0001140361-12-007362.txt : 20120213
0001140361-12-007362.hdr.sgml : 20120213
20120213161427
ACCESSION NUMBER: 0001140361-12-007362
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120213
DATE AS OF CHANGE: 20120213
EFFECTIVENESS DATE: 20120213
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: 12599221
BUSINESS ADDRESS:
STREET 1: 32 OLD SLIP 5TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 2128250400
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: 12/31/2011
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 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 2/13/2012
--------------------------------- --------------------------------- ----------
[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: 155
Form 13F Information Table Value Total: $ 119,067
--------------
(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 759 230,000 SH DEFINED 01,02 230,000 0 0
AETNA INC NEW COM 00817Y108 281 6,664 SH DEFINED 01,02 6,664 0 0
AFFILIATED MANAGERS GROUP COM 008252108 537 5,594 SH DEFINED 01,02 5,594 0 0
ALCOA INC COM 013817101 429 49,618 SH DEFINED 01,02 49,618 0 0
ALLIANCE DATA SYSTEMS CORP COM 018581108 425 4,089 SH DEFINED 01,02 4,089 0 0
AMAZON COM INC COM 023135106 456 2,636 SH DEFINED 01,02 2,636 0 0
AMERICAN CAP LTD COM 02503Y103 341 50,738 SH DEFINED 01,02 50,738 0 0
AMERICAN EXPRESS CO COM 025816109 347 7,350 SH DEFINED 01,02 7,350 0 0
ANNALY CAP MGMT INC COM 035710409 411 25,724 SH DEFINED 01,02 25,724 0 0
ARIBA INC COM NEW 04033V203 471 16,763 SH DEFINED 01,02 16,763 0 0
ASSURED GUARANTY LTD COM G0585R106 242 18,399 SH DEFINED 01,02 18,399 0 0
ATMOS ENERGY CORP COM 049560105 246 7,381 SH DEFINED 01,02 7,381 0 0
AUTOZONE INC COM 053332102 518 1,593 SH DEFINED 01,02 1,593 0 0
BEAM INC COM 073730103 348 6,800 SH DEFINED 01,02 6,800 0 0
BIOGEN IDEC INC COM 09062X103 486 4,415 SH DEFINED 01,02 4,415 0 0
BMC SOFTWARE INC COM 055921100 436 13,291 SH DEFINED 01,02 13,291 0 0
BROCADE COMMUNICATIONS SYS I COM NEW 111621306 146 28,038 SH DEFINED 01,02 28,038 0 0
C&J ENERGY SVCS INC COM 12467B304 3,244 155,000 SH DEFINED 01,02 155,000 0 0
CA INC COM 12673P105 259 12,800 SH DEFINED 01,02 12,800 0 0
CABLEVISION SYS CORP CL A NY CABLVS 12686C109 242 17,012 SH DEFINED 01,02 17,012 0 0
CABOT OIL & GAS CORP COM 127097103 704 9,270 SH DEFINED 01,02 9,270 0 0
CADENCE DESIGN SYSTEM INC COM 127387108 135 12,950 SH DEFINED 01,02 12,950 0 0
CALLON PETE CO DEL COM 13123X102 770 155,000 SH DEFINED 01,02 155,000 0 0
CAMAC ENERGY INC COM 131745101 75 74,308 SH DEFINED 01,02 74,308 0 0
CAMAC ENERGY INC COM 131745101 23 227,500 CALL DEFINED 01,02 227,500 0 0
CAPITAL ONE FINL CORP COM 14040H105 1,001 23,662 SH DEFINED 01,02 23,662 0 0
CAPITAL SR LIVING CORP COM 140475104 2,935 369,633 SH DEFINED 01,02 369,633 0 0
CARNIVAL CORP PAIRED CTF 143658300 219 6,716 SH DEFINED 01,02 6,716 0 0
CBL & ASSOC PPTYS INC COM 124830100 190 12,085 SH DEFINED 01,02 12,085 0 0
CHECK POINT SOFTWARE TECH LT ORD M22465104 546 10,396 SH DEFINED 01,02 10,396 0 0
CHIMERA INVT CORP COM 16934Q109 215 85,772 SH DEFINED 01,02 85,772 0 0
CHUBB CORP COM 171232101 214 3,090 SH DEFINED 01,02 3,090 0 0
CHURCH & DWIGHT INC COM 171340102 254 5,555 SH DEFINED 01,02 5,555 0 0
CIGNA CORPORATION COM 125509109 334 7,948 SH DEFINED 01,02 7,948 0 0
CINEMARK HOLDINGS INC COM 17243V102 410 22,151 SH DEFINED 01,02 22,151 0 0
CITIGROUP INC COM NEW 172967424 1,931 73,413 SH DEFINED 01,02 73,413 0 0
CITRIX SYS INC COM 177376100 577 9,500 SH DEFINED 01,02 9,500 0 0
CLIFFS NATURAL RESOURCES INC COM 18683K101 434 6,961 SH DEFINED 01,02 6,961 0 0
COLLECTIVE BRANDS INC COM 19421W100 7,073 492,217 SH DEFINED 01,02 492,217 0 0
COMPUTER SCIENCES CORP COM 205363104 214 9,009 SH DEFINED 01,02 9,009 0 0
CONAGRA FOODS INC COM 205887102 293 11,103 SH DEFINED 01,02 11,103 0 0
CONCUR TECHNOLOGIES INC COM 206708109 220 4,339 SH DEFINED 01,02 4,339 0 0
CORE LABORATORIES N V COM N22717107 235 2,059 SH DEFINED 01,02 2,059 0 0
CORNING INC COM 219350105 141 10,884 SH DEFINED 01,02 10,884 0 0
CORRECTIONS CORP AMER NEW COM NEW 22025Y407 308 15,134 SH DEFINED 01,02 15,134 0 0
COSAN LTD SHS A G25343107 228 20,776 SH DEFINED 01,02 20,776 0 0
COSTCO WHSL CORP NEW COM 22160K105 599 7,194 SH DEFINED 01,02 7,194 0 0
COVENTRY HEALTH CARE INC COM 222862104 368 12,104 SH DEFINED 01,02 12,104 0 0
CVS CAREMARK CORPORATION COM 126650100 398 9,768 SH DEFINED 01,02 9,768 0 0
DANAHER CORP DEL COM 235851102 794 16,877 SH DEFINED 01,02 16,877 0 0
DECKERS OUTDOOR CORP COM 243537107 285 3,775 SH DEFINED 01,02 3,775 0 0
DELL INC COM 24702R101 338 23,094 SH DEFINED 01,02 23,094 0 0
DENTSPLY INTL INC NEW COM 249030107 328 9,361 SH DEFINED 01,02 9,361 0 0
DIAMOND OFFSHORE DRILLING IN COM 25271C102 409 7,394 SH DEFINED 01,02 7,394 0 0
DISCOVER FINL SVCS COM 254709108 364 15,180 SH DEFINED 01,02 15,180 0 0
DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 279 3,977 SH DEFINED 01,02 3,977 0 0
DONNELLEY R R & SONS CO COM 257867101 293 20,294 SH DEFINED 01,02 20,294 0 0
DRESSER-RAND GROUP INC COM 261608103 390 7,817 SH DEFINED 01,02 7,817 0 0
DST SYS INC DEL COM 233326107 319 7,015 SH DEFINED 01,02 7,015 0 0
DTE ENERGY CO COM 233331107 214 3,936 SH DEFINED 01,02 3,936 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
---------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
E M C CORP MASS COM 268648102 446 20,715 SH DEFINED 01,02 20,715 0 0
E TRADE FINANCIAL CORP COM NEW 269246401 203 25,550 SH DEFINED 01,02 25,550 0 0
ENERGEN CORP COM 29265N108 320 6,399 SH DEFINED 01,02 6,399 0 0
ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 696 21,818 SH DEFINED 01,02 21,818 0 0
EVEREST RE GROUP LTD COM G3223R108 261 3,099 SH DEFINED 01,02 3,099 0 0
FEDEX CORP COM 31428X106 247 2,957 SH DEFINED 01,02 2,957 0 0
FIRST NIAGARA FINL GP INC COM 33582V108 279 32,287 SH DEFINED 01,02 32,287 0 0
FIRSTENERGY CORP COM 337932107 319 7,212 SH DEFINED 01,02 7,212 0 0
FLEXTRONICS INTL LTD ORD Y2573F102 413 73,039 SH DEFINED 01,02 73,039 0 0
FLOWERS FOODS INC COM 343498101 334 17,576 SH DEFINED 01,02 17,576 0 0
FOSSIL INC COM 349882100 247 3,117 SH DEFINED 01,02 3,117 0 0
GARDNER DENVER INC COM 365558105 339 4,396 SH DEFINED 01,02 4,396 0 0
GARTNER INC COM 366651107 327 9,401 SH DEFINED 01,02 9,401 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 2,723 30,113 SH DEFINED 01,02 30,113 0 0
GRAINGER W W INC COM 384802104 858 4,583 SH DEFINED 01,02 4,583 0 0
GRAN TIERRA ENERGY INC COM 38500T101 684 142,500 SH DEFINED 01,02 142,500 0 0
GULFPORT ENERGY CORP COM NEW 402635304 3,387 115,000 SH DEFINED 01,02 115,000 0 0
HARTFORD FINL SVCS GROUP INC COM 416515104 429 26,371 SH DEFINED 01,02 26,371 0 0
HASBRO INC COM 418056107 617 19,337 SH DEFINED 01,02 19,337 0 0
HERALD NATL BK NEW YORK COM 42703Q104 4,234 1,206,328 SH DEFINED 01,02 1,206,328 0 0
HONEYWELL INTL INC COM 438516106 473 8,703 SH DEFINED 01,02 8,703 0 0
INGERSOLL-RAND PLC SHS G47791101 437 14,353 SH DEFINED 01,02 14,353 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 736 4,003 SH DEFINED 01,02 4,003 0 0
INTUIT COM 461202103 254 4,839 SH DEFINED 01,02 4,839 0 0
JPMORGAN CHASE & CO COM 46625H100 386 11,600 SH DEFINED 01,02 11,600 0 0
KELLOGG CO COM 487836108 275 5,437 SH DEFINED 01,02 5,437 0 0
KIMCO RLTY CORP COM 49446R109 280 17,265 SH DEFINED 01,02 17,265 0 0
KINROSS GOLD CORP COM NO PAR 496902404 188 16,488 SH DEFINED 01,02 16,488 0 0
LIFE TECHNOLOGIES CORP COM 53217V109 499 12,825 SH DEFINED 01,02 12,825 0 0
LINN ENERGY LLC UNIT LTD LIAB 536020100 250 6,604 SH DEFINED 01,02 6,604 0 0
LOEWS CORP COM 540424108 388 10,300 SH DEFINED 01,02 10,300 0 0
LUMBER LIQUIDATORS HLDGS INC COM 55003T107 1,766 100,000 SH DEFINED 01,02 100,000 0 0
MACERICH CO COM 554382101 222 4,380 SH DEFINED 01,02 4,380 0 0
MATTEL INC COM 577081102 422 15,219 SH DEFINED 01,02 15,219 0 0
MCKESSON CORP COM 58155Q103 517 6,630 SH DEFINED 01,02 6,630 0 0
MCMORAN EXPLORATION CO COM 582411104 3,856 265,000 SH DEFINED 01,02 265,000 0 0
MERCADOLIBRE INC COM 58733R102 281 3,530 SH DEFINED 01,02 3,530 0 0
METTLER TOLEDO INTERNATIONAL COM 592688105 468 3,169 SH DEFINED 01,02 3,169 0 0
MFA FINANCIAL INC COM 55272X102 136 20,308 SH DEFINED 01,02 20,308 0 0
NABORS INDUSTRIES LTD SHS G6359F103 472 27,197 SH DEFINED 01,02 27,197 0 0
NEUTRAL TANDEM INC COM 64128B108 7,415 693,609 SH DEFINED 01,02 693,609 0 0
NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 438 14,495 SH DEFINED 01,02 14,495 0 0
NRG ENERGY INC COM NEW 629377508 385 21,230 SH DEFINED 01,02 21,230 0 0
OCEANEERING INTL INC COM 675232102 212 4,601 SH DEFINED 01,02 4,601 0 0
OVERLAND STORAGE INC COM NEW 690310206 7,082 2,832,861 SH DEFINED 01,02 2,832,861 0 0
PENTAIR INC COM 709631105 452 13,566 SH DEFINED 01,02 13,566 0 0
PERRIGO CO COM 714290103 272 2,796 SH DEFINED 01,02 2,796 0 0
PORTER BANCORP INC COM 736233107 2,617 902,530 SH DEFINED 01,02 902,530 0 0
PRICE T ROWE GROUP INC COM 74144T108 356 6,247 SH DEFINED 01,02 6,247 0 0
PRICELINE COM INC COM NEW 741503403 277 593 SH DEFINED 01,02 593 0 0
PROASSURANCE CORP COM 74267C106 405 5,074 SH DEFINED 01,02 5,074 0 0
RANGE RES CORP COM 75281A109 694 11,198 SH DEFINED 01,02 11,198 0 0
REGAL ENTMT GROUP CL A 758766109 243 20,393 SH DEFINED 01,02 20,393 0 0
REGIONS FINANCIAL CORP NEW COM 7591EP100 48 11,164 SH DEFINED 01,02 11,164 0 0
ROCKWOOD HLDGS INC COM 774415103 208 5,273 SH DEFINED 01,02 5,273 0 0
ROYAL GOLD INC COM 780287108 332 4,917 SH DEFINED 01,02 4,917 0 0
SABRA HEALTH CARE REIT INC COM 78573L106 16,229 1,342,353 SH DEFINED 01,02 1,342,353 0 0
SANDRIDGE ENERGY INC COM 80007P307 204 25,000 SH DEFINED 01,02 25,000 0 0
SCHWAB CHARLES CORP NEW COM 808513105 243 21,583 SH DEFINED 01,02 21,583 0 0
SIGNATURE BK NEW YORK N Y COM 82669G104 234 3,905 SH DEFINED 01,02 3,905 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
---------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
SINA CORP ORD G81477104 227 4,365 SH DEFINED 01,02 4,365 0 0
SNAP ON INC COM 833034101 512 10,109 SH DEFINED 01,02 10,109 0 0
SOUTHERN CO COM 842587107 256 5,534 SH DEFINED 01,02 5,534 0 0
SOUTHWESTERN ENERGY CO COM 845467109 321 10,062 SH DEFINED 01,02 10,062 0 0
SPECTRA ENERGY CORP COM 847560109 645 20,990 SH DEFINED 01,02 20,990 0 0
STERICYCLE INC COM 858912108 298 3,829 SH DEFINED 01,02 3,829 0 0
SUN HEALTHCARE GROUP INC NEW COM 86677E100 1,563 402,899 SH DEFINED 01,02 402,899 0 0
TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 405 10,869 SH DEFINED 01,02 10,869 0 0
TARGET CORP COM 87612E106 482 9,415 SH DEFINED 01,02 9,415 0 0
TAUBMAN CTRS INC COM 876664103 262 4,218 SH DEFINED 01,02 4,218 0 0
TD AMERITRADE HLDG CORP COM 87236Y108 350 22,373 SH DEFINED 01,02 22,373 0 0
TECH DATA CORP COM 878237106 214 4,321 SH DEFINED 01,02 4,321 0 0
TFS FINL CORP COM 87240R107 181 20,246 SH DEFINED 01,02 20,246 0 0
TOREADOR RES CORP COM 891050106 2,033 394,700 SH DEFINED 01,02 394,700 0 0
TOWERS WATSON & CO CL A 891894107 267 4,458 SH DEFINED 01,02 4,458 0 0
TRACTOR SUPPLY CO COM 892356106 219 3,115 SH DEFINED 01,02 3,115 0 0
TRANSATLANTIC PETROLEUM LTD SHS G89982105 465 355,000 SH DEFINED 01,02 355,000 0 0
TRIANGLE PETE CORP COM NEW 89600B201 140 23,500 SH DEFINED 01,02 23,500 0 0
ULTRA PETROLEUM CORP COM 903914109 858 28,954 SH DEFINED 01,02 28,954 0 0
UNITED STATES STL CORP NEW COM 912909108 241 9,108 SH DEFINED 01,02 9,108 0 0
UNUM GROUP COM 91529Y106 212 10,070 SH DEFINED 01,02 10,070 0 0
URS CORP NEW COM 903236107 293 8,330 SH DEFINED 01,02 8,330 0 0
V F CORP COM 918204108 325 2,559 SH DEFINED 01,02 2,559 0 0
VENOCO INC COM 92275P307 1,179 174,099 SH DEFINED 01,02 174,099 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 230 5,740 SH DEFINED 01,02 5,740 0 0
VMWARE INC CL A COM 928563402 308 3,706 SH DEFINED 01,02 3,706 0 0
WAL MART STORES INC COM 931142103 448 7,490 SH DEFINED 01,02 7,490 0 0
WALGREEN CO COM 931422109 255 7,716 SH DEFINED 01,02 7,716 0 0
WATSON PHARMACEUTICALS INC COM 942683103 347 5,744 SH DEFINED 01,02 5,744 0 0
WEIGHT WATCHERS INTL INC NEW COM 948626106 266 4,831 SH DEFINED 01,02 4,831 0 0
WELLCARE HEALTH PLANS INC COM 94946T106 209 3,975 SH DEFINED 01,02 3,975 0 0
WHITING PETE CORP NEW COM 966387102 293 6,269 SH DEFINED 01,02 6,269 0 0
WILEY JOHN & SONS INC CL A 968223206 479 10,782 SH DEFINED 01,02 10,782 0 0
XEROX CORP COM 984121103 320 40,227 SH DEFINED 01,02 40,227 0 0
XL GROUP PLC SHS G98290102 271 13,706 SH DEFINED 01,02 13,706 0 0