0000950159-11-000684.txt : 20111104 0000950159-11-000684.hdr.sgml : 20111104 20111104164243 ACCESSION NUMBER: 0000950159-11-000684 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111104 DATE AS OF CHANGE: 20111104 EFFECTIVENESS DATE: 20111104 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: 111181718 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, 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 11/4/2011 --------------------- ------------ --------- [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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 118 Form 13F Information Table Value Total: $86,275 (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.

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 607 230,000 SH DEFINED 01,02 230,000 ACE LTD SHS H0023R105 288 4,757 SH DEFINED 01,02 4,757 AECOM TECHNOLOGY CORP DELAWA COM 00766T100 184 10,430 SH DEFINED 01,02 10,430 ALCOA INC COM 013817101 613 64,079 SH DEFINED 01,02 64,079 ALPHA NATURAL RESOURCES INC COM 02076X102 403 22,771 SH DEFINED 01,02 22,771 AMERICAN CAP LTD COM 02503Y103 473 69,308 SH DEFINED 01,02 69,308 AON CORP COM 037389103 628 14,959 SH DEFINED 01,02 14,959 APACHE CORP COM 037411105 346 4,308 SH DEFINED 01,02 4,308 APPLIED MATLS INC COM 038222105 185 17,854 SH DEFINED 01,02 17,854 AUTOMATIC DATA PROCESSING IN COM 053015103 330 7,000 SH DEFINED 01,02 7,000 AUTONATION INC COM 05329W102 222 6,775 SH DEFINED 01,02 6,775 AUTOZONE INC COM 053332102 223 700 SH DEFINED 01,02 700 AVALONBAY CMNTYS INC COM 053484101 228 1,997 SH DEFINED 01,02 1,997 BALL CORP COM 058498106 205 6,608 SH DEFINED 01,02 6,608 BOSTON PROPERTIES INC COM 101121101 226 2,532 SH DEFINED 01,02 2,532 BRE PROPERTIES INC CL A 05564E106 253 5,985 SH DEFINED 01,02 5,985 BRIGHAM EXPLORATION CO COM 109178103 758 30,000 SH DEFINED 01,02 30,000 BROOKFIELD OFFICE PPTYS INC COM 112900105 294 21,335 SH DEFINED 01,02 21,335 BROWN & BROWN INC COM 115236101 252 14,140 SH DEFINED 01,02 14,140 CALLON PETE CO DEL COM 13123X102 600 155,000 SH DEFINED 01,02 155,000 CAMAC ENERGY INC COM 131745101 45 74,308 SH DEFINED 01,02 74,308 CAMAC ENERGY INC COM 131745101 34 227,500 CALL DEFINED 01,02 227,500 CAMDEN PPTY TR SH BEN INT 133131102 364 6,580 SH DEFINED 01,02 6,580 CAPITAL ONE FINL CORP COM 14040H105 503 12,702 SH DEFINED 01,02 12,702 CAPITAL SR LIVING CORP COM 140475104 1,748 283,304 SH DEFINED 01,02 283,304 CAPITALSOURCE INC COM 14055X102 338 54,968 SH DEFINED 01,02 54,968 CELANESE CORP DEL COM SER A 150870103 450 13,825 SH DEFINED 01,02 13,825 CF INDS HLDGS INC COM 125269100 275 2,229 SH DEFINED 01,02 2,229 CHIPOTLE MEXICAN GRILL INC COM 169656105 300 990 SH DEFINED 01,02 990 CINEMARK HOLDINGS INC COM 17243V102 237 12,557 SH DEFINED 01,02 12,557 CME GROUP INC COM 12572Q105 534 2,169 SH DEFINED 01,02 2,169 COLGATE PALMOLIVE CO COM 194162103 297 3,351 SH DEFINED 01,02 3,351 COLLECTIVE BRANDS INC COM 19421W10018,320 1,413,600 SH DEFINED 01,02 1,413,600 COMCAST CORP NEW CL A 20030N101 235 11,253 SH DEFINED 01,02 11,253 CORE LABORATORIES N V COM N22717107 210 2,338 SH DEFINED 01,02 2,338 CTC MEDIA INC COM 12642X106 240 26,914 SH DEFINED 01,02 26,914 CVS CAREMARK CORPORATION COM 126650100 247 7,357 SH DEFINED 01,02 7,357 DEERE & CO COM 244199105 200 3,099 SH DEFINED 01,02 3,099 DELTA AIR LINES INC DEL COM NEW 247361702 162 21,623 SH DEFINED 01,02 21,623 DISCOVER FINL SVCS COM 254709108 336 14,641 SH DEFINED 01,02 14,641 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 247 8,993 SH DEFINED 01,02 8,993 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 1,865 86,818 SH DEFINED 01,02 86,818 ESSEX PPTY TR INC COM 297178105 484 4,036 SH DEFINED 01,02 4,036 EXPRESS SCRIPTS INC COM 302182100 373 10,062 SH DEFINED 01,02 10,062 FEDEX CORP COM 31428X106 343 5,062 SH DEFINED 01,02 5,062 FIRST NIAGARA FINL GP INC COM 33582V108 312 34,149 SH DEFINED 01,02 34,149 FISERV INC COM 337738108 462 9,102 SH DEFINED 01,02 9,102 FLUOR CORP NEW COM 343412102 267 5,731 SH DEFINED 01,02 5,731 FMC TECHNOLOGIES INC COM 30249U101 447 11,899 SH DEFINED 01,02 11,899 FRANKLIN RES INC COM 354613101 281 2,938 SH DEFINED 01,02 2,938 FRONTIER COMMUNICATIONS CORP COM 35906A108 222 36,386 SH DEFINED 01,02 36,386 GENERAL MLS INC COM 370334104 345 8,971 SH DEFINED 01,02 8,971 GENUINE PARTS CO COM 372460105 213 4,200 SH DEFINED 01,02 4,200 GRAN TIERRA ENERGY INC COM 38500T101 680 142,500 SH DEFINED 01,02 142,500 GREAT PLAINS ENERGY INC COM 391164100 220 11,402 SH DEFINED 01,02 11,402 GULFPORT ENERGY CORP COM NEW 402635304 3,987 164,900 SH DEFINED 01,02 164,900 HARTFORD FINL SVCS GROUP INC COM 416515104 237 14,700 SH DEFINED 01,02 14,700 HERALD NATL BK NEW YORK COM 42703Q104 4,114 1,206,328 SH DEFINED 01,02 1,206,328 JDS UNIPHASE CORP COM PAR $0.001 46612J507 290 29,047 SH DEFINED 01,02 29,047 JUNIPER NETWORKS INC COM 48203R104 219 12,693 SH DEFINED 01,02 12,693 LAM RESEARCH CORP COM 512807108 201 5,287 SH DEFINED 01,02 5,287 LAUDER ESTEE COS INC CL A 518439104 621 7,069 SH DEFINED 01,02 7,069 LAZARD LTD SHS A G54050102 202 9,586 SH DEFINED 01,02 9,586 LEAPFROG ENTERPRISES INC CL A 52186N106 772 229,000 SH DEFINED 01,02 229,000 LSI CORPORATION COM 502161102 202 39,008 SH DEFINED 01,02 39,008 LULULEMON ATHLETICA INC COM 550021109 200 4,116 SH DEFINED 01,02 4,116 LUMBER LIQUIDATORS HLDGS INC COM 55003T107 1,612 106,750 SH DEFINED 01,02 106,750 MARKEL CORP COM 570535104 259 726 SH DEFINED 01,02 726 MARSH & MCLENNAN COS INC COM 571748102 479 18,037 SH DEFINED 01,02 18,037 MCMORAN EXPLORATION CO COM 582411104 1,686 169,800 SH DEFINED 01,02 169,800 MEAD JOHNSON NUTRITION CO COM 582839106 234 3,400 SH DEFINED 01,02 3,400 MICRON TECHNOLOGY INC COM 595112103 344 68,262 SH DEFINED 01,02 68,262 MID-AMER APT CMNTYS INC COM 59522J103 386 6,403 SH DEFINED 01,02 6,403 MODUSLINK GLOBAL SOLUTIONS I COM 60786L107 510 146,158 SH DEFINED 01,02 146,158 MOSAIC CO NEW COM 61945C103 306 6,250 SH DEFINED 01,02 6,250 NABORS INDUSTRIES LTD SHS G6359F103 309 25,186 SH DEFINED 01,02 25,186 NATIONAL FUEL GAS CO N J COM 636180101 367 7,531 SH DEFINED 01,02 7,531 NEUTRAL TANDEM INC COM 64128B108 6,807 703,235 SH DEFINED 01,02 703,235 NEW JERSEY RES COM 646025106 261 6,121 SH DEFINED 01,02 6,121 NII HLDGS INC CL B NEW 62913F201 251 9,327 SH DEFINED 01,02 9,327 O CHARLEYS INC COM 670823103 59 10,000 SH DEFINED 01,02 10,000 ONEOK INC NEW COM 682680103 453 6,861 SH DEFINED 01,02 6,861 OVERLAND STORAGE INC COM NEW 690310206 6,856 2,832,861 SH DEFINED 01,02 2,832,861 OWENS CORNING NEW COM 690742101 201 9,284 SH DEFINED 01,02 9,284 PHILIP MORRIS INTL INC COM 718172109 217 3,472 SH DEFINED 01,02 3,472 PORTER BANCORP INC COM 736233107 1,976 515,875 SH DEFINED 01,02 515,875 POST PPTYS INC COM 737464107 338 9,729 SH DEFINED 01,02 9,729 QUEST DIAGNOSTICS INC COM 74834L100 228 4,613 SH DEFINED 01,02 4,613 RALPH LAUREN CORP CL A 751212101 298 2,299 SH DEFINED 01,02 2,299 REALTY INCOME CORP COM 756109104 434 13,472 SH DEFINED 01,02 13,472 REGAL BELOIT CORP COM 758750103 352 7,748 SH DEFINED 01,02 7,748 REGAL ENTMT GROUP CL A 758766109 192 16,322 SH DEFINED 01,02 16,322 REGIONS FINANCIAL CORP NEW COM 7591EP100 127 38,229 SH DEFINED 01,02 38,229 ROCKWOOD HLDGS INC COM 774415103 269 7,974 SH DEFINED 01,02 7,974 ROYAL GOLD INC COM 780287108 253 3,951 SH DEFINED 01,02 3,951 SANDRIDGE ENERGY INC COM 80007P307 426 76,600 SH DEFINED 01,02 76,600 SARA LEE CORP COM 803111103 326 19,952 SH DEFINED 01,02 19,952 SEAGATE TECHNOLOGY PLC SHS G7945M107 207 20,186 SH DEFINED 01,02 20,186 SL GREEN RLTY CORP COM 78440X101 252 4,329 SH DEFINED 01,02 4,329 SNAP ON INC COM 833034101 382 8,604 SH DEFINED 01,02 8,604 SOUTHWEST AIRLS CO COM 844741108 116 14,403 SH DEFINED 01,02 14,403 ST JUDE MED INC COM 790849103 499 13,783 SH DEFINED 01,02 13,783 TAUBMAN CTRS INC COM 876664103 356 7,078 SH DEFINED 01,02 7,078 TOREADOR RES CORP COM 891050106 1,274 415,000 SH DEFINED 01,02 415,000 TRACTOR SUPPLY CO COM 892356106 361 5,773 SH DEFINED 01,02 5,773 TRANSATLANTIC PETROLEUM LTD SHS G89982105 291 355,000 SH DEFINED 01,02 355,000 TRANSDIGM GROUP INC COM 893641100 502 6,146 SH DEFINED 01,02 6,146 UGI CORP NEW COM 902681105 323 12,308 SH DEFINED 01,02 12,308 VENOCO INC COM 92275P307 1,329 150,799 SH DEFINED 01,02 150,799 VORNADO RLTY TR SH BEN INT 929042109 204 2,734 SH DEFINED 01,02 2,734 WALGREEN CO COM 931422109 529 16,092 SH DEFINED 01,02 16,092 WARNER CHILCOTT PLC IRELAND SHS A G94368100 196 13,725 SH DEFINED 01,02 13,725 WATSON PHARMACEUTICALS INC COM 942683103 588 8,615 SH DEFINED 01,02 8,615 WENDYS CO COM 95058W100 88 19,168 SH DEFINED 01,02 19,168 WINDSTREAM CORP COM 97381W104 236 20,282 SH DEFINED 01,02 20,282 WYNN RESORTS LTD COM 983134107 784 6,810 SH DEFINED 01,02 6,810 YUM BRANDS INC COM 988498101 243 4,930 SH DEFINED 01,02 4,930 ZIONS BANCORPORATION COM 989701107 500 35,501 SH DEFINED 01,02 35,501 118 86,275