-----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, TM55tdwS6497Heoy7J9MB5Mqx2rzxh66bUd6eImmI7OeaQK2kuKFPx2ndTZCvPPh +NPMtFJpTOifEvGeS+oJRg== 0000921530-99-000231.txt : 19991117 0000921530-99-000231.hdr.sgml : 19991117 ACCESSION NUMBER: 0000921530-99-000231 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SOROS FUND MANAGEMENT LLC CENTRAL INDEX KEY: 0001029160 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133914976 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-06420 FILM NUMBER: 99756513 BUSINESS ADDRESS: STREET 1: 888 SEVENTH AVENUE 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 BUSINESS PHONE: 2128721054 MAIL ADDRESS: STREET 1: C/O AKIN, GUMP, STRAUSS,HAUER,FELD, STREET 2: 399 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 FORM 13F RE SOROS FUND MANAGEMENT LLC --------------------------------- OMB Approval --------------------------------- OMB Number: 3235-0006 Expires: October 31, 2000 Estimated average burden hours per response:.................24.7 --------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 1999 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: Soros Fund Management LLC Address: 888 Seventh Avenue New York, NY 10106 Form 13F File Number: 28-6420 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: Michael C. Neus Title: Assistant General Counsel Phone: 212-397-5540 Signature, Place, and Date of Signing: /S/ MICHAEL C. NEUS ______________________________________________ [Signature] New York, New York ______________________________________________ [City, State] November 15 , 1999 ______________________________________________ [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: 243 Form 13F Information Table Value Total: $ 4,425,845 (thousands) 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. If there are no entries in this list, state "NONE" and omit the column headings and list entries. NONE
Investment Discretion Voting Authority Issuer Title of Cusip Fair Market Shares or Sole Shared Shared-Oth Sole Shared None - ------ --------- ----- ----------- ---------- ---- ------- ---------- ---- ------ ---- Class Number Value (in Principal thousands) Amount Instr.V ----- ------- ---------- ----------- ------- AMFM INC COM 001693100 $ 1,522 25,000 X X AT&T CORP COM 001957208 $ 48,485 1,306,000 X X LIB GRP A AT & T CDA INC DEPS 00207Q202 $ 54,276 864,100 X X RCPT CL B AUDIO BOOK CLUB INC COM 05068R108 $ 9,188 750,000 X X AVX CORP NEW COM 002444107 $ 1,215 34,600 X X ABGENIX INC COM 00339B107 $ 5,878 150,000 X X ABITIBI-CONSOLIDATED INC COM 003924107 $ 3,619 300,000 X X AERIAL COMMUNICATIONS INC COM 007655103 $ 3,738 137,800 X X AFFILIATED COMPUTER SERVICES CL A 008190100 $ 1,361 33,500 X X ALKERMES INC COM 01642T108 $ 8,500 295,000 X X ALLIED SIGNAL INC COM 019512102 $ 10,414 173,750 X X ALTERA CORP COM 021441100 $ 362 8,350 X X AMERICAN HEALTH PPTYS INC COM 026494104 $ 519 25,800 X X AMERITECH CORP NEW COM 030954101 $ 11,906 177,200 X X AMSOUTH BANCORPORATION COM 032165102 $ 1,826 77,900 X X APEX SILVER MINES LTD ORD G04074103 $ 50,622 3,405,071 X X APPLE COMPUTER INC COM 037833100 $ 598 9,450 X X APPLE COMPUTER INC COM 037833100 $ 12,663 200,000 X X APPLIED MATLS INC COM 038222105 $ 421 5,400 X X ASSOCIATES FIRST CAP CORP CL A 046008108 $ 3,208 89,100 X X ASYST TECHNOLOGY CORP COM 04648X107 $ 1,106 33,500 X X BMC SOFTWARE INC COM 055921100 $ 2,562 35,800 X X BANKBOSTON CORP COM 06605R106 $ 651 15,000 X X BANKBOSTON CORP COM 06605R106 $ 14,383 331,600 X X BANKNORTH GROUP INC DEL COM 06646L100 $ 1,093 36,600 X X BIOCHEM PHARMA INC COM 09058T108 $ 2,394 100,000 X X BIOCRYST PHARMACEUTICALS COM 09058V103 $ 3,541 146,000 X X BIOGEN INC COM 090597105 $ 109,428 1,387,500 X X BROADCOM CORP CL A 111320107 $ 1,679 15,400 X X CBS CORP COM 12490K107 $ 32,375 700,000 X X CBS CORP COM 12490K107 $ 624 13,500 X X CNET INC COM 125945105 $ 11,200 200,000 X X CVS CORP COM 126650100 $ 6,689 163,900 X X CABLE & WIRELESS SPONSORED 12682P104 $ 1,152 22,100 X X COMMUNICATION ADR CASE CORP COM 14743R103 $ 8,910 178,865 X X CENTENNIAL HEALTHCARE CORP COM 150937100 $ 780 271,300 X X CELESTICA INC SUB 15101Q108 $ 1,358 27,500 X X VTG SHS CENDANT CORP COM 151313103 $ 61,486 3,464,000 X X CENTOCOR INC COM 152342101 $ 19,810 330,900 X X CHUBB CORP COM 171232101 $ 24,906 500,000 X X CISCO SYS INC COM 17275R102 $ 34,281 500,000 X X CISCO SYS INC COM 17275R102 $ 1,279 18,650 X X CITIZENS UTILS CO DEL CL B 177342201 $ 1,153 101,900 X X CITRIX SYS INC COM 177376100 $ 1,189 19,200 X X CLEAR CHANNEL COMMUNICATIONS COM 184502102 $ 76,784 961,300 X X COLUMBIA/HCA HEALTHCARE CORP COM 197677107 $ 35,407 1,753,900 X X COLUMBIA/HCA HEALTHCARE CORP COM 197677107 $ 1,112 52,500 X X COMMSCOPE INC COM 203372107 $ 2,941 90,500 X X COMPUTER ASSOC INTL INC COM 204912109 $ 2,199 35,900 X X CONEXANT SYSTEMS INC COM 207142100 $ 411 5,650 X X CONTINUCARE CORP COM 212172100 $ 1,405 2,250,000 X X CONVERGYS CORP COM 212485106 $ 1,039 52,450 X X COR THERAPEUTICS INC COM 217753102 $ 4,180 220,000 X X CORNING INC COM 219350105 $ 3,826 55,800 X X CORPORATE EXPRESS INC COM 219888104 $ 941 100,000 X X COX RADIO INC CL A 224051102 $ 1,422 23,900 X X CRYSTAL GAS STORAGE INC COM 229241104 $ 67,972 1,628,079 X X CRYSTAL GAS STORAGE INC PFD 229241203 $ 373 3,971,260 X X SR CV $.06 CURAGEN CORP COM 23126R101 $ 23,538 1,776,485 X X CYBERONICS INC COM 23251P102 $ 1,788 100,000 X X DBT ONLINE INC COM 233044106 $ 23,533 946,382 X X DAYTON HUDSON CORP COM 239753106 $ 4,505 75,000 X X DELL COMPUTER CORP COM 247025109 $ 29,269 700,000 X X DEVON ENERGY CORP NEW COM 25179M103 $ 6,216 150,000 X X DOUBLECLICK INC COM 258609304 $ 41,158 345,500 X X E M C CORP MASS COM 268648102 $ 50,319 705,000 X X E M C CORP MASS COM 268648102 $ 607 8,500 X X EARTHLINK NETWORK INC COM 270322100 $ 7,095 165,240 X X ECHOSTAR COMMUNICATIONS NEW CL A 278762109 $ 17,254 190,000 X X ECLIPSE SURGICAL TECHNOLOGIES COM 278849104 $ 4,950 300,000 X X ECLIPSYS CORP COM 278856109 $ 4,313 300,000 X X ELECTRONIC DATA SYS NEW COM 285661104 $ 236,419 4,466,000 X X EXPRESS SCRIPTS INC CL A 302182100 $ 4,695 60,000 X X FEDERAL HOME LN MTG CORP COM 313400301 $ 7,504 144,300 X X FINOVA GROUP INC COM 317928109 $ 8,760 240,000 X X FIRST LIBERTY FINL CORP COM 320691108 $ 938 33,190 X X FIRST SEC CORP DEL COM 336294103 $ 1,500 59,600 X X FOREST LABS INC COM 345838106 $ 8,425 200,000 X X FORTE SOFTWARE INC COM 349546101 $ 10,645 387,100 X X FRANCHISE MORTGAGE ACCEPTANCE COM 35181D108 $ 1,147 161,000 X X FRISCO BAY INDS LTD COM 358751105 $ 51 23,600 X X GENESIS DIRECT INC COM 371935107 $ 7 679,022 X X GLOBALSTAR TELECOMMUNICATIONS COM G3930H104 $ 166,077 7,220,750 X X LTD GTS DURATEK INC COM 36237J107 $ 1,104 184,928 X X GALILEO INTERNATIONAL INC COM 363547100 $ 274 6,800 X X GANNETT INC COM 364730101 $ 2,622 37,900 X X GENENTECH INC COM 368710406 $ 73,390 1,003,200 X X NEW GENERAL INSTR CORP DEL COM 370120107 $ 38,500 800,000 X X GENERAL INSTR CORP DEL COM 370120107 $ 604 12,550 X X GENERAL MTRS CORP COM 370442105 $ 1,246 19,800 X X GENERAL MTRS CORP CL H 370442832 $ 28,053 490,000 X X NEW GENERAL MTRS CORP CL H 370442832 $ 378 6,600 X X NEW GENTEX CORP COM 371901109 $ 1,242 60,150 X X GENZYME CORP COM 372917104 $ 36,050 800,000 X X GENL DIV GIGA INFORMATION GROUP INC COM 37517M109 $ 457 110,667 X X GILEAD SCIENCES INC COM 375558103 $ 6,419 100,000 X X GRAND UN CO COM 386532402 $ 4,993 365,600 X X HALTER MARINE GROUP INC COM 40642Y105 $ 554 101,900 X X HANNAFORD BROS CO COM 410550107 $ 704 10,000 X X HANNAFORD BROS CO COM 410550107 $ 7,037 99,900 X X HATHAWAY CORP COM 419011101 $ 74 28,800 X X HERCULES INC COM 427056106 $ 8,588 300,000 X X HEWLETT PACKARD CO COM 428236103 $ 45,080 490,000 X X HOMELAND HLDG CORP NEW COM 43739T104 $ 2,362 640,541 X X HUMAN GENOME SCIENCES INC COM 444903108 $ 38,387 520,500 X X HUTCHINSON TECHNOLOGY INC COM 448407106 $ 365 13,500 X X IDX SYS CORP COM 449491109 $ 4,622 255,000 X X IXC COMMUNICATIONS INC COM 450713102 $ 1,091 27,700 X X IMALL INC COM 45244X306 $ 4,347 232,600 X X PAR $0.001 IMMUNEX CORP NEW COM 452528102 $ 4,901 113,000 X X INCYTE PHARMACEUTICALS INC COM 45337C102 $ 5,781 250,000 X X INFINITY BROADCASTING CP NEW CL A 45662S102 $ 29,313 1,000,000 X X INFINITY BROADCASTING CP NEW CL A 45662S102 $ 1,838 62,700 X X INTEL CORP COM 458140100 $ 676 9,100 X X INTERNATIONAL NETWORK SVCS COM 460053101 $ 17,884 328,900 X X INTUIT COM 461202103 $ 368 4,200 X X JDS UNIPHASE CORP COM 46612J101 $ 49,622 436,000 X X JDS UNIPHASE CORP COM 46612J101 $ 404 3,550 X X JABIL CIRCUIT INC COM 466313103 $ 1,544 31,200 X X JOS A BANK CLOTHIERS INC COM 480838101 $ 2,504 616,401 X X JUNIPER NETWORKS INC COM 48203R104 $ 32,940 180,000 X X KEMET CORP COM 488360108 $ 951 29,750 X X KERR MCGEE CORP COM 492386107 $ 1,828 33,200 X X KING WORLD PRODTNS INC COM 495667107 $ 19,189 511,700 X X KNOLL INC COM 498904101 $ 1,406 52,300 X X KOMAG INC COM 500453105 $ 317 105,800 X X KROGER CO COM 501044101 $ 2,396 108,600 X X LANOPTICS LTD ORD M6706V103 $ 1,200 300,000 X X LATTICE SEMICONDUCTOR CORP COM 518415104 $ 1,063 35,800 X X LEGATO SYS INC COM 524651106 $ 388 8,900 X X LIFEPOINT HOSPITALS INC COM 53219L109 $ 394 45,357 X X LINEAR TECHNOLOGY CORP COM 535678106 $ 382 6,500 X X LONE STAR INDS INC COM 542290408 $ 5,681 113,900 X X NEW MCI WORLDCOM INC COM 55268B106 $ 229,978 3,199,700 X X MCI WORLDCOM INC COM 55268B106 $ 446 6,200 X X MACMILLAN BLOEDEL LTD COM 554783209 $ 756 48,200 X X MAXIM INTEGRATED PRODS INC COM 57772K101 $ 347 5,500 X X MAXXIM MED INC COM 57777G105 $ 958 40,000 X X MCDERMOTT INTL INC COM 580037109 $ 55,546 2,743,000 X X MCDONALDS CORP COM 580135101 $ 24,725 575,000 X X MCLEODUSA INC COM 582266102 $ 8,513 200,000 X X MEDIAONE GROUP INC COM 58440J104 $ 3,416 50,000 X X MEDIAONE GROUP INC COM 58440J104 $ 3,948 57,800 X X MEDIMMUNE INC COM 584699102 $ 6,229 62,500 X X MENTOR CORP MINN COM 587188103 $ 5,700 200,000 X X MICROSOFT CORP COM 594918104 $ 199,238 2,200,000 X X MICROSOFT CORP COM 594918104 $ 7,965 87,950 X X MILLENNIUM PHARMACEUTICALS INC COM 599902103 $ 6,500 100,000 X X MORGAN STANLEY DEAN WITTER&CO COM 617446448 $ 2,827 31,700 X X NEW MOTOROLA INC COM 620076109 $ 1,848 21,000 X X NALCO CHEM CO COM 629853102 $ 798 15,800 X X NAVIGANT CONSULTING INC COM 63935N107 $ 454 9,800 X X NETWORK APPLIANCE INC COM 64120L104 $ 437 6,100 X X NEWCOURT CR GROUP INC COM 650905102 $ 1,437 110,000 X X NIKE INC CL B 654106103 $ 1,086 19,100 X X NOVELLUS SYS INC COM 670008101 $ 1,099 16,300 X X NUCOR CORP COM 670346105 $ 5,710 119,900 X X OCEAN ENERGY INC TEX COM 67481E106 $ 8,619 846,000 X X OMNICOM GROUP INC COM 681919106 $ 24,944 315,000 X X OMNIPOINT CORP COM 68212D102 $ 18,657 333,900 X X OMNIPOINT CORP COM 68212D102 $ 11,074 198,200 X X OPEN JT STK CO-VIMPEL SPONSORED 68370R109 $ 5,625 441,200 X X COMMUNIC ADR OPEN JT STK CO-VIMPEL SPONSORED 68370R109 $ 13,220 1,036,900 X X COMMUNIC ADR OPTIMAL ROBOTICS CORP CL A 68388R208 $ 3,600 200,000 X X NEW ORION CAP CORP COM 686268103 $ 16,662 351,700 X X ORTEC INTL INC COM 68749B108 $ 7,208 823,800 X X OUTDOOR SYS INC COM 690057104 $ 63,835 1,785,600 X X PE CORP COM 69332S102 $ 49,156 680,356 X X PE BIO GRP PE CORP COM 69332S102 $ 70,209 971,750 X X PE BIO GRP PE CORP CELERA 69332S201 $ 17,750 440,989 X X GEN GRP PE CORP CELERA 69332S201 $ 14,192 352,588 X X GEN GRP PENN TRAFFIC CO NEW COM 707832200 $ 76,619 9,013,980 X X NEW PMC-SIERRA INC COM 69344F106 $ 398 4,300 X X PARAMETRIC TECHNOLOGY CORP COM 699173100 $ 40,500 3,000,000 X X PARK PL ENTMT CORP COM 700690100 $ 16,764 1,341,100 X X PHARMACYCLICS INC COM 716933106 $ 7,358 180,000 X X PFIZER INC COM 717081103 $ 5,391 150,000 X X PINNACLE GLOBAL GROUP INC COM 723465100 $ 59 11,850 X X PIONEER HI BRED INTL INC COM 723686101 $ 10,426 262,700 X X PIONEER HI BRED INTL INC COM 723686101 $ 1,984 50,000 X X POWERTEL INC COM 73936C109 $ 1,255 22,800 X X PRICELINE COM INC COM 741503106 $ 72,563 1,125,000 X X PROTEIN DESIGN LABS INC COM 74369L103 $ 5,961 165,000 X X QUALCOMM INC COM 747525103 $ 283,781 1,500,000 X X QUANTUM CORP COM 747906204 $ 16,594 1,180,000 X X DSSG QUANTUM CORP COM 747906303 $ 4,388 590,000 X X HDDG REPUBLIC N Y CORP COM 760719104 $ 270 4,400 X X REYNOLDS METALS CO COM 761763101 $ 56,016 927,800 X X REYNOLDS METALS CO COM 761763101 $ 1,950 32,300 X X S3 INC COM 784849101 $ 4,332 415,000 X X SAFEWAY INC COM 786514208 $ 1,934 50,800 X X NEW ST PAUL COS INC COM 792860108 $ 13,750 500,000 X X SANMINA CORP COM 800907107 $ 549 7,100 X X SAVILLE SYS PLC SPONSORED 805174109 $ 7,896 537,600 X X ADR SAWTEK INC COM 805468105 $ 2,755 78,700 X X SCHERING PLOUGH CORP COM 806605101 $ 881 20,200 X X SCHLUMBERGER LTD COM 806857108 $ 62,313 1,000,000 X X SCHLUMBERGER LTD COM 806857108 $ 10,816 173,570 X X SEAWAY FOOD TOWN INC COM 812744100 $ 810 29,000 X X SEVEN SEAS PETE INC COM 817917107 $ 3,676 1,176,400 X X SILICON GRAPHICS INC COM 827056102 $ 10,938 1,000,000 X X SKYTEL COMMUNICATIONS INC COM 83087Q104 $ 2,022 104,700 X X SMART MODULAR TECH INC COM 831690102 $ 1,836 53,900 X X SOLECTRON CORP COM 834182107 $ 14,363 200,000 X X SPRINT CORP COM 852061100 $ 6,781 125,000 X X FON GROUP SPRINT CORP COM 852061100 $ 1,199 22,100 X X FON GROUP SPRINT CORP PCS COM 852061506 $ 843 11,300 X X SER 1 STARWOOD HOTELS&RESORTS WRLDWD PAIRED 85590A203 $ 304 13,500 X X CTF STMICROELECTRONICS N V COM 861012102 $ 333 4,500 X X SUN MICROSYSTEMS INC COM 866810104 $ 256,680 2,760,000 X X SUN MICROSYSTEMS INC COM 866810104 $ 307 3,300 X X SUNGARD DATA SYS INC COM 867363103 $ 647 24,600 X X SYBASE INC COM 871130100 $ 10,631 900,000 X X TALK CITY INC COM 874263106 $ 7,134 839,285 X X TJX COS INC NEW COM 872540109 $ 8,840 315,000 X X TJX COS INC NEW COM 872540109 $ 1,976 70,400 X X TEXAS INSTRS INC COM 882508104 $ 52,147 634,000 X X TEXAS INSTRS INC COM 882508104 $ 588 7,150 X X THREE FIVE SYS INC COM 88554L108 $ 1,859 84,000 X X TRANSACTION NETWORK SVCS INC COM 893414102 $ 10,637 271,000 X X TRIAD HOSPITALS INC COM 89579K109 $ 459 45,357 X X TRIANGLE PHARMACEUTICALS INC COM 89589H104 $ 37,817 1,964,500 X X TRICON GLOBAL RESTAURANTS COM 895953107 $ 64,554 1,576,900 X X TRUMP HOTELS & CASINO RESORTS COM 898168109 $ 304 71,600 X X TYCO INTL LTD NEW COM 902124106 $ 36,138 700,000 X X TYCO INTL LTD NEW COM 902124106 $ 5,421 105,000 X X UST CORP COM 902900109 $ 308 10,000 X X U S AGGREGATES INC COM 90334D109 $ 1,024 73,500 X X UNITED HEALTHCARE CORP COM 910581107 $ 2,853 58,600 X X U S WEST INC NEW COM 91273H101 $ 645 11,300 X X UNITED WTR RES INC COM 913190104 $ 675 20,700 X X UNITRODE CORP COM 913283107 $ 2,276 54,200 X X VERITAS SOFTWARE CO COM 923436109 $ 116,564 1,535,000 X X VERTEX PHARMACEUTICALS INC COM 92532F100 $ 5,498 177,000 X X VIACOM INC CL B 925524308 $ 120,049 2,775,700 X X VISX INC DEL COM 92844S105 $ 59,716 455,000 X X VODAFONE AIRTOUCH PLC SPONSORED 92857T107 $ 24,724 520,000 X X ADR WASTE MGMT INC DEL COM 94106L109 $ 14,438 750,000 X X WEATHERFORD INTL INC COM 947074100 $ 6,134 191,700 X X WESTERN WIRELESS CORP CL A 95988E204 $ 1,907 42,500 X X WORLD COLOR PRESS INC DEL COM 981443104 $ 264 7,100 X X XILINX INC COM 983919101 $ 360 5,500 X X XIRCOM INC COM 983922105 $ 363 8,650 X X
Page 9 of 9 The following investment managers that are required to file a report pursuant to Section 13(f) of the Securities Exchange Act of 1934 exercise investment discretion with respect to certain securities held in accounts managed by Soros Fund Management LLC and such managers will report such positions on their reports: 28-6432 Cambridge Investments Ltd. 28-4298 Everest Capital Limited 28-3549 LENS, Inc. 28-5470 Oechsle International Advisors, LP 28-7520 White Rock Capital Management, L.P. -----END PRIVACY-ENHANCED MESSAGE-----