571 CALIFORNIA PIZZA KITCHEN INC COM 13054D109 22,867 1,238,063 SH DEFINED 01,02 1,238,063 CALLON PETE CO DEL COM 13123X102 1,088 155,000 SH DEFINED 01,02 155,000 CAMAC ENERGY INC COM 131745101 103 77,273 SH DEFINED 01,02 77,273 CAMAC ENERGY INC COM 131745101 68 227,500 CALL DEFINED 01,02 227,500 CAMDEN PPTY TR SH BEN INT 133131102 208 3,275 SH DEFINED 01,02 3,275 CAPITAL ONE FINL CORP COM 14040H105 630 12,197 SH DEFINED 01,02 12,197 CAPITAL SR LIVING CORP COM 140475104 383 41,277 SH DEFINED 01,02 41,277 CENTERPOINT ENERGY INC COM 15189T107 471 24,346 SH DEFINED 01,02 24,346 CHARTER COMMUNICATIONS INC D CL A NEW 16117M305 331 6,098 SH DEFINED 01,02 6,098 CHURCH & DWIGHT INC COM 171340102 206 5,072 SH DEFINED 01,02 5,072 CITIGROUP INC COM NEW 172967424 3,131 75,185 SH DEFINED 01,02 75,185 CLEAR CHANNEL OUTDOOR HLDGS CL A 18451C109 201 15,844 SH DEFINED 01,02 15,844 COMPASS MINERALS INTL INC COM 20451N101 285 3,309 SH DEFINED 01,02 3,309 CONSOLIDATED EDISON INC COM 209115104 277 5,208 SH DEFINED 01,02 5,208 CONSTELLATION BRANDS INC CL A 21036P108 391 18,768 SH DEFINED 01,02 18,768 COOPER INDUSTRIES PLC SHS G24140108 816 13,679 SH DEFINED 01,02 13,679 CORNING INC COM 219350105 251 13,827 SH DEFINED 01,02 13,827 COVIDIEN PLC SHS G2554F113 808 15,184 SH DEFINED 01,02 15,184 DARLING INTL INC COM 237266101 207 11,681 SH DEFINED 01,02 11,681 DELTA AIR LINES INC DEL COM NEW 247361702 173 18,860 SH DEFINED 01,02 18,860 DENTSPLY INTL INC NEW COM 249030107 333 8,746 SH DEFINED 01,02 8,746 DIAMOND OFFSHORE DRILLING IN COM 25271C102 784 11,141 SH DEFINED 01,02 11,141 DISNEY WALT CO COM DISNEY 254687106 698 17,875 SH DEFINED 01,02 17,875 DOMTAR CORP COM NEW 257559203 348 3,671 SH DEFINED 01,02 3,671 DUN & BRADSTREET CORP DEL NE COM 26483E100 408 5,396 SH DEFINED 01,02 5,396 E TRADE FINANCIAL CORP COM NEW 269246401 141 10,251 SH DEFINED 01,02 10,251 EBAY INC COM 278642103 621 19,235 SH DEFINED 01,02 19,235 EDISON INTL COM 281020107 250 6,446 SH DEFINED 01,02 6,446 ENERGEN CORP COM 29265N108 510 9,021 SH DEFINED 01,02 9,021 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 2,159 65,000 SH DEFINED 01,02 65,000 ENTERGY CORP NEW COM 29364G103 377 5,519 SH DEFINED 01,02 5,519 EQUIFAX INC COM 294429105 610 17,559 SH DEFINED 01,02 17,559 EVEREST RE GROUP LTD COM G3223R108 275 3,361 SH DEFINED 01,02 3,361 EXAR CORP COM 300645108 240 37,992 SH DEFINED 01,02 37,992 EXPRESS SCRIPTS INC COM 302182100 320 5,920 SH DEFINED 01,02 5,920 FAIRCHILD SEMICONDUCTOR INTL COM 303726103 185 11,070 SH DEFINED 01,02 11,070 FAMOUS DAVES AMER INC COM 307068106 300 29,927 SH DEFINED 01,02 29,927 FIRST HORIZON NATL CORP COM 320517105 130 13,587 SH DEFINED 01,02 13,587 FIRST NIAGARA FINL GP INC COM 33582V108 347 26,312 SH DEFINED 01,02 26,312 FISERV INC COM 337738108 258 4,115 SH DEFINED 01,02 4,115 FIVE STAR QUALITY CARE INC COM 33832D106 261 45,000 SH DEFINED 01,02 45,000 FLEXTRONICS INTL LTD ORD Y2573F102 246 38,382 SH DEFINED 01,02 38,382 FORD MTR CO DEL COM PAR $0.01 345370860 237 17,191 SH DEFINED 01,02 17,191 FOREST OIL CORP COM PAR $0.01 346091705 356 13,330 SH DEFINED 01,02 13,330 FORTUNE BRANDS INC COM 349631101 239 3,747 SH DEFINED 01,02 3,747 FOSTER WHEELER AG COM H27178104 204 6,721 SH DEFINED 01,02 6,721 FULTON FINL CORP PA COM 360271100 199 18,602 SH DEFINED 01,02 18,602 GEN-PROBE INC NEW COM 36866T103 254 3,668 SH DEFINED 01,02 3,668 GENWORTH FINL INC COM CL A 37247D106 401 39,024 SH DEFINED 01,02 39,024 GOLDMAN SACHS GROUP INC COM 38141G104 3,327 25,000 SH DEFINED 01,02 25,000 GRAN TIERRA ENERGY INC COM 38500T101 942 142,500 SH DEFINED 01,02 142,500 GRIFFON CORP COM 398433102 608 60,269 SH DEFINED 01,02 60,269 GULFPORT ENERGY CORP COM NEW 402635304 742 25,000 SH DEFINED 01,02 25,000 HARRIS CORP DEL COM 413875105 281 6,246 SH DEFINED 01,02 6,246 HCC INS HLDGS INC COM 404132102 214 6,802 SH DEFINED 01,02 6,802 HEINZ H J CO COM 423074103 1,012 19,000 SH DEFINED 01,02 19,000 HERALD NATL BK NEW YORK COM 42703Q104 4,639 1,206,328 SH DEFINED 01,02 1,206,328 HOLOGIC INC COM 436440101 467 23,149 SH DEFINED 01,02 23,149 ILLINOIS TOOL WKS INC COM 452308109 284 5,034 SH DEFINED 01,02 5,034 KELLOGG CO COM 487836108 299 5,401 SH DEFINED 01,02 5,401 KOHLS CORP COM 500255104 325 6,491 SH DEFINED 01,02 6,491 KRAFT FOODS INC CL A 50075N104 661 18,754 SH DEFINED 01,02 18,754 L-3 COMMUNICATIONS HLDGS INC COM 502424104 228 2,609 SH DEFINED 01,02 2,609 LEAPFROG ENTERPRISES INC CL A 52186N106 966 229,000 SH DEFINED 01,02 229,000 LEGGETT & PLATT INC COM 524660107 366 15,000 SH DEFINED 01,02 15,000 LOOKSMART LTD COM NEW 543442503 100 66,400 SH DEFINED 01,02 66,400 MANPOWERGROUP INC COM 56418H100 583 10,859 SH DEFINED 01,02 10,859 MARRIOTT INTL INC NEW CL A 571903202 362 10,188 SH DEFINED 01,02 10,188 MARTIN MARIETTA MATLS INC COM 573284106 450 5,625 SH DEFINED 01,02 5,625 MASCO CORP COM 574599106 237 19,668 SH DEFINED 01,02 19,668 MASTERCARD INC CL A 57636Q104 274 908 SH DEFINED 01,02 908 MCMORAN EXPLORATION CO COM 582411104 2,214 119,800 SH DEFINED 01,02 119,800 MFA FINANCIAL INC COM 55272X102 254 31,534 SH DEFINED 01,02 31,534 MICRON TECHNOLOGY INC COM 595112103 388 51,873 SH DEFINED 01,02 51,873 MODUSLINK GLOBAL SOLUTIONS I COM 60786L107 137 30,679 SH DEFINED 01,02 30,679 MOLEX INC COM 608554101 451 17,514 SH DEFINED 01,02 17,514 MURPHY OIL CORP COM 626717102 261 3,978 SH DEFINED 01,02 3,978 NABORS INDUSTRIES LTD SHS G6359F103 208 8,460 SH DEFINED 01,02 8,460 NETAPP INC COM 64110D104 478 9,063 SH DEFINED 01,02 9,063 NEUTRAL TANDEM INC COM 64128B108 11,595 665,603 SH DEFINED 01,02 665,603 NIKE INC CL B 654106103 662 7,358 SH DEFINED 01,02 7,358 NOBLE ENERGY INC COM 655044105 331 3,697 SH DEFINED 01,02 3,697 NV ENERGY INC COM 67073Y106 167 10,881 SH DEFINED 01,02 10,881 O CHARLEYS INC COM 670823103 256 35,000 SH DEFINED 01,02 35,000 ON SEMICONDUCTOR CORP COM 682189105 176 16,777 SH DEFINED 01,02 16,777 OVERLAND STORAGE INC COM NEW 690310206 7,875 2,832,861 SH DEFINED 01,02 2,832,861 PARAMETRIC TECHNOLOGY CORP COM NEW 699173209 354 15,436 SH DEFINED 01,02 15,436 PFIZER INC COM 717081103 272 13,208 SH DEFINED 01,02 13,208 POPULAR INC COM 733174106 54 19,480 SH DEFINED 01,02 19,480 PORTER BANCORP INC COM 736233107 2,569 515,874 SH DEFINED 01,02 515,874 PROGRESSIVE CORP OHIO COM 743315103 472 22,076 SH DEFINED 01,02 22,076 QUICKSILVER RESOURCES INC COM 74837R104 483 32,715 SH DEFINED 01,02 32,715 RAYMOND JAMES FINANCIAL INC COM 754730109 370 11,508 SH DEFINED 01,02 11,508 RED HAT INC COM 756577102 200 4,366 SH DEFINED 01,02 4,366 REGIONS FINANCIAL CORP NEW COM 7591EP100 382 61,693 SH DEFINED 01,02 61,693 RENAISSANCERE HOLDINGS LTD COM G7496G103 296 4,236 SH DEFINED 01,02 4,236 REX ENERGY CORPORATION COM 761565100 4,054 394,696 SH DEFINED 01,02 394,696 REYNOLDS AMERICAN INC COM 761713106 328 8,854 SH DEFINED 01,02 8,854 ROBERT HALF INTL INC COM 770323103 249 9,209 SH DEFINED 01,02 9,209 ROPER INDS INC NEW COM 776696106 240 2,876 SH DEFINED 01,02 2,876 SANDISK CORP COM 80004C101 548 13,193 SH DEFINED 01,02 13,193 SCHLUMBERGER LTD COM 806857108 330 3,816 SH DEFINED 01,02 3,816 SCRIPPS NETWORKS INTERACT IN CL A COM 811065101 220 4,498 SH DEFINED 01,02 4,498 SHERWIN WILLIAMS CO COM 824348106 349 4,166 SH DEFINED 01,02 4,166 SILGAN HOLDINGS INC COM 827048109 218 5,320 SH DEFINED 01,02 5,320 SL GREEN RLTY CORP COM 78440X101 975 11,771 SH DEFINED 01,02 11,771 SMUCKER J M CO COM NEW 832696405 367 4,798 SH DEFINED 01,02 4,798 SPECTRA ENERGY CORP COM 847560109 206 7,523 SH DEFINED 01,02 7,523 SUCCESSFACTORS INC COM 864596101 310 10,558 SH DEFINED 01,02 10,558 SYNOPSYS INC COM 871607107 367 14,293 SH DEFINED 01,02 14,293 TCF FINL CORP COM 872275102 199 14,440 SH DEFINED 01,02 14,440 TENET HEALTHCARE CORP COM 88033G100 79 12,652 SH DEFINED 01,02 12,652 TIFFANY & CO NEW COM 886547108 302 3,849 SH DEFINED 01,02 3,849 TOREADOR RES CORP COM 891050106 1,540 415,000 SH DEFINED 01,02 415,000 TRANSATLANTIC PETROLEUM LTD SHS G89982105 561 330,000 SH DEFINED 01,02 330,000 UNITED STATES STL CORP NEW COM 912909108 306 6,651 SH DEFINED 01,02 6,651 UNIVERSAL HLTH SVCS INC CL B 913903100 279 5,422 SH DEFINED 01,02 5,422 UNUM GROUP COM 91529Y106 223 8,735 SH DEFINED 01,02 8,735 VANTAGE DRILLING COMPANY ORD SHS G93205113 91 50,000 SH DEFINED 01,02 50,000 VEECO INSTRS INC DEL COM 922417100 280 5,789 SH DEFINED 01,02 5,789 VENOCO INC COM 92275P307 1,671 131,156 SH DEFINED 01,02 131,156 VENTAS INC COM 92276F100 249 4,721 SH DEFINED 01,02 4,721 VIRGIN MEDIA INC COM 92769L101 711 23,739 SH DEFINED 01,02 23,739 VISA INC COM COM CL A 92826C839 275 3,263 SH DEFINED 01,02 3,263 WAL MART STORES INC COM 931142103 572 10,770 SH DEFINED 01,02 10,770 WALTER ENERGY INC COM 93317Q105 525 4,537 SH DEFINED 01,02 4,537 WASTE MGMT INC DEL COM 94106L109 255 6,834 SH DEFINED 01,02 6,834 WEBMD HEALTH CORP COM 94770V102 466 10,232 SH DEFINED 01,02 10,232 WESTERN UN CO COM 959802109 201 10,047 SH DEFINED 01,02 10,047 WESTLAKE CHEM CORP COM 960413102 228 4,389 SH DEFINED 01,02 4,389 WHITING PETE CORP NEW COM 966387102 257 4,517 SH DEFINED 01,02 4,517 XCEL ENERGY INC COM 98389B100 249 10,255 SH DEFINED 01,02 10,255 YAHOO INC COM 984332106 209 13,868 SH DEFINED 01,02 13,868 150 120,385

FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 150 Form 13F Information Table Value Total: $120,385 (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.