-----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, NOTCh1KsczKn5gpkM1XzqeZYZ9V9qWoIqU0EZzCPvJqMdO8fMixOgY8QwgRyobaf Oi5M59v+whyOOxAh9xvfTQ== 0000928475-06-000261.txt : 20061114 0000928475-06-000261.hdr.sgml : 20061114 20061114113940 ACCESSION NUMBER: 0000928475-06-000261 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061114 DATE AS OF CHANGE: 20061114 EFFECTIVENESS DATE: 20061114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ICAHN CARL C ET AL CENTRAL INDEX KEY: 0000921669 IRS NUMBER: 000000000 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04333 FILM NUMBER: 061212431 BUSINESS ADDRESS: STREET 1: C/O ICAHN ASSOCIATES CORP. STREET 2: 767 FIFTH AVE., SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2127024300 MAIL ADDRESS: STREET 1: C/O ICAHN ASSOCIATES CORP. STREET 2: 767 FIFTH AVE., SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10153 13F-HR 1 form13fhrcci93006.txt CCI 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, 2006 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: Carl C. Icahn, Individual Address: c/o Icahn Associates Corp. 767 Fifth Ave., 47th Floor New York, New York 10153 Form 13F File Number: 28-4333 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, statement, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Edward E. Mattner, Attorney-in-Fact for Carl C. Icahn Title: Individual Phone: (212) 702-4300 Signature, Place, and Date of Signing: /s/ Edward E. Mattner - --------------------- Edward E. Mattner New York, New York 11/14/06 [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: 7 Form 13F Information Table Entry Total: 16 Form 13F Information Table Value Total: $3,716,486 (thousands) Confidential Treatment has been requested for certain accounts of securities reported by this Institutional Investment Manager, and this information has been filed separately with the Commission. 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. No. Form 13F File Number Name --- -------------------- ---- 01 28-4690 High River Limited Partnership 02 28-05849 American Real Estate Holdings Limited Partnership 03 28-2662 Barberry Corp. 04 28-4970 High Coast Limited Partnership 05 28-4460 Highcrest Investors Corp. 06 28-11469 Gascon Partners 07 28-11906 Modal LLC
Form 13F Information Table* Name of Reporting Manager: Carl C. Icahn COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER Voting Authority NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER* SOLE SHARED NONE - -------------- ----- ----- -------- ------- --- ---- ---------- -------- ---- ------ ---- ADVENTRX COM 00764X103 2,370 864,865 SH Defined 1 864,865 PHARMACEUTICALS INC. AMERICAN RAILCAR COM 02916P103 124,909 4,290,918 SH Defined 7 4,290,918 INDS INC. AMERICAN RAILCAR COM 02916P103 52,950 1,818,976 SH Defined 1,818,976 INDS INC. AMERICAN REAL DEP UNIT 029169109 216,202 4,087,000 SH Defined 3 4,087,000 ESTATE PARTNR AMERICAN REAL DEP UNIT ESTATE PARTNR 029169109 1,894,340 35,809,836 SH Defined 4 35,809,836 AMERICAN REAL DEP UNIT 029169109 182,642 3,452,586 SH Defined 5 3,452,586 ESTATE PARTNR AMERICAN REAL DEP UNIT 029169109 629,096 11,892,167 SH Defined 6 11,892,167 ESTATE PARTNR AMERICAN REAL DEP UNIT 029169109 21,890 413,793 SH Defined 413,793 ESTATE PARTNR BLOCKBUSTER INC CL A 093679108 5,371 1,398,820 SH Defined 1 1,398,820 BLOCKBUSTER INC CL A 093679108 3,448 898,000 SH Defined 3 898,000 BLOCKBUSTER INC CL B 093679207 2,726 772,320 SH Defined 1 772,320 BLOCKBUSTER INC CL B 093679207 1,203 340,906 SH Defined 3 340,906 IMCLONE SYS INC. COM 45245W109 175,729 6,205,134 SH Defined 1 6,205,134 IMCLONE SYS INC. COM 45245W109 129,241 4,563,610 SH Defined 2 4,563,610 IMCLONE SYS INC. COM 45245W109 25,511 900,800 SH Defined 3 900,800 TIME WARNER INC COM 887317105 248,858 13,651,037 SH Defined 2 13,651,037 TOTAL 3,716,486
Confidential treatment has been requested for certain accounts of securities reported by this Institutional Investment Manager pursuant to Rule 24b-2 under the Securities Exchange Act of 1934, as amended, and this information has been filed separately with the Commission. * This table may also include positions held by public companies controlled by Mr. Icahn. While Mr. Icahn may be deemed to have "investment discretion" over such positions pursuant to Section 13(f) of the Securities Exchange Act of 1934 and Rule 13f-1, Mr. Icahn expressly disclaims having such "investment discretion" over such positions for any other purposes. -----END PRIVACY-ENHANCED MESSAGE-----