-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, I8D4+I281+Z2tgH7g1Pkt++KWPhXnsVMUJe0f+0oU6KIZnzKdyrAV0dtq6SzRhlr QF/iebA5KdSOXo6sAKKSqw== 0001144204-09-059999.txt : 20091116 0001144204-09-059999.hdr.sgml : 20091116 20091116165419 ACCESSION NUMBER: 0001144204-09-059999 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Bruce & Co., Inc. CENTRAL INDEX KEY: 0001358331 IRS NUMBER: 363481448 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11869 FILM NUMBER: 091187750 BUSINESS ADDRESS: STREET 1: 20 N. WACKER DRIVE STREET 2: SUITE 2414 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312 236-9160 MAIL ADDRESS: STREET 1: 20 N. WACKER DRIVE STREET 2: SUITE 2414 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 v166717_13f-hr.txt FORM 13F-HR 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, 2009 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: Bruce & Co., Inc. Address: 20 N. Wacker Drive Suite 2414 Chicago, IL 60606 Form 13F File Number: 028-11869 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: R. Jeffrey Bruce Title: Vice President Phone: 312-236-9160 Signature, Place, and Date of Signing: /s/ R. Jeffrey Bruce Chicago, IL 11-16-2009 --------------------- ------------- ---------- [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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 59 Form 13F Information Table Value Total: $ 157,314 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE 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 - -------------- -------------- ----- -------- ------- --- ---- ---------- -------- ---- ------ ---- Abbott Common 002824100 3,763 80,000 SH sole none 80,000 Advanced Life Sciences Common 00765H107 27 107,410 SH sole none 107,410 AES CORP Pfd. C Pfd 6.75% 00808N202 2,463 57,300 SH sole none 57,300 Alanco Technologies Common 011612603 665 1,663,656 SH sole none 1,663,656 AMERCO Common 023586100 7,000 163,750 SH sole none 163,750 AMERICA SERVICE Common 02364L109 11,270 683,097 SH sole none 683,097 American Italian Pasta Common 027070101 12,400 459,800 SH sole none 459,800 ANTIGENICS Cv 5.25% 037032AC3 9,456 14,549,000 PRN sole none 14,549,000 ARENA RESOURCES INC Common 040049108 4,685 147,100 SH sole none 147,100 ATP Oil & Gas Common 00208J108 5,219 307,900 SH sole none 307,900 Calpine Common 131347304 3,566 319,849 SH sole none 319,849 C & D Technologies Cv 5.25% 124661AA7 2,721 4,389,000 PRN sole none 4,389,000 C & D Technologies Cv 5.25% 124661AD1 1,395 2,250,000 PRN sole none 2,250,000 C & D Technologies Cv 5.5% 124661ac3 3,420 4,750,000 PRN sole none 4,750,000 Cell Genesys Cv 3.125% 150921AB0 580 1,000,000 PRN sole none 1,000,000 Cell Genesys Cv 3.125% 150921ac8 892 1,860,000 PRN sole none 1,860,000 CELL THERAPEUTICS IN Cv 4% 150934AF4 2,547 2,830,000 PRN sole none 2,830,000 CELL THERAPEUTICS IN Cv 5.75%/11 150934AL1 5,184 6,480,000 PRN sole none 6,480,000 CELL THERAPEUTICS IN Cv 7.5% 150934AK3 1,200 1,500,000 PRN sole none 1,500,000 CIPHERGEN Cv 4.50% 17252YAB0 94 135,000 PRN sole none 135,000 CIPHERGEN Cv 7.0% 17252YAC8 1,680 2,400,000 PRN sole none 2,400,000 DeCode Genetics Cv 3.5% 243586AB0 4,267 28,447,000 PRN sole none 28,447,000 Double Eagle Common 258570209 781 156,919 SH sole none 156,919 DURECT CORP Common 266605104 2,600 1,215,973 SH sole none 1,215,973 EDAP Common 268311107 2,866 818,911 SH sole none 818,911 EDGE PETE CORP DEL Pfd 5.5% 279862205 326 186,534 SH sole none 186,534 ELAN CORP PLC Common 284131208 1,450 221,400 SH sole none 221,400 Endeavor International Cv 6.0% 29257MAB6 7,202 9,900,000 PRN sole none 9,900,000 Exxon Common 30231G102 362 5,184 SH sole none 5,184 Flotek Cv 5.25% 343389AA0 2,700 4,500,000 PRN sole none 4,500,000 FPL Group Common 302571104 1,020 17,900 SH sole none 17,900 GAINSCO INC Common 363127200 3,129 240,727 SH sole none 240,727 HEALTH GRADES INC Common 42218Q102 851 217,800 SH sole none 217,800 Hercules Offshore Common 427093109 317 80,000 SH sole none 80,000 Hospira Common 441060100 385 10,000 SH sole none 10,000 Human Genome Cv 2.25% 444903AK4 2,745 2,000,000 PRN sole none 2,000,000 IBASIS INC Common 450732102 1,652 826,286 SH sole none 826,286 Incyte Cv 3.5% 45337CAE2 2,000 2,150,000 PRN sole none 2,150,000 Integrys Energy Common 92931B106 1,277 42,594 SH sole none 42,594 INTERNET CAPITAL Common 46059C205 1,253 184,300 SH sole none 184,300 ISIS PHARMACEUTICALS Cv 2.625% 464337AD6 2,200 2,000,000 PRN sole none 2,000,000 ISIS PHARMACEUTICALS Cv 2.625% 464337AD6 2,100 1,900,000 PRN sole none 1,900,000 Kinross Common 496902404 6,258 344,848 SH sole none 344,848 Kellogg Common 487836108 207 4,436 SH sole none 4,436 Level 3 Cv 6.0% 52729nas9 1,030 1,060,000 PRN sole none 1,060,000 Mannkind Cv 3.75% 56400PAA0 5,330 8,200,000 PRN sole none 8,200,000 MERCK & CO INC Common 589331107 1,876 67,000 SH sole none 67,000 Midway Games Cv 6% 598148AB0 540 2,700,000 PRN sole none 2,700,000 NEXMED INC Common 652903105 200 1,668,415 SH sole none 1,668,415 Titan Wheel Common 88830m102 1,200 150,000 SH sole none 150,000 Omega Protein Common 68210P107 3,008 620,270 SH sole none 620,270 Oscient Pharm Corp Cv 12.5% 68812RAD7 168 3,373,466 PRN sole none 3,373,466 PFIZER INC Common 717081103 2,388 159,200 SH sole none 159,200 Pepco Holding Common 713291102 818 60,900 SH sole none 60,900 RLI CORP Common 749607107 3,404 76,000 SH sole none 76,000 Astrotech Common 846243400 3,158 1,120,073 SH sole none 1,120,073 Vion Pharmacueticals Cv 7.75% 927624AA4 3,922 15,690,000 PRN sole none 15,690,000 Viropharma Cv 2% 928241AH1 1,650 3,000,000 PRN sole none 3,000,000 XEL Energy Common 98389B100 447 24,311 SH sole none 24,311
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