0001140361-13-005688.txt : 20130211
0001140361-13-005688.hdr.sgml : 20130211
20130211134812
ACCESSION NUMBER: 0001140361-13-005688
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130211
DATE AS OF CHANGE: 20130211
EFFECTIVENESS DATE: 20130211
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: 13590617
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: 12/31/2012
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 2/11/2013
--------------------------------- --------------------------------- ----------
[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: 153
Form 13F Information Table Value Total: $ 120,076
--------------
(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 7,181 3,279,055 SH DEFINED 01,02 3,279,055 0 0
ACE LTD SHS H0023R105 479 5,998 SH DEFINED 01,02 5,998 0 0
AGRIUM INC COM 008916108 320 3,208 SH DEFINED 01,02 3,208 0 0
ALASKA AIR GROUP INC COM 011659109 353 8,183 SH DEFINED 01,02 8,183 0 0
ALLSCRIPTS HEALTHCARE SOLUTN COM 01988P108 96 10,175 SH DEFINED 01,02 10,175 0 0
ALLSTATE CORP COM 020002101 320 7,961 SH DEFINED 01,02 7,961 0 0
AMEREN CORP COM 023608102 327 10,629 SH DEFINED 01,02 10,629 0 0
AMERICAN CAPITAL AGENCY CORP COM 02503X105 378 13,084 SH DEFINED 01,02 13,084 0 0
AMERICAN EAGLE OUTFITTERS NE COM 02553E106 203 9,892 SH DEFINED 01,02 9,892 0 0
AMERIGAS PARTNERS L P UNIT L P INT 030975106 412 10,624 SH DEFINED 01,02 10,624 0 0
AOL INC COM 00184X105 308 10,417 SH DEFINED 01,02 10,417 0 0
AON PLC SHS CL A G0408V102 300 5,387 SH DEFINED 01,02 5,387 0 0
ARCH CAP GROUP LTD ORD G0450A105 325 7,378 SH DEFINED 01,02 7,378 0 0
ASPEN INSURANCE HOLDINGS LTD SHS G05384105 202 6,282 SH DEFINED 01,02 6,282 0 0
ASSURANT INC COM 04621X108 202 5,834 SH DEFINED 01,02 5,834 0 0
AT&T INC COM 00206R102 512 15,199 SH DEFINED 01,02 15,199 0 0
AVNET INC COM 053807103 251 8,198 SH DEFINED 01,02 8,198 0 0
BARD C R INC COM 067383109 452 4,621 SH DEFINED 01,02 4,621 0 0
BOEING CO COM 097023105 241 3,199 SH DEFINED 01,02 3,199 0 0
BROCADE COMMUNICATIONS SYS I COM NEW 111621306 219 41,067 SH DEFINED 01,02 41,067 0 0
BROWN & BROWN INC COM 115236101 255 10,008 SH DEFINED 01,02 10,008 0 0
BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 312 6,873 SH DEFINED 01,02 6,873 0 0
CALLON PETE CO DEL COM 13123X102 412 87,600 SH DEFINED 01,02 87,600 0 0
CAMAC ENERGY INC COM 131745101 134 227,500 CALL DEFINED 01,02 227,500 0 0
CARPENTER TECHNOLOGY CORP COM 144285103 289 5,594 SH DEFINED 01,02 5,594 0 0
CBS CORP NEW CL B 124857202 518 13,614 SH DEFINED 01,02 13,614 0 0
CENTENE CORP DEL COM 15135B101 203 4,942 SH DEFINED 01,02 4,942 0 0
CHEVRON CORP NEW COM 166764100 330 3,048 SH DEFINED 01,02 3,048 0 0
CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 278 5,992 SH DEFINED 01,02 5,992 0 0
CINCINNATI FINL CORP COM 172062101 627 16,018 SH DEFINED 01,02 16,018 0 0
CINTAS CORP COM 172908105 411 10,045 SH DEFINED 01,02 10,045 0 0
CITIGROUP INC COM NEW 172967424 974 24,625 SH DEFINED 01,02 24,625 0 0
COACH INC COM 189754104 258 4,656 SH DEFINED 01,02 4,656 0 0
COLGATE PALMOLIVE CO COM 194162103 365 3,492 SH DEFINED 01,02 3,492 0 0
COMPUTER SCIENCES CORP COM 205363104 203 5,078 SH DEFINED 01,02 5,078 0 0
CONAGRA FOODS INC COM 205887102 207 7,006 SH DEFINED 01,02 7,006 0 0
COPART INC COM 217204106 318 10,790 SH DEFINED 01,02 10,790 0 0
CULLEN FROST BANKERS INC COM 229899109 405 7,457 SH DEFINED 01,02 7,457 0 0
DARDEN RESTAURANTS INC COM 237194105 213 4,737 SH DEFINED 01,02 4,737 0 0
DELL INC COM 24702R101 145 14,345 SH DEFINED 01,02 14,345 0 0
DIGITAL GENERATION INC COM 25400B108 13,540 1,241,080 SH DEFINED 01,02 1,241,080 0 0
DIGITAL RLTY TR INC COM 253868103 201 2,956 SH DEFINED 01,02 2,956 0 0
DISCOVER FINL SVCS COM 254709108 231 5,991 SH DEFINED 01,02 5,991 0 0
DOMINION RES INC VA NEW COM 25746U109 342 6,595 SH DEFINED 01,02 6,595 0 0
DOVER CORP COM 260003108 365 5,562 SH DEFINED 01,02 5,562 0 0
DU PONT E I DE NEMOURS & CO COM 263534109 619 13,772 SH DEFINED 01,02 13,772 0 0
DUN & BRADSTREET CORP DEL NE COM 26483E100 211 2,683 SH DEFINED 01,02 2,683 0 0
EASTMAN CHEM CO COM 277432100 363 5,335 SH DEFINED 01,02 5,335 0 0
EBAY INC COM 278642103 560 10,988 SH DEFINED 01,02 10,988 0 0
ELECTRONIC ARTS INC COM 285512109 202 13,924 SH DEFINED 01,02 13,924 0 0
ENCANA CORP COM 292505104 234 11,847 SH DEFINED 01,02 11,847 0 0
ENERGIZER HLDGS INC COM 29266R108 241 3,010 SH DEFINED 01,02 3,010 0 0
ENTERPRISE PRODS PARTNERS L COM 293792107 359 7,165 SH DEFINED 01,02 7,165 0 0
ERIE INDTY CO CL A 29530P102 276 3,992 SH DEFINED 01,02 3,992 0 0
EXELIS INC COM 30162A108 144 12,817 SH DEFINED 01,02 12,817 0 0
EXXON MOBIL CORP COM 30231G102 603 6,970 SH DEFINED 01,02 6,970 0 0
FEDEX CORP COM 31428X106 231 2,518 SH DEFINED 01,02 2,518 0 0
FIRST AMERN FINL CORP COM 31847R102 354 14,678 SH DEFINED 01,02 14,678 0 0
FIRST REP BK SAN FRANCISCO C COM 33616C100 656 19,997 SH DEFINED 01,02 19,997 0 0
FRANKLIN RES INC COM 354613101 206 1,636 SH DEFINED 01,02 1,636 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
---------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
GALLAGHER ARTHUR J & CO COM 363576109 378 10,900 SH DEFINED 01,02 10,900 0 0
GENERAL MLS INC COM 370334104 334 8,272 SH DEFINED 01,02 8,272 0 0
GENERAL MTRS CO COM 37045V100 564 19,555 SH DEFINED 01,02 19,555 0 0
GLEACHER & CO INC COM 377341102 204 272,490 SH DEFINED 01,02 272,490 0 0
GLOBAL PMTS INC COM 37940X102 202 4,459 SH DEFINED 01,02 4,459 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 638 5,000 SH DEFINED 01,02 5,000 0 0
GOODYEAR TIRE & RUBR CO COM 382550101 202 14,639 SH DEFINED 01,02 14,639 0 0
GRAPHIC PACKAGING HLDG CO COM 388689101 253 39,091 SH DEFINED 01,02 39,091 0 0
HANESBRANDS INC COM 410345102 202 5,627 SH DEFINED 01,02 5,627 0 0
HASBRO INC COM 418056107 448 12,491 SH DEFINED 01,02 12,491 0 0
HENRY JACK & ASSOC INC COM 426281101 220 5,614 SH DEFINED 01,02 5,614 0 0
HESS CORP COM 42809H107 354 6,682 SH DEFINED 01,02 6,682 0 0
HUNTSMAN CORP COM 447011107 225 14,176 SH DEFINED 01,02 14,176 0 0
HYATT HOTELS CORP COM CL A 448579102 361 9,362 SH DEFINED 01,02 9,362 0 0
ILLINOIS TOOL WKS INC COM 452308109 202 3,314 SH DEFINED 01,02 3,314 0 0
INGREDION INC COM 457187102 210 3,258 SH DEFINED 01,02 3,258 0 0
JAKKS PAC INC COM 47012E106 1,229 98,126 SH DEFINED 01,02 98,126 0 0
JONES LANG LASALLE INC COM 48020Q107 255 3,034 SH DEFINED 01,02 3,034 0 0
KINROSS GOLD CORP COM NO PAR 496902404 133 13,661 SH DEFINED 01,02 13,661 0 0
KKR & CO L P DEL COM UNITS 48248M102 203 13,299 SH DEFINED 01,02 13,299 0 0
LENNOX INTL INC COM 526107107 329 6,267 SH DEFINED 01,02 6,267 0 0
LINN ENERGY LLC UNIT LTD LIAB 536020100 564 16,003 SH DEFINED 01,02 16,003 0 0
LOCKHEED MARTIN CORP COM 539830109 245 2,657 SH DEFINED 01,02 2,657 0 0
LOEWS CORP COM 540424108 526 12,896 SH DEFINED 01,02 12,896 0 0
LSI CORPORATION COM 502161102 143 20,217 SH DEFINED 01,02 20,217 0 0
MAGNEGAS CORP COM NEW 55939L202 388 250,000 SH DEFINED 01,02 250,000 0 0
MARATHON OIL CORP COM 565849106 393 12,831 SH DEFINED 01,02 12,831 0 0
MARSH & MCLENNAN COS INC COM 571748102 323 9,383 SH DEFINED 01,02 9,383 0 0
MARTIN MARIETTA MATLS INC COM 573284106 270 2,868 SH DEFINED 01,02 2,868 0 0
MEDNAX INC COM 58502B106 271 3,409 SH DEFINED 01,02 3,409 0 0
MEDTRONIC INC COM 585055106 450 10,968 SH DEFINED 01,02 10,968 0 0
MERCK & CO INC NEW COM 58933Y105 429 10,484 SH DEFINED 01,02 10,484 0 0
MICROSOFT CORP COM 594918104 219 8,201 SH DEFINED 01,02 8,201 0 0
MODUSLINK GLOBAL SOLUTIONS I COM 60786L107 3,901 1,345,000 SH DEFINED 01,02 1,345,000 0 0
MOLEX INC COM 608554101 398 14,579 SH DEFINED 01,02 14,579 0 0
MURPHY OIL CORP COM 626717102 388 6,512 SH DEFINED 01,02 6,512 0 0
NATIONAL FUEL GAS CO N J COM 636180101 203 4,004 SH DEFINED 01,02 4,004 0 0
NEUTRAL TANDEM INC COM 64128B108 3,363 1,308,368 SH DEFINED 01,02 1,308,368 0 0
NORTHROP GRUMMAN CORP COM 666807102 294 4,357 SH DEFINED 01,02 4,357 0 0
NU SKIN ENTERPRISES INC CL A 67018T105 285 7,700 SH DEFINED 01,02 7,700 0 0
NUSTAR ENERGY LP UNIT COM 67058H102 209 4,927 SH DEFINED 01,02 4,927 0 0
NUTRI SYS INC NEW COM 67069D108 10,891 1,332,997 SH DEFINED 01,02 1,332,997 0 0
NV ENERGY INC COM 67073Y106 376 20,714 SH DEFINED 01,02 20,714 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 410 5,347 SH DEFINED 01,02 5,347 0 0
OVERLAND STORAGE INC COM NEW 690310206 5,099 2,897,218 SH DEFINED 01,02 2,897,218 0 0
PATTERSON UTI ENERGY INC COM 703481101 243 13,026 SH DEFINED 01,02 13,026 0 0
PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 345 7,621 SH DEFINED 01,02 7,621 0 0
PORTER BANCORP INC COM 736233107 662 906,230 SH DEFINED 01,02 906,230 0 0
PPG INDS INC COM 693506107 552 4,080 SH DEFINED 01,02 4,080 0 0
PRECISION CASTPARTS CORP COM 740189105 295 1,557 SH DEFINED 01,02 1,557 0 0
PROSPERITY BANCSHARES INC COM 743606105 241 5,749 SH DEFINED 01,02 5,749 0 0
PULTE GROUP INC COM 745867101 189 10,430 SH DEFINED 01,02 10,430 0 0
QUALCOMM INC COM 747525103 359 5,805 SH DEFINED 01,02 5,805 0 0
RADIAN GROUP INC COM 750236101 844 138,100 SH DEFINED 01,02 138,100 0 0
RADIOSHACK CORP COM 750438103 265 125,000 SH DEFINED 01,02 125,000 0 0
REGAL ENTMT GROUP CL A 758766109 157 11,244 SH DEFINED 01,02 11,244 0 0
REGENCY CTRS CORP COM 758849103 203 4,314 SH DEFINED 01,02 4,314 0 0
REGIONS FINL CORP NEW COM 7591EP100 313 43,921 SH DEFINED 01,02 43,921 0 0
REINSURANCE GROUP AMER INC COM NEW 759351604 311 5,808 SH DEFINED 01,02 5,808 0 0
RELIANCE STEEL & ALUMINUM CO COM 759509102 216 3,478 SH DEFINED 01,02 3,478 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
---------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
ROI ACQUISITION CORP COM 74966A104 22 1,875,000 SH DEFINED 01,02 1,875,000 0 0
RPC INC COM 749660106 218 17,811 SH DEFINED 01,02 17,811 0 0
SAIC INC COM 78390X101 126 11,125 SH DEFINED 01,02 11,125 0 0
SCHLUMBERGER LTD COM 806857108 205 2,963 SH DEFINED 01,02 2,963 0 0
SENIOR HSG PPTYS TR SH BEN INT 81721M109 201 8,489 SH DEFINED 01,02 8,489 0 0
SERVICE CORP INTL COM 817565104 144 10,435 SH DEFINED 01,02 10,435 0 0
SMUCKER J M CO COM NEW 832696405 206 2,386 SH DEFINED 01,02 2,386 0 0
SOUTHWEST AIRLS CO COM 844741108 656 64,087 SH DEFINED 01,02 64,087 0 0
STAPLES INC COM 855030102 282 24,759 SH DEFINED 01,02 24,759 0 0
STATE STR CORP COM 857477103 203 4,316 SH DEFINED 01,02 4,316 0 0
STERLING BANCORP COM 859158107 371 40,729 SH DEFINED 01,02 40,729 0 0
STILLWATER MNG CO COM 86074Q102 10,445 817,281 SH DEFINED 01,02 817,281 0 0
TARGET CORP COM 87612E106 202 3,410 SH DEFINED 01,02 3,410 0 0
TERADYNE INC COM 880770102 315 18,664 SH DEFINED 01,02 18,664 0 0
TIFFANY & CO NEW COM 886547108 204 3,559 SH DEFINED 01,02 3,559 0 0
TJX COS INC NEW COM 872540109 249 5,869 SH DEFINED 01,02 5,869 0 0
TRANSATLANTIC PETROLEUM LTD SHS G89982105 559 673,700 SH DEFINED 01,02 673,700 0 0
TRAVELERS COMPANIES INC COM 89417E109 669 9,319 SH DEFINED 01,02 9,319 0 0
TYCO INTERNATIONAL LTD SHS H89128104 201 6,874 SH DEFINED 01,02 6,874 0 0
U S AIRWAYS GROUP INC COM 90341W108 284 21,043 SH DEFINED 01,02 21,043 0 0
ULTRA PETROLEUM CORP COM 903914109 195 10,730 SH DEFINED 01,02 10,730 0 0
UNITED PARCEL SERVICE INC CL B 911312106 260 3,527 SH DEFINED 01,02 3,527 0 0
VALERO ENERGY CORP NEW COM 91913Y100 202 5,913 SH DEFINED 01,02 5,913 0 0
VALMONT INDS INC COM 920253101 202 1,476 SH DEFINED 01,02 1,476 0 0
VERISIGN INC COM 92343E102 201 5,186 SH DEFINED 01,02 5,186 0 0
VIACOM INC NEW CL B 92553P201 493 9,349 SH DEFINED 01,02 9,349 0 0
WATSCO INC COM 942622200 241 3,219 SH DEFINED 01,02 3,219 0 0
WELLS FARGO & CO NEW COM 949746101 209 6,122 SH DEFINED 01,02 6,122 0 0
WESTLAKE CHEM CORP COM 960413102 248 3,127 SH DEFINED 01,02 3,127 0 0
WET SEAL INC CL A 961840105 18,162 6,580,535 SH DEFINED 01,02 6,580,535 0 0
WISCONSIN ENERGY CORP COM 976657106 323 8,778 SH DEFINED 01,02 8,778 0 0
XEROX CORP COM 984121103 186 27,326 SH DEFINED 01,02 27,326 0 0
ZAZA ENERGY CORP COM 98919T100 1,137 554,700 SH DEFINED 01,02 554,700 0 0