0001140361-12-035433.txt : 20120807
0001140361-12-035433.hdr.sgml : 20120807
20120807143655
ACCESSION NUMBER: 0001140361-12-035433
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120630
FILED AS OF DATE: 20120807
DATE AS OF CHANGE: 20120807
EFFECTIVENESS DATE: 20120807
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CLINTON GROUP INC
CENTRAL INDEX KEY: 0001134119
IRS NUMBER: 000000000
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06121
FILM NUMBER: 121012722
BUSINESS ADDRESS:
STREET 1: 5 WEST 57TH STREET
STREET 2: 26TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 2128250400
MAIL ADDRESS:
STREET 1: 5 WEST 57TH STREET
STREET 2: 26TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
13F-HR
1
form13fhr.txt
NONE
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 6/30/2012
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 submission.
Persons 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 8/7/2012
--------------------------------- --------------------------------- ----------
[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).)
List of Other Managers Reporting for this Manager:
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 2
Form 13F Information Table Entry Total: 169
Form 13F Information Table Value Total: $ 156,148
--------------
(In Thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and 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
01 28-10034 CGI Holdings, Inc.
---- -------------------- ----------------------------------------------------
02 28-10033 Clinton Group Equity, Co.
---- -------------------- ----------------------------------------------------
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
---------------------------- -------------- --------- -------- ------------------ ---------- -------- ---------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
---------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
ABRAXAS PETE CORP COM 003830106 812 255,000 SH DEFINED 01,02 255,000 0 0
ACUITY BRANDS INC COM 00508Y102 401 7,877 SH DEFINED 01,02 7,877 0 0
AETNA INC NEW COM 00817Y108 565 14,586 SH DEFINED 01,02 14,586 0 0
ALTRIA GROUP INC COM 02209S103 749 21,672 SH DEFINED 01,02 21,672 0 0
AMETEK INC NEW COM 031100100 637 12,772 SH DEFINED 01,02 12,772 0 0
APPLE INC COM 037833100 807 1,381 SH DEFINED 01,02 1,381 0 0
ASCENA RETAIL GROUP INC COM 04351G101 212 11,369 SH DEFINED 01,02 11,369 0 0
ASHLAND INC NEW COM 044209104 279 4,031 SH DEFINED 01,02 4,031 0 0
AUTOMATIC DATA PROCESSING IN COM 053015103 1,097 19,700 SH DEFINED 01,02 19,700 0 0
AVNET INC COM 053807103 282 9,138 SH DEFINED 01,02 9,138 0 0
BALL CORP COM 058498106 706 17,195 SH DEFINED 01,02 17,195 0 0
BANK OF NEW YORK MELLON CORP COM 064058100 268 12,223 SH DEFINED 01,02 12,223 0 0
BANKUNITED INC COM 06652K103 6,152 260,883 SH DEFINED 01,02 260,883 0 0
BB&T CORP COM 054937107 235 7,624 SH DEFINED 01,02 7,624 0 0
BOSTON SCIENTIFIC CORP COM 101137107 98 17,203 SH DEFINED 01,02 17,203 0 0
BROCADE COMMUNICATIONS SYS I COM NEW 111621306 54 11,030 SH DEFINED 01,02 11,030 0 0
C&J ENERGY SVCS INC COM 12467B304 3,053 165,000 SH DEFINED 01,02 165,000 0 0
CABOT OIL & GAS CORP COM 127097103 362 9,182 SH DEFINED 01,02 9,182 0 0
CALLON PETE CO DEL COM 13123X102 660 155,000 SH DEFINED 01,02 155,000 0 0
CAMAC ENERGY INC COM 131745101 143 227,500 CALL DEFINED 01,02 227,500 0 0
CAMAC ENERGY INC COM 131745101 47 74,308 SH DEFINED 01,02 74,308 0 0
CANADIAN NATL RY CO COM 136375102 1,122 13,301 SH DEFINED 01,02 13,301 0 0
CATERPILLAR INC DEL COM 149123101 707 8,330 SH DEFINED 01,02 8,330 0 0
CBS CORP NEW CL B 124857202 365 11,126 SH DEFINED 01,02 11,126 0 0
CHIMERA INVT CORP COM 16934Q109 195 82,668 SH DEFINED 01,02 82,668 0 0
CHRISTOPHER & BANKS CORP COM 171046105 425 360,202 SH DEFINED 01,02 360,202 0 0
CIGNA CORPORATION COM 125509109 464 10,549 SH DEFINED 01,02 10,549 0 0
CINCINNATI FINL CORP COM 172062101 1,229 32,274 SH DEFINED 01,02 32,274 0 0
CITIGROUP INC COM NEW 172967424 1,446 52,753 SH DEFINED 01,02 52,753 0 0
CNA FINL CORP COM 126117100 256 9,221 SH DEFINED 01,02 9,221 0 0
COLFAX CORP COM 194014106 226 8,185 SH DEFINED 01,02 8,185 0 0
CONAGRA FOODS INC COM 205887102 275 10,587 SH DEFINED 01,02 10,587 0 0
CONCHO RES INC COM 20605P101 262 3,079 SH DEFINED 01,02 3,079 0 0
CONSTELLATION BRANDS INC CL A 21036P108 332 12,252 SH DEFINED 01,02 12,252 0 0
CONTINENTAL RESOURCES INC COM 212015101 363 5,455 SH DEFINED 01,02 5,455 0 0
CON-WAY INC COM 205944101 203 5,610 SH DEFINED 01,02 5,610 0 0
COSTCO WHSL CORP NEW COM 22160K105 758 7,981 SH DEFINED 01,02 7,981 0 0
COVENTRY HEALTH CARE INC COM 222862104 903 28,393 SH DEFINED 01,02 28,393 0 0
COVIDIEN PLC SHS G2554F113 745 13,923 SH DEFINED 01,02 13,923 0 0
CROWN HOLDINGS INC COM 228368106 427 12,378 SH DEFINED 01,02 12,378 0 0
CUBIST PHARMACEUTICALS INC COM 229678107 215 5,679 SH DEFINED 01,02 5,679 0 0
CVS CAREMARK CORPORATION COM 126650100 900 19,256 SH DEFINED 01,02 19,256 0 0
DENBURY RES INC COM NEW 247916208 259 17,110 SH DEFINED 01,02 17,110 0 0
DIAMOND OFFSHORE DRILLING IN COM 25271C102 432 7,304 SH DEFINED 01,02 7,304 0 0
DIGITAL GENERATION INC COM 25400B108 1,921 155,275 SH DEFINED 01,02 155,275 0 0
DISNEY WALT CO COM DISNEY 254687106 280 5,783 SH DEFINED 01,02 5,783 0 0
DOVER CORP COM 260003108 332 6,196 SH DEFINED 01,02 6,196 0 0
DOW CHEM CO COM 260543103 275 8,719 SH DEFINED 01,02 8,719 0 0
DUNKIN BRANDS GROUP INC COM 265504100 216 6,300 SH DEFINED 01,02 6,300 0 0
E TRADE FINANCIAL CORP COM NEW 269246401 108 13,485 SH DEFINED 01,02 13,485 0 0
ENCANA CORP COM 292505104 460 22,087 SH DEFINED 01,02 22,087 0 0
ENERGEN CORP COM 29265N108 274 6,078 SH DEFINED 01,02 6,078 0 0
ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 323 7,305 SH DEFINED 01,02 7,305 0 0
EQUIFAX INC COM 294429105 418 8,966 SH DEFINED 01,02 8,966 0 0
EXXON MOBIL CORP COM 30231G102 571 6,677 SH DEFINED 01,02 6,677 0 0
FAMILY DLR STORES INC COM 307000109 361 5,423 SH DEFINED 01,02 5,423 0 0
FIFTH THIRD BANCORP COM 316773100 200 14,920 SH DEFINED 01,02 14,920 0 0
FIRST HORIZON NATL CORP COM 320517105 107 12,324 SH DEFINED 01,02 12,324 0 0
FLEETCOR TECHNOLOGIES INC COM 339041105 315 8,999 SH DEFINED 01,02 8,999 0 0
FLEXTRONICS INTL LTD ORD Y2573F102 239 38,616 SH DEFINED 01,02 38,616 0 0
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
---------------------------- -------------- --------- -------- ------------------ ---------- -------- ---------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
---------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
FOREST LABS INC COM 345838106 347 9,914 SH DEFINED 01,02 9,914 0 0
GOLDCORP INC NEW COM 380956409 241 6,420 SH DEFINED 01,02 6,420 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 3,442 35,903 SH DEFINED 01,02 35,903 0 0
GRACE W R & CO DEL NEW COM 38388F108 486 9,631 SH DEFINED 01,02 9,631 0 0
GULFPORT ENERGY CORP COM NEW 402635304 3,385 164,089 SH DEFINED 01,02 164,089 0 0
HOME DEPOT INC COM 437076102 376 7,103 SH DEFINED 01,02 7,103 0 0
HORMEL FOODS CORP COM 440452100 209 6,864 SH DEFINED 01,02 6,864 0 0
HUDSON CITY BANCORP COM 443683107 119 18,615 SH DEFINED 01,02 18,615 0 0
HUMANA INC COM 444859102 260 3,355 SH DEFINED 01,02 3,355 0 0
HUNTINGTON BANCSHARES INC COM 446150104 85 13,267 SH DEFINED 01,02 13,267 0 0
ILLINOIS TOOL WKS INC COM 452308109 514 9,710 SH DEFINED 01,02 9,710 0 0
IMATION CORP COM 45245A107 276 46,688 SH DEFINED 01,02 46,688 0 0
INFORMATICA CORP COM 45666Q102 256 6,041 SH DEFINED 01,02 6,041 0 0
JAKKS PAC INC COM 47012E106 11,727 732,475 SH DEFINED 01,02 732,475 0 0
JPMORGAN CHASE & CO COM 46625H100 695 19,445 SH DEFINED 01,02 19,445 0 0
KLA-TENCOR CORP COM 482480100 275 5,577 SH DEFINED 01,02 5,577 0 0
LANDSTAR SYS INC COM 515098101 205 3,971 SH DEFINED 01,02 3,971 0 0
LIONS GATE ENTMNT CORP COM NEW 535919203 212 14,407 SH DEFINED 01,02 14,407 0 0
LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 510 12,668 SH DEFINED 01,02 12,668 0 0
MANPOWERGROUP INC COM 56418H100 234 6,384 SH DEFINED 01,02 6,384 0 0
MARATHON PETE CORP COM 56585A102 210 4,666 SH DEFINED 01,02 4,666 0 0
MARRIOTT INTL INC NEW CL A 571903202 296 7,554 SH DEFINED 01,02 7,554 0 0
MASTERCARD INC CL A 57636Q104 408 948 SH DEFINED 01,02 948 0 0
MATTEL INC COM 577081102 218 6,705 SH DEFINED 01,02 6,705 0 0
MCMORAN EXPLORATION CO COM 582411104 4,371 345,000 SH DEFINED 01,02 345,000 0 0
MDU RES GROUP INC COM 552690109 353 16,335 SH DEFINED 01,02 16,335 0 0
MEAD JOHNSON NUTRITION CO COM 582839106 252 3,129 SH DEFINED 01,02 3,129 0 0
METHANEX CORP COM 59151K108 258 9,279 SH DEFINED 01,02 9,279 0 0
METLIFE INC COM 59156R108 329 10,670 SH DEFINED 01,02 10,670 0 0
METTLER TOLEDO INTERNATIONAL COM 592688105 453 2,906 SH DEFINED 01,02 2,906 0 0
MICROS SYS INC COM 594901100 209 4,076 SH DEFINED 01,02 4,076 0 0
MODUSLINK GLOBAL SOLUTIONS I COM 60786L107 4,022 1,345,000 SH DEFINED 01,02 1,345,000 0 0
MONSTER BEVERAGE CORP COM 611740101 332 4,660 SH DEFINED 01,02 4,660 0 0
MOTOROLA SOLUTIONS INC COM NEW 620076307 226 4,702 SH DEFINED 01,02 4,702 0 0
MSC INDL DIRECT INC CL A 553530106 451 6,875 SH DEFINED 01,02 6,875 0 0
NEUTRAL TANDEM INC COM 64128B108 10,559 801,161 SH DEFINED 01,02 801,161 0 0
NEW YORK CMNTY BANCORP INC COM 649445103 233 18,561 SH DEFINED 01,02 18,561 0 0
NISOURCE INC COM 65473P105 285 11,533 SH DEFINED 01,02 11,533 0 0
NUTRI SYS INC NEW COM 67069D108 19,203 1,661,180 SH DEFINED 01,02 1,661,180 0 0
OASIS PETE INC NEW COM 674215108 289 11,945 SH DEFINED 01,02 11,945 0 0
OLD REP INTL CORP COM 680223104 420 50,633 SH DEFINED 01,02 50,633 0 0
ONEOK INC NEW COM 682680103 278 6,577 SH DEFINED 01,02 6,577 0 0
ORACLE CORP COM 68389X105 214 7,208 SH DEFINED 01,02 7,208 0 0
OVERLAND STORAGE INC COM NEW 690310206 5,326 2,832,861 SH DEFINED 01,02 2,832,861 0 0
PANERA BREAD CO CL A 69840W108 230 1,647 SH DEFINED 01,02 1,647 0 0
PARKER HANNIFIN CORP COM 701094104 586 7,623 SH DEFINED 01,02 7,623 0 0
PATTERSON COMPANIES INC COM 703395103 235 6,811 SH DEFINED 01,02 6,811 0 0
PENSKE AUTOMOTIVE GRP INC COM 70959W103 300 14,139 SH DEFINED 01,02 14,139 0 0
PEP BOYS MANNY MOE & JACK COM 713278109 198 20,000 SH DEFINED 01,02 20,000 0 0
PIEDMONT NAT GAS INC COM 720186105 201 6,259 SH DEFINED 01,02 6,259 0 0
PILGRIMS PRIDE CORP NEW COM 72147K108 218 30,439 SH DEFINED 01,02 30,439 0 0
PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 533 6,598 SH DEFINED 01,02 6,598 0 0
PORTER BANCORP INC COM 736233107 1,368 906,230 SH DEFINED 01,02 906,230 0 0
PPG INDS INC COM 693506107 220 2,071 SH DEFINED 01,02 2,071 0 0
PRECISION CASTPARTS CORP COM 740189105 214 1,298 SH DEFINED 01,02 1,298 0 0
PRUDENTIAL FINL INC COM 744320102 201 4,148 SH DEFINED 01,02 4,148 0 0
PUBLIC SVC ENTERPRISE GROUP COM 744573106 320 9,853 SH DEFINED 01,02 9,853 0 0
PVH CORP COM 693656100 242 3,117 SH DEFINED 01,02 3,117 0 0
RADIAN GROUP INC COM 750236101 8,055 2,448,300 SH DEFINED 01,02 2,448,300 0 0
RADIOSHACK CORP COM 750438103 480 125,000 SH DEFINED 01,02 125,000 0 0
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
---------------------------- -------------- --------- -------- ------------------ ---------- -------- ---------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
---------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
RANGE RES CORP COM 75281A109 252 4,068 SH DEFINED 01,02 4,068 0 0
RESMED INC COM 761152107 667 21,368 SH DEFINED 01,02 21,368 0 0
ROBERT HALF INTL INC COM 770323103 303 10,592 SH DEFINED 01,02 10,592 0 0
ROPER INDS INC NEW COM 776696106 241 2,441 SH DEFINED 01,02 2,441 0 0
ROSETTA RESOURCES INC COM 777779307 218 5,945 SH DEFINED 01,02 5,945 0 0
ROSS STORES INC COM 778296103 919 14,714 SH DEFINED 01,02 14,714 0 0
RPC INC COM 749660106 152 12,800 SH DEFINED 01,02 12,800 0 0
RYDER SYS INC COM 783549108 231 6,423 SH DEFINED 01,02 6,423 0 0
SABRA HEALTH CARE REIT INC COM 78573L106 2,394 139,913 SH DEFINED 01,02 139,913 0 0
SALLY BEAUTY HLDGS INC COM 79546E104 269 10,461 SH DEFINED 01,02 10,461 0 0
SENSATA TECHNOLOGIES HLDG BV SHS N7902X106 373 13,942 SH DEFINED 01,02 13,942 0 0
SILGAN HOLDINGS INC COM 827048109 374 8,752 SH DEFINED 01,02 8,752 0 0
SILVER WHEATON CORP COM 828336107 343 12,767 SH DEFINED 01,02 12,767 0 0
SMUCKER J M CO COM NEW 832696405 204 2,701 SH DEFINED 01,02 2,701 0 0
SNAP ON INC COM 833034101 607 9,751 SH DEFINED 01,02 9,751 0 0
SOUTHERN CO COM 842587107 260 5,605 SH DEFINED 01,02 5,605 0 0
SOUTHWESTERN ENERGY CO COM 845467109 336 10,528 SH DEFINED 01,02 10,528 0 0
STARBUCKS CORP COM 855244109 297 5,577 SH DEFINED 01,02 5,577 0 0
STARWOOD HOTELS&RESORTS WRLD COM 85590A401 405 7,635 SH DEFINED 01,02 7,635 0 0
STERLING BANCORP COM 859158107 233 23,372 SH DEFINED 01,02 23,372 0 0
STRYKER CORP COM 863667101 407 7,393 SH DEFINED 01,02 7,393 0 0
TARGET CORP COM 87612E106 227 3,899 SH DEFINED 01,02 3,899 0 0
TENET HEALTHCARE CORP COM 88033G100 54 10,291 SH DEFINED 01,02 10,291 0 0
TJX COS INC NEW COM 872540109 390 9,096 SH DEFINED 01,02 9,096 0 0
TORCHMARK CORP COM 891027104 261 5,161 SH DEFINED 01,02 5,161 0 0
TOTAL SYS SVCS INC COM 891906109 246 10,293 SH DEFINED 01,02 10,293 0 0
TRACTOR SUPPLY CO COM 892356106 224 2,699 SH DEFINED 01,02 2,699 0 0
TRANSATLANTIC PETROLEUM LTD SHS G89982105 383 355,000 SH DEFINED 01,02 355,000 0 0
TYSON FOODS INC CL A 902494103 330 17,509 SH DEFINED 01,02 17,509 0 0
UNITED RENTALS INC COM 911363109 221 6,496 SH DEFINED 01,02 6,496 0 0
US BANCORP DEL COM NEW 902973304 792 24,639 SH DEFINED 01,02 24,639 0 0
V F CORP COM 918204108 1,129 8,457 SH DEFINED 01,02 8,457 0 0
VALEANT PHARMACEUTICALS INTL COM 91911K102 292 6,525 SH DEFINED 01,02 6,525 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 430 9,676 SH DEFINED 01,02 9,676 0 0
VISA INC COM CL A 92826C839 437 3,537 SH DEFINED 01,02 3,537 0 0
WALGREEN CO COM 931422109 558 18,876 SH DEFINED 01,02 18,876 0 0
WAL-MART STORES INC COM 931142103 214 3,071 SH DEFINED 01,02 3,071 0 0
WARNER CHILCOTT PLC IRELAND SHS A G94368100 334 18,637 SH DEFINED 01,02 18,637 0 0
WATERS CORP COM 941848103 390 4,909 SH DEFINED 01,02 4,909 0 0
WELLCARE HEALTH PLANS INC COM 94946T106 217 4,095 SH DEFINED 01,02 4,095 0 0
WELLPOINT INC COM 94973V107 398 6,246 SH DEFINED 01,02 6,246 0 0
WESCO INTL INC COM 95082P105 530 9,205 SH DEFINED 01,02 9,205 0 0
WET SEAL INC CL A 961840105 11,179 3,543,219 SH DEFINED 01,02 3,543,219 0 0
WHOLE FOODS MKT INC COM 966837106 294 3,083 SH DEFINED 01,02 3,083 0 0
WILLIAMS COS INC DEL COM 969457100 357 12,395 SH DEFINED 01,02 12,395 0 0
WINDSTREAM CORP COM 97381W104 441 45,675 SH DEFINED 01,02 45,675 0 0
XCEL ENERGY INC COM 98389B100 277 9,752 SH DEFINED 01,02 9,752 0 0
YUM BRANDS INC COM 988498101 385 5,983 SH DEFINED 01,02 5,983 0 0
ZAZA ENERGY CORP COM 98919T100 2,496 554,700 SH DEFINED 01,02 554,700 0 0