-----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, U+O9rOSgS3sotCeK2eyTZSEAp6ZFKf5ke4XjjOtqJFqM8xNgUarFs+xIofmcyQ8C rVjEz5f4CQH/imvrkUR7Iw== 0001071955-02-000048.txt : 20020814 0001071955-02-000048.hdr.sgml : 20020814 20020814175746 ACCESSION NUMBER: 0001071955-02-000048 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PEQUOT CAPITAL MANAGEMENT INC/CT/ CENTRAL INDEX KEY: 0001071955 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04495 FILM NUMBER: 02737588 BUSINESS ADDRESS: STREET 1: 500 NYALA FARMS ROAD CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2033192246 13F-HR 1 f13f63002.txt FORM 13F FOR QUARTER ENDING JUNE 30, 2002 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2002 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: Pequot Capital Management, Inc. Address: 500 Nyala Farm Road Westport, CT 06880 Form 13F File Number: 28-04495 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: Kevin E. O'Brien Title: Chief Operating Officer Phone: (203) 429-2200 Signature, Place, and Date of Signing: /s/Kevin E. O'Brien Westport, CT 8/14/02 [Signature] [City, State] [Date] Report Type (Check only one.): [x ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for the Manager: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 691 Form 13F Information Table Value Total: $5,393,057.42 (thousands) List of Other Included Managers: NONE
Title Of Value Shrs/ Shrs/ Put/ Invstmnt Other Voting Authority Name of Issuer Class Cusip (x$1000) PRN Amt PRN Call Dscrtn Mgrs. Sole Shared None - --------------------------------------------------------------------------------------------------------------------------------- Atlantic Express 10.75% Bond 04853EAC3 1,011 50550sh sole 50550 Ekable Hessen 14.5 9/1/2010 Bond 282621AD3 3,920 160000sh sole 160000 Kmart 7.75% 10/1/2012 Bond 482584AP4 1,619 41500sh sole 41500 Kmart 8.125% 12/01/06 Bond 482584AL3 2,118 55000sh sole 55000 Kmart 8.375% 12/01/04 Bond 482584BA6 4,524 117500sh sole 117500 Kmart 9.875% 6/15/08 144a Bond 482584BC2 3,595 91000sh sole 91000 Magellan Health Services Bond 559079AD0 1,730 46450sh sole 46450 Millicom Cellular 13.5% (600814ac1) Bond 600814AC1 3,938 105000sh sole 105000 Sba Communications 10.25% 2/9 Bond 78388JAE6 1,770 30000sh sole 30000 Sellco Note 12% Due 12/15/04 Bond 81641KAA8 86 57496.27sh sole 57496.27 Xerox Bank Debt Revolving Bond 9D999Z520 5,993 72857.15sh sole 72857.15 Xerox Bank Tranch A Bond 9D999Z843 6,065 72857.15sh sole 72857.15 Xerox Bank Tranch B Bond 9D999Z355 2,295 24285.72sh sole 24285.72 3com Corp Com Common 885535104 1,927 437983sh sole 437983 3-Dimensional Pharma Inc Common 88554W104 363 81500sh sole 81500 Aastrom Biosciences Inc Common 00253U107 20 54300sh sole 54300 Abaxas Petroleum Corp Common 003830106 700 933700sh sole 933700 Abercrombie & Fitch Common 002896207 18,961 786100sh sole 786100 Abiomed Inc Common 003654100 1,102 130000sh sole 130000 Accenture Ltd Common G1150G111 46,848 2465700sh sole 2465700 Acclaim Entmt Inc Com Par $0.02 Common 004325205 2,471 700000sh sole 700000 Acx Technologies Inc. Common 388690109 507 54800sh sole 54800 Acxiom Corp. Common 005125109 30,928 1768300sh sole 1768300 Adaptec Inc. Common 00651F108 6,722 852000sh sole 852000 Advanced Micro Devic Es Inc. Common 007903107 16,328 1679800sh sole 1679800 Advanced Neuromodulation Systems Common 00757T101 6,838 224200sh sole 224200 Advanced Pcs Common 00790K109 61,894 2585400sh sole 2585400 Advo Inc Usd.01 Common 007585102 3,046 80000sh sole 80000 Aeropostale Inc Common 007865108 18,469 674800sh sole 674800 Affymetrix Inc Common 00826T108 4,150 173000sh sole 173000 Agnico Eagle Mines Common 008474108 5,464 375000sh sole 375000 Akorn Inc Common 009728106 120 200000sh sole 200000 Alaska Air Group Inc Common 011659109 2,271 87000sh sole 87000 Alkermes Common 01642T108 26,778 1672600sh sole 1672600 Alliance Semi Conductor Corp Common 01877H100 457 64300sh sole 64300 Allied Capital Common 01903Q108 2,265 100000sh sole 100000 Alloy Online Common 019855105 520 36000sh sole 36000 Altera Corp . Common 021441100 4,107 302000sh sole 302000 Altran Technologies Sa Frf Common 990002IX7 2,518 86100sh sole 86100 Amazon Com Inc Common 023135106 9,256 569600sh sole 569600 Ambient Corporation Rstd Common 02318N953 20 350000sh sole 350000 American Barrick Resources Corp. Common 067901108 17,495 921300sh sole 921300 American Medical Systems Common 02744M108 1,846 92000sh sole 92000 American Pwr Conversion Corp Common 029066107 2,880 228000sh sole 228000 American States Water Common 029899101 875 33000sh sole 33000 Americredit Corp. Common 03060R101 4,740 169000sh sole 169000 Amn Healthcare Services Inc Common 001744101 25,540 729500sh sole 729500 Andrew Corp Common 034425108 103,343 6926444sh sole 6926444 Andrx Group Common 034553107 22,773 844400sh sole 844400 Angelica Corp. Common 034663104 860 50000sh sole 50000 Anglogold Ltd Spon Adr Common 035128206 1,460 56000sh sole 56000 Anthem Inc Common 03674B104 37,964 562600sh sole 562600 AOL Time Warner Inc Common 00184A105 10,703 727580sh sole 727580 Apac Teleservices Inc Common 00185E106 1,446 245000sh sole 245000 Apex Silver Mine Ltd Common G04074103 9,208 635000sh sole 635000 Applebees Inter Inc Common 037899101 2,370 103250sh sole 103250 Applera Corp-Applied Biosystems Common 038020103 34,421 1766100sh sole 1766100 Applied Matls Inc Com Common 038222105 13,207 694400sh sole 694400 Applied Molecular Evolution Common 03823E108 1,355 234400sh sole 234400 Applix Inc. Common 038316105 355 229200sh sole 229200 Apria Healthcare Grp Common 037933108 4,099 183000sh sole 183000 Aramark Corp Class B Common 038521100 14,313 572500sh sole 572500 Arch Coal Common 039380100 3,634 160000sh sole 160000 Argosy Gaming Co Common 040228108 4,714 166000sh sole 166000 Asa Ltd Zar.25 (Usd) Common 002050102 2,713 88500sh sole 88500 Ascential Software Corp Common 04362P108 494 176900sh sole 176900 ASM Lithography Holdings Nv Common N07059111 7,004 463200sh sole 463200 Atherogenics Inc Common 047439104 2,901 404600sh sole 404600 Atlantic Coast Airlines Common 048396105 10,546 486000sh sole 486000 Atmel Corp. Common 049513104 511 81600sh sole 81600 Autobytel.Com Inc Common 05275N106 893 292800sh sole 292800 Autonomy Corp Plc Common 05329Q105 239 63100sh sole 63100 Avaya Inc Common 053499109 279 56378sh sole 56378 Axeda Common 054959101 1,766 924500sh sole 924500 Ballard Power Systems Inc. Common 05858H104 4,757 289000sh sole 289000 Barnes & Noble Inc. Common 067774109 1,094 41400sh sole 41400 Barr Labs Inc Com Common 068306109 15,749 247900sh sole 247900 Battery Technologies Inc. Common 07132T102 14 152800sh sole 152800 Baxter International Inc. Common 071813109 54,069 1216400sh sole 1216400 Beazer Homes U.S.A. Common 07556Q105 20,504 256300sh sole 256300 Beckman Coulter Inc Common 075811109 21,337 427600sh sole 427600 Bed Bath And Beyond Common 075896100 28,803 763200sh sole 763200 Benihana Inc Class A Common 082047200 2,732 145000sh sole 145000 Beverly Enterprises Inc Common 087851309 1,142 150000sh sole 150000 Big 5 Sporting Goods Common 08915P101 5,902 413000sh sole 413000 Bindview Development Common 090327107 510 500000sh sole 500000 Biopure Corp Common 09065H105 362 47300sh sole 47300 Biosite Diagnostic Inc Common 090945106 2,624 93200sh sole 93200 Biotech Holders Trust Common 09067D201 16,640 200000sh sole 200000 Biovail Corp Intn'l Common 09067J109 11,086 382800sh sole 382800 Bj Service Co. Common 055482103 2,643 78000sh sole 78000 Blue Rhino Corp Common 095811105 2,798 200000sh sole 200000 Bnox Inc Com Rstd Common 239998909 115 57500sh sole 57500 Bombay Co Inc Common 097924104 2,425 540000sh sole 540000 Books A Million Inc Common 098570104 183 50000sh sole 50000 Borland Software Corp Common 099849101 3,296 320000sh sole 320000 Boston Beer Company Common 100557107 1,113 70000sh sole 70000 Bowater, Inc. Common 102183100 4,268 78500sh sole 78500 Bristol Myers Squibb Co. Common 110122108 17,114 665900sh sole 665900 Britesmile Inc Common 110415106 10,531 4443318sh sole 4443318 Broadview Capital Partners Common 9J999W417 594 594266sh sole 594266 Brown & Brown Inc Common 115236101 26,167 830700sh sole 830700 Bunge Ltd Common G16962105 3,165 150000sh sole 150000 Burlington Coat Factory Whse Corp Common 121579106 1,515 71280sh sole 71280 Burlington Northern-Santa Fe Common 12189T104 7,500 250000sh sole 250000 Cadence Design Systems Inc Common 127387108 2,684 166500sh sole 166500 Calgon Carbon Corp. Common 129603106 630 75000sh sole 75000 Cambrex Corp. Common 132011107 6,985 174200sh sole 174200 Candies Inc Common 137409108 2,633 650000sh sole 650000 Cantel Medical Common 138098108 1,518 82500sh sole 82500 Cardiogenesis Corp Common 14159W109 151 152500sh sole 152500 Caremark Rx Inc Common 141705103 8,361 506700sh sole 506700 Carolina Group Common 540424207 5,713 211200sh sole 211200 Cash America Intl Inc Common 14754D100 3,917 425800sh sole 425800 Celeris Corp Common 15100K201 3 11666sh sole 11666 Celestica Common 15101Q108 15,777 694700sh sole 694700 Cell Pathways Inc. Common 15114R101 1,699 1132900sh sole 1132900 Cell Therapeutics Common 150934107 120 22000sh sole 22000 Cellstar Corp. Common 150925204 59 18180sh sole 18180 Celltech Group Plc Ords Common G1990Z105 2,277 286100sh sole 286100 Centex Corp. Common 152312104 49,503 856600sh sole 856600 Centra Software Common 15234X103 1,136 611000sh sole 611000 Cepheid Common 15670R107 1,361 244000sh sole 244000 Ceradyne Inc Common 156710105 3,508 468300sh sole 468300 Cerner Corp. Common 156782104 4,730 98900sh sole 98900 Charles River Labs Intl Common 159864107 66,861 1907600sh sole 1907600 Checkers Drive -In Restaurants Inc Common 162809305 3,707 312024sh sole 312024 Checkpoint Sys Inc. Common 162825103 410 35000sh sole 35000 Chesapeake Energy Co Common 165167107 21,077 2927400sh sole 2927400 Childrens Place Retail Stores Inc. Common 168905107 4,431 167200sh sole 167200 Chubb Corp Common 171232101 56,442 797200sh sole 797200 Churchill Downs Common 171484108 2,367 58700sh sole 58700 Cigna Corp . Common 125509109 5,982 61400sh sole 61400 Cima Labs Inc Common 171796105 603 25000sh sole 25000 Ciphergren Biosystems Common 17252Y104 150 42500sh sole 42500 Circuit City Stores Common 172737108 21,491 1146200sh sole 1146200 Cke Restaurants Inc. 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Common 206156101 51 10000sh sole 10000 Conmed Corporation Common 207410101 1,065 47700sh sole 47700 Connectics Corp Common 208192104 7,689 595200sh sole 595200 Conoco Inc Common 208251504 21,984 790800sh sole 790800 Continental Airlines Common 210795308 7,140 452500sh sole 452500 Coorstek Common 217020106 423 13700sh sole 13700 Corio Inc Common 218875102 164 150000sh sole 150000 Covance Inc Common 222816100 2,813 150000sh sole 150000 Cray Inc Common 225223106 1,558 348500sh sole 348500 Cross Country Inc Common 22748P105 21,693 573900sh sole 573900 Crystal Systems Solutions Ltd Common M26763108 81 25000sh sole 25000 CSX Corp Common 126408103 10,515 300000sh sole 300000 CTI Molecular Imaging Common 22943D105 2,108 91900sh sole 91900 Cubist Pharmaceuticals Inc Common 229678107 2,127 226000sh sole 226000 Curagen Corporation Common 23126R101 11,670 2072800sh sole 2072800 Cybersource Common 23251J106 2,656 1145000sh sole 1145000 Cygnus Inc. 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Common 278856109 859 130925sh sole 130925 Eden Bioscience Corp. Common 279445100 855 429500sh sole 429500 Efunds Corp. Common 28224R101 3,219 339200sh sole 339200 El Paso Gas Common 28336L109 4,637 225000sh sole 225000 Electro Brain Intl Corp. Common 285062204 0 19500sh sole 19500 Electro Brain Intl. Corp. Rstd. Common 285062915 0 341665sh sole 341665 Electro Scientific Inds. Common 285229100 1,609 66200sh sole 66200 Elior Common 993901GL5 5,989 734210sh sole 734210 E-Loan Inc. Common 26861P107 44 40000sh sole 40000 Emcor Group Inc. Common 29084Q100 7,748 132000sh sole 132000 Encana Corp. Common 292505104 673 22000sh sole 22000 Endocare Inc. Common 29264P104 804 60900sh sole 60900 Ensco International Inc. Common 26874Q100 1,036 38000sh sole 38000 Entremed Inc. Common 29382F103 510 166000sh sole 166000 Enzon Inc. Common 293904108 18,503 736600sh sole 736600 EOG Resources, Inc. 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Common 98975L108 205 136400sh sole 136400 Abraxas Petro 11.5% Bond 003831AG9 663 10000sh sole 10000 CKE Restaurants 4.25% Due 3/15/04 Bond 12561EAB1 522 45868sh sole 20100 Ekabel Hessen 14.5% 9/1/2001 Bond 904994BR0 5,427 233000sh sole 233000 Merlin Software Ser B1 Conv Nt 10/23/03 Bond 99B999EG3 428 2040380sh sole 8161.52 Ortec Int'l Senior Secured Conv Note Bond 99B999AV4 203 100000sh sole 3360 Syratech 11 4/15/07 Bond 871824AA6 9,105 151750sh sole 151750 Talk America 8% Due 8/15/07 Bond 87426RAA1 50 12000sh sole 6000 Visual Networks Inc 5% Conv Deb 3/25/06 Bond 899996HN5 19 426585sh sole 15000 Bristol Myers Squibb Co. Common 1101220IG 57,568 2240000sh call sole 2240000 Chubb Corp. Common 1712320GN 14,408 203500sh call sole 203500 Applera Corp-Celera Genomics Group Common 0380200LW 780 65000sh call sole 65000 Applera Corp-Celera Genomics Group Common 0380200IW 1,200 100000sh call sole 100000 Walt Disney Co. Common 2546870JD 5,670 300000sh call sole 300000 General Electric Co. 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Lt Preferred652487802 21,119 1069300sh sole 1069300 Novatel Wireless Inc Ser A Conv Preferred66987M992 643 1948052sh sole 1500 Skillset Software Ser A Rstd Preferred830666988 450 200000sh sole 200000 Tri Alpha Energy Inc Ser A Restr Preferred895314995 200 80000sh sole 80000 Tri Alpha Energy Ser A Preferred895313997 225 90000sh sole 90000 Xpoint Technologies Series A Preferred983130949 443 110667sh sole 110667 Xpoint Technologies Series C Preferred983130915 1,152 119341sh sole 119341
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