-----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, BOlMzGbzPbtPCerqdE41IJ5K3WdtwTauQ70kSJTBKKPTDwOebs8HgQrUrng/ppJL RA71+Nau7+0t4O+hBIeA0Q== 0000950144-07-001201.txt : 20070214 0000950144-07-001201.hdr.sgml : 20070214 20070214104645 ACCESSION NUMBER: 0000950144-07-001201 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 EFFECTIVENESS DATE: 20070214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OTTER CREEK MANAGEMENT INC CENTRAL INDEX KEY: 0001226779 IRS NUMBER: 650273191 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10442 FILM NUMBER: 07614669 BUSINESS ADDRESS: STREET 1: 400 ROYAL PALM WAY STREET 2: #212 CITY: PALM BEACH STATE: FL ZIP: 33480 BUSINESS PHONE: 5618324110 13F-HR 1 g05540e13fvhr.txt OTTER CREEK MANAGEMENT, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12-31-06 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: Otter Creek Management, Inc. ----------------------------------- Address: 400 Royal Palm Way ----------------------------------- Suite 212 ----------------------------------- Palm Beach, FL 33480 ----------------------------------- Form 13F File Number: 28- 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: Joseph W. O'Neill, Jr. ----------------------------- Title: Chief Financial Officer ----------------------------- Phone: 561-832-4110 ----------------------------- Signature, Place and Date of Signing: /s/ Joseph W. O'Neill, Jr. Palm Beach, FL 2-13-07 - -------------------------- --------------------- --------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDING 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: [If there are no entries in this list, omit this section] Form 13F File Number Name 28-___________________ _______________________________________ [Repeat as necessary FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ---------------- Form 13F Information Table Entry Total: 134 ----------- Form 13F Information Table Value Total: 87,884 ----------- (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.] No. 13F File Number Name ___ 28-_________________ _____________________________ [Repeat as necessary] Otter Creek Management PORTFOLIO APPRAISAL 31-Dec-06 FOR M 13F SUMMARY PAGE Report Summary: Number of other Included Managers: - Form 13F Information Table Entry Total: 134 Form 13F Information Table Value Total: 87,884 FORM 13F INFORMATION TABLE
SHARES/ VOTING AUTHORITY VALUE PRN SH/ PUT/ INVSTMT OTHER ---------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED - ----------------------------------------------------------------------------------------------------------------------------------- 3COM CORP COM COMMON STOCK - LONG 885535104 1497 364,200 SH SOLE 364,200 ABERCROMBIE & FITCH CO-CL A COMMON STOCK - LONG 002896207 418 6,000 SH SOLE 6,000 ABERDEEN ASIA PACIFIC INCOME FUND INC MUTUAL FUNDS - LONG 003009107 1597 256,678 SH SOLE 256,678 AIM SELECT REAL ESTATE INCOME FUND MUTUAL FUNDS - LONG 00888r107 1438 86,250 SH SOLE 86,250 ALLEGHENY TECHNOLOGIES INC COMMON STOCK - LONG 01741r102 317 3,500 SH SOLE 3,500 AMGEN INC COMMON STOCK - LONG 031162100 273 4,000 SH SOLE 4,000 APACHE CORP COMMON STOCK - LONG 037411105 333 5,000 SH SOLE 5,000 AUTODESK INC COMMON STOCK - LONG 052769106 212 5,237 SH SOLE 5,237 BLACKROCK INCOME OPPORTUNITY TRUST INC MUTUAL FUNDS - LONG 092475102 103 10,000 SH SOLE 10,000 BLACKROCK S&P 500 PROTECTED EQUTIY FD INC MUTUAL FUNDS - LONG 09256f108 253 25,602 SH SOLE 25,602 BORLAND SOFTWARE CORP COMMON STOCK - LONG 099849101 752 138,300 SH SOLE 138,300 CALL CATERPILLAR MAY 065 **** CALLS - LONG 1491239e3wi 9 40 CALL SOLE 40 CALL INTEGRATED D FEB 015 **** CALLS - LONG 4581189b4 6 50 CALL SOLE 50 CALL NABI BIOPHAR JAN 005 **** CALLS - LONG 6295199a9 231 1,214 CALL SOLE 1,214 CALL NORTHWEST JAN 007 **** LONG TERM O CALLS - LONG 66728p9a6 1 50 CALL SOLE 50 CISCO SYSTEMS INC COMMON STOCK - LONG 17275r102 410 15,000 SH SOLE 15,000 CITRIX SYSTEMS INC COMMON STOCK - LONG 177376100 325 12,000 SH SOLE 12,000 CLEVELAND CLIFFS INC COMMON STOCK - LONG 185896107 4160 85,876 SH SOLE 85,876 COMPANHIA VALE DO RIO DOCE SPONSORED ADR R PREFERRED STOCK 204412100 1013 38,600 SH SOLE 38,600 CONAGRA FOODS INC COMMON STOCK - LONG 205887102 770 28,500 SH SOLE 28,500 CYMER INC CONV SENIOR SUB NOTE CONVERTIBLE BONDS - LONG 232572ae7 3919 3,741,000 PRN SOLE 3,741,000 DEAN FOODS CO NEW COMMON STOCK - LONG 242370104 3070 72,600 SH SOLE 72,600 DOW CHEMICAL CO. COMMON STOCK - LONG 260543103 2313 57,900 SH SOLE 57,900 DWS GLOBAL COMMODITIES STK FD INC MUTUAL FUNDS - LONG 23338y100 2354 149,377 SH SOLE 149,377 EMERSON ELECTRIC CO COMMON STOCK - LONG 291011104 396 8,986 SH SOLE 8,986 ENTEGRIS INC COMMON STOCK - LONG 29362U104 848 78,385 SH SOLE 78,385 EXULT INC CONV SENIOR NOTE 144A CONVERTIBLE BONDS - LONG 302284aa2 566 600000 PRN SOLE 600,000 FINANCIAL INDUSTRIES CORP COMMON STOCK - LONG 317574101 2808 369,519 SH SOLE 369,519 FLOW INTERNATIONAL CORP COMMON STOCK - LONG 343468104 1257 114,072 SH SOLE 114,072 FSI INTL INC COMMON STOCK - LONG 302633102 1092 207,157 SH SOLE 207,157 GABELLI DIVIDEND & INCOME FUND MUTUAL FUNDS - LONG 36242h104 539 25,100 SH SOLE 25,100 GANNETT CO INC COMMON STOCK - LONG 364730101 750 12,400 SH SOLE 12,400
SHARES/ VOTING AUTHORITY VALUE PRN SH/ PUT/ INVSTMT OTHER ---------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED - ----------------------------------------------------------------------------------------------------------------------------------- GENERAL MOTORS CORP CONV SR DEB CL A PREFERRED STOCK 370442741 7776 307,600 SH SOLE 307,600 GREAT PLAINS ENERGY INC COM COMMON STOCK - LONG 391164100 1975 62,100 SH SOLE 62,100 GULF ISLAND FABRICATION INC COMMON STOCK - LONG 402307102 1476 40,000 SH SOLE 40,000 HOME DEPOT INC COMMON STOCK - LONG 437076102 402 10,000 SH SOLE 10,000 HORNBECK OFFSHORE SERVICES INC COMMON STOCK - LONG 440543106 607 17,000 SH SOLE 17,000 INFOCUS CORP COM COMMON STOCK - LONG 45665B106 747 279,862 SH SOLE 279,862 INTERNATIONAL PAPER CO COMMON STOCK - LONG 460146103 1030 30,200 SH SOLE 30,200 ISHARES TR GOLDMAN SACHS MULTIMEDIA COMMON STOCK - LONG 464287531 251 7,800 SH SOLE 7,800 KEYSPAN CORP COMMON STOCK - LONG 49337w100 280 6,800 SH SOLE 6,800 LAFAYETTE CMNTY BANCORP COMMON STOCK - LONG 506080100 167 9,600 SH SOLE 9,600 MAXIM INTEGRATED PRODUCTS INC COMMON STOCK - LONG 57772k101 245 8,000 SH SOLE 8,000 MBT FINL CORP COMMON STOCK - LONG 578877102 243 15,863 SH SOLE 15,863 MEDTRONIC INC COMMON STOCK - LONG 585055106 268 5,000 SH SOLE 5,000 MONROE BANCORP-IND COMMON STOCK - LONG 610313108 996 59,440 SH SOLE 59,440 NABORS INDUSTRIES LTD NEW COMMON STOCK - LONG g6359f103 274 9,200 SH SOLE 9,200 NEW YORK TIMES CO-CL A COMMON STOCK - LONG 650111107 1703 69,900 SH SOLE 69,900 NEWMONT MINING CORP HOLDING CO NEW COMMON STOCK - LONG 651639106 1707 37,800 SH SOLE 37,800 NOKIA CORPORATION SPONSORED ADR REPSTG 1 S AMERICAN DEPOSITORY RECEIPTS 654902204 1463 72,000 SH SOLE 72,000 OLIN CORP NEW COMMON STOCK - LONG 680665205 590 35,700 SH SOLE 35,700 PARKER HANNIFIN CORP COMMON STOCK - LONG 701094104 231 3,000 SH SOLE 3,000 PENTAIR INC COMMON STOCK - LONG 709631105 628 20,000 SH SOLE 20,000 POWER-ONE INC COMMON STOCK - LONG 739308104 866 118,962 SH SOLE 118,962 PRAXAIR INC COMMON STOCK - LONG 74005p104 451 7,600 SH SOLE 7,600 Progress Energy-CONT. VALUE OBLIG. COMMON STOCK - LONG 743263aa3 104 337,000 SH SOLE 337,000 ptusfwyou PUTS - LONG 4 200 PUT SOLE 200 PUR RKH JAN 140 PUTS - LONG 2 350 PUT SOLE 350 PUT AMAZON COM JAN37.50**** PUTS - LONG 0231359m0 3 70 PUT SOLE 70 PUT CARMAX INC APR 040 **** PUTS - LONG 1431309p9 10 500 PUT SOLE 500 PUT CENTEX CORP JAN 065 CBOE PUTS - LONG 1523129m8wi 172 200 PUT SOLE 200 PUT CHICAGO MERC JAN 350 **** PUTS - LONG 1f199w9m0 2 300 PUT SOLE 300 PUT CHICAGO MERC JAN 430 **** LONG TERM O PUTS - LONG 102 50 PUT SOLE 50 PUT CHICAGO MERC JAN 430 **** LONG TERM O PUTS - LONG 1k199w9m9wi 28 10 PUT SOLE 10 PUT CHINA LIFE APR 28.125 266sh./ct. PUTS - LONG 1w693w9p7wi 3 85 PUT SOLE 85 PUT CHINA LIFE APR 31.875 266sh./ct. PUTS - LONG 22 361 PUT SOLE 361 PUT CHINA LIFE JUL 35.625 266sh./ct. PUTS - LONG 1w693w9s1wi 20 100 PUT SOLE 100
SHARES/ VOTING AUTHORITY VALUE PRN SH/ PUT/ INVSTMT OTHER ---------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED - ----------------------------------------------------------------------------------------------------------------------------------- PUT CHINA LIFE JUL 37.50 266sh./ct. PUTS - LONG 86 260 PUT SOLE 260 PUT CHINA LIFE JUL 41.25 266sh./ct. PUTS - LONG 1w693w9s1 56 100 PUT SOLE 100 PUT CHINA LIFE JUL 45 266sh./ct. PUTS - LONG 175 200 PUT SOLE 200 PUT COUNTRYWIDE JAN 035 **** PUTS - LONG 2223729m8 1 953 PUT SOLE 953 PUT COUNTRYWIDE JAN37.50**** PUTS - LONG 2223729m8 1 200 PUT SOLE 200 PUT DEERE & CO JUN 090 **** PUTS - LONG 2441999r8wi 9 25 PUT SOLE 25 PUT DIAMOND TR JAN 121 CBOE PUTS - LONG 2g199w9m7wi 1 25 PUT SOLE 25 PUT EXPEDITORS JAN42.50**** ADJ 2 FOR 1 PUTS - LONG 3021309m3 88 400 PUT SOLE 400 PUT FIRST MARBL MAR33.375**** ADJ 3 FOR 2 PUTS - LONG 3w077w9o4 5 100 PUT SOLE 100 PUT GENERAL MTRS JAN12.50**** PUTS - LONG 3704429m9wi 1 200 PUT SOLE 200 PUT GENERAL MTRS JAN17.50**** PUTS - LONG 3704429m9 3 505 PUT SOLE 505 PUT GENERAL MTRS JAN17.50**** PUTS - LONG 3704429m9 2 310 PUT SOLE 310 PUT GOLDMAN SACH APR 160 **** PUTS - LONG 3g099w9p0wi 12 100 PUT SOLE 100 PUT GOLDMAN SACH JAN 200 **** PUTS - LONG 3g099w9m7 6 17 PUT SOLE 17 PUT INTERCONTI JUN 085 CBOE PUTS - LONG 45865v9r3wi 325 650 PUT SOLE 650 PUT INTERCONTI JUN 100 CBOE PUTS - LONG 45865v9r3 396 400 PUT SOLE 400 PUT INTERCONTI MAR 090 CBOE PUTS - LONG 45865v9o0wi 83 250 PUT SOLE 250 PUT KIMBRLY CLRK JAN 065 **** PUTS - LONG 4943689m7wi 1 50 PUT SOLE 50 PUT MBIA INC JAN 050 PUTS - LONG 55262c9m4wi 2 391 PUT SOLE 391 PUT MBIA INC JAN 055 PUTS - LONG 8 1,600 PUT SOLE 1,600 PUT MBIA INC JAN 060 **** PUTS - LONG 4 750 PUT SOLE 750 PUT MBIA INC JAN 060 **** LONG TERM O PUTS - LONG 5x599w9m3wi 227 1105 PUT SOLE 1,105 PUT MBIA INC JAN 065 **** PUTS - LONG 13 1,290 PUT SOLE 1,290 PUT MORGAN STANL JAN 040 **** LONG TERM O PUTS - LONG 2419369m7 15 200 PUT SOLE 200 PUT NATL CITY CP JAN 040 **** LONG TERM O PUTS - LONG 6q699w9m6 49 265 PUT SOLE 265 PUT NVIDIA CORP JAN32.50**** PUTS - LONG 67066g9m8 1 25 PUT SOLE 25
SHARES/ VOTING AUTHORITY VALUE PRN SH/ PUT/ INVSTMT OTHER ---------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED - ----------------------------------------------------------------------------------------------------------------------------------- PUT NYSE GROUP JAN 085 **** LONG TERM O PUTS - LONG 6n899w9m1wi 103 100 PUT SOLE 100 PUT NYSE GROUP JUN 070 **** PUTS - LONG 62949w9r6wi 96 200 PUT SOLE 200 PUT PRAXAIR INC JAN 060 **** PUTS - LONG 74005p9m8wi 2 20 PUT SOLE 20 PUT TEXAS INSTRS JAN32.50**** PUTS - LONG 8825089m8 7 20 PUT SOLE 20 PUT WACHOVIA CRP JAN 055 **** PUTS - LONG 9299039m6wi 5 500 PUT SOLE 500 PUT WALGREEN CO JAN 045 **** PUTS - LONG 9314229m3 7 200 PUT SOLE 200 PUT WALT DISNEY JAN 030 **** PUTS - LONG 2546879m0 0 100 PUT SOLE 100 PUT WHOLE FOODS JAN 050 **** LONG TERM O PUTS - LONG 9f999w9m4wi 32 100 PUT SOLE 100 PUT WHOLE FOODS JAN 065 **** LONG TERM O PUTS - LONG 9f999w9m4wi 542 300 PUT SOLE 300 PUT DHR JAN 075 PUTS - LONG 7 25 PUT SOLE 25 PUT GM JAN 010 PUTS - LONG 5 900 PUT SOLE 900 PUT MBI JAN 075 2008 PUTS - LONG 64 100 PUT SOLE 100 PUT MBI MAY 065 PUTS - LONG 30 200 PUT SOLE 200 PUT NCC JAN 2008 040 Strike PUTS - LONG 253 550 PUT SOLE 550 PUT NCC JAN 37.50 PUTS - LONG 54 400 PUT SOLE 400 PUT NYSE GROUP JUN 2007 070 PUTS - LONG 38 150 PUT SOLE 150 PUT NYSE GROUP JUN 2007 090 PUTS - LONG 117 133 PUT SOLE 133 PUT PVTB MAR 045 PUTS - LONG 30 82 PUT SOLE 82 PUT RATE MAY 040 PUTS - LONG 88 187 PUT SOLE 187 QUEST DIAGNOSTICS INC COMMON STOCK - LONG 74834l100 212 4,000 SH SOLE 4,000 RIO TINTO PLC SPONSORED ADR AMERICAN DEPOSITORY RECEIPTS 767204100 382 1,800 SH SOLE 1,800 SANDISK CORP COMMON STOCK - LONG 80004c101 1076 25,000 SH SOLE 25,000 SEABULK INTERNATIONAL INC SENIOR NOTE CORPORATE BONDS 81169pad3 5413 5,000,000 PRN SOLE 5,000,000 SOUTHWEST GAS CORP COM COMMON STOCK - LONG 844895102 2613 68,100 SH SOLE 68,100 ST JOSEPH CAPITAL CORP COMMON STOCK - LONG 790595102 922 23,400 SH SOLE 23,400 STREETTRACKS GOLD TRUST COMMON STOCK - LONG 863307104 1922 30,400 SH SOLE 30,400 STRYKER CORP COMMON STOCK - LONG 863667101 1124 20,400 SH SOLE 20,400 SUN MICROSYSTEMS INC COM COMMON STOCK - LONG 866810104 451 83,200 SH SOLE 83,200 SWISS HELVETIA FUND INC MUTUAL FUNDS - LONG 870875101 361 18,895 SH SOLE 18,895 SYPRIS SOLUTIONS INC COMMON STOCK - LONG 871655106 576 82,809 SH SOLE 82,809 TEXAS INSTRUMENTS INC COMMON STOCK - LONG 882508104 259 9,000 SH SOLE 9,000 TIME WARNER INC NEW COMMON STOCK - LONG 887317105 525 24,100 SH SOLE 24,100 TRIMBLE NAV LTD COMMON STOCK - LONG 896239100 1928 38,000 SH SOLE 38,000 TYSON FOODS INC CL A COMMON STOCK - LONG 902494103 944 57,400 SH SOLE 57,400 UNITED TECHNOLOGIES CORP COMMON STOCK - LONG 913017109 819 13,100 SH SOLE 13,100 VALERO ENERGY CORP NEW COMMON STOCK - LONG 91913y100 1284 25,100 SH SOLE 25,100 VIACOM INC NEW CL A COMMON STOCK - LONG 92553p102 369 9,000 SH SOLE 9,000 WEATHERFORD INTERNATIONAL LTD NEW (BERMUDA COMMON STOCK - LONG g95089101 251 6,000 SH SOLE 6,000 WHOLE FOODS MARKET INC COMMON STOCK - LONG 966837106 1951 41,580 SH SOLE 41,580 XYRATEX LTD COMMON STOCK - LONG g98268108 426 19,734 SH SOLE 19,734 ZIMMER HOLDINGS INC COMMON STOCK - LONG 98956p102 2148 27,400 SH SOLE 27,400
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