-----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, IjEJVuRivrU9htFfkUN/zlsQ6RJB1Gz8OG3imk4Alfm4BVDwEAClp85VdPnq3O1y m3yU+6ZYyFCulhrMATIAdA== 0000950144-07-010472.txt : 20071114 0000950144-07-010472.hdr.sgml : 20071114 20071114163122 ACCESSION NUMBER: 0000950144-07-010472 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071114 DATE AS OF CHANGE: 20071114 EFFECTIVENESS DATE: 20071114 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: 071245374 BUSINESS ADDRESS: STREET 1: 400 ROYAL PALM WAY STREET 2: #212 CITY: PALM BEACH STATE: FL ZIP: 33480 BUSINESS PHONE: 5618324110 13F-HR 1 g10636e13fvhr.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: 9-30-07 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: 222 Lakeview Ave. ----------------------------------- Suite 1130 ----------------------------------- West Palm Beach, FL 33401 ----------------------------------- Form 13F File Number: 28-10442 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: CFO ----------------------------- Phone: 561-832-4110 ----------------------------- Signature, Place and Date of Signing: /s/ Joseph W. O'Neill, Jr. West Palm Beach, FL 11-14-07 - -------------------------- --------------------- --------------- [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: 127 ----------- Form 13F Information Table Value Total: 122,898 ----------- (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 30-Sep-07 FOR M 13F SUMMARY PAGE
Report Summary: Number of other Included Managers: - Form 13F Information Table Entry Total: 127 Form 13F Information Table Value Total: 122,898 FORM 13F INFORMATION TABLE VOTING AUTHORITY VALUE SHARES/ SH/ PUT/ INVSTM OTHER ------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DCRETN MANAGERS SOLE SHARED - ----------------------------------------------------------------------------------------------------------------------------------- 3COM CORP COM STK COMMON STOCK 885535104 1009 204,200 SH SOLE 204,200 ABER DIAMOND CORP COMMON STOCK 002893105 3924 100,000 SH SOLE 100,000 ABERDEEN ASIA-PACIFIC INCOME F COM STK MUTUAL FUNDS 003009107 1602 256,678 SH SOLE 256,678 ALTRIA GROUP INC COMMON STOCK 02209S103 2225 32,000 SH SOLE 32,000 AMAZON.COM INC COMMON STOCK 23135106 59 500 PUT SOLE 500 AMAZON.COM INC COMMON STOCK 23135106 297 300 PUT SOLE 300 APACHE CORP COM STK COMMON STOCK 037411105 719 7,979 SH SOLE 7,979 BLACKROCK CORPORATE HIGH YIELD COM STK MUTUAL FUNDS 09255P107 508 40,548 SH SOLE 40,548 BORDERS GROUP INC COMMON STOCK 99709107 3 200 CALL SOLE 200 BORLAND SOFTWARE COR COMMON STOCK 099849101 602 138,300 SH SOLE 138,300 BUFFALO WILD WINGS INC COM STK COMMON STOCK 119848109 370 9,800 SH SOLE 9,800 BUFFALO WILD WINGS INC COM STK COMMON STOCK 119848109 353 430 PUT SOLE 430 CARROLS HOLDINGS CORP COMMON STOCK 14574X104 336 30,000 SH SOLE 30,000 CHINA LIFE INSURANCECO ADR AMERICAN DEPOSITORY RECEIPTS - 16939P106 -5024 (58,265) SH SOLE (58,265) CHINA LIFE INSURANCECO ADR COMMON STOCK 16939P106 9 200 PUT SOLE 200 CHINA LIFE INSURANCECO ADR COMMON STOCK 16939P106 31 200 PUT SOLE 200 CHINA LIFE INSURANCECO ADR COMMON STOCK 16939P106 88 200 PUT SOLE 200 CHINA LIFE INSURANCECO ADR COMMON STOCK 16939P106 300 500 PUT SOLE 500 CHINA LIFE INSURANCECO ADR COMMON STOCK 16939P106 168 300 PUT SOLE 300 CHINA LIFE INSURANCECO ADR COMMON STOCK 16939P106 202 200 PUT SOLE 200 CIA VALE DO RIO DOCE - ADR COMMON STOCK 204412209 105 1,000 PUT SOLE 1,000 CKH 9.5 15AUG2013 CORPORATE BONDS 81169PAD3 5338 5,000,000 PRN SOLE 5,000,000 CLAYMORE / RAYMOND JAMES SB-1 COM STK MUTUAL FUNDS 183833102 3034 154,700 SH SOLE 154,700 CME GROUP INC COMMON STOCK 12572Q105 16 50 PUT SOLE 50 CME GROUP INC COMMON STOCK 12572Q105 4 10 PUT SOLE 10 COLONIAL BANCGROUP INC COM STK COMMON STOCK 195493309 461 21,300 SH SOLE 21,300 COLONIAL BANCGROUP INC COM STK COMMON STOCK 1954393309 50 400 PUT SOLE 400 COLONIAL BANCGROUP INC COM STK COMMON STOCK 1954393309 114 300 PUT SOLE 300 COLONIAL BANCGROUP INC COM STK COMMON STOCK 1954393309 426 1,150 PUT SOLE 1,150 COLONIAL BANCGROUP INC COM STK COMMON STOCK 1954393309 205 1,203 PUT SOLE 1,203 CONAGRA FOODS INC COM STK COMMON STOCK 205887102 745 28,500 SH SOLE 28,500 CROX INC. COM STK COMMON STOCK 227046109 21 1,400 PUT SOLE 1,400 CROX INC. COM STK COMMON STOCK 227046109 30 1,000 PUT SOLE 1,000 CROX INC. COM STK COMMON STOCK 227046109 5 200 PUT SOLE 200 CYMI CB 3.5 15FEB2009 CONVERTIBLE BONDS 232572AE7 3764 3,741,000 PRN SOLE 3,741,000 DEAN FOODS CO NEW COMMON STOCK 242370104 396 15,500 SH SOLE 15,500 DOW CHEMICAL CORP COM STK COMMON STOCK 260543103 2312 53,700 SH SOLE 53,700 DWS GLOBAL COMMODITIES STK FD COM STK MUTUAL FUNDS 23338Y100 3198 163100 SH SOLE 163,100 EASTWEST BANCORP INC COM STK COMMON STOCK 27579R104 240 500 PUT SOLE 500 EMERSON ELECTRIC CO COM STK COMMON STOCK 291011104 1649 30986 SH SOLE 30,986 F 5.625 01OCT2008 CORPORATE BONDS 345397UA9 2931 3,000,000 PRN SOLE 3,000,000 FINANCIAL INDS CORP COM COMMON STOCK 317574101 2143 369519 SH SOLE 369,519 FIRST BANCORP PUERTO RICO COMMON STOCK 350755302 83 277 PUT SOLE 277 FIRST MARBLEHEAD CORP COMMON STOCK 320771108 8 200 PUT SOLE 200 FIRST MARBLEHEAD CORP COMMON STOCK 320771108 414 900 PUT SOLE 900 FIRST MARBLEHEAD CORP COMMON STOCK 320771108 112 200 PUT SOLE 200 FLORIDA PUB UTILS CO COM STK COMMON STOCK 341135101 180 15,000 SH SOLE 15,000 GABELLI DIVID & INCOME TR COM STK MUTUAL FUNDS 36242H104 755 35,100 SH SOLE 35,100 GAP INC COM STK COMMON STOCK 364760108 1114 60,400 SH SOLE 60,400 GENERAL MOTORS CORP COMMON STOCK 370442105 28 300 PUT SOLE 300 GENERAL MOTORS CORP SR A 4.5% CONV PFD PREFERRED STOCK 370442741 1907 90700 SH SOLE 90,700 GMAC 7.75 19JAN2010 CORPORATE BONDS 370425RP7 1984 2,000,000 PRN SOLE 2,000,000 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 98 100 PUT SOLE 100 GREAT PLAINS ENERGY INC COM STK COMMON STOCK 391164100 1697 58900 SH SOLE 58,900 GREATER BAY BANCORP COM STK COMMON STOCK 391648102 2697 97730 SH SOLE 97,730 GULF IS FABRICATION INC COM STK COMMON STOCK 402307102 1440 37500 SH SOLE 37,500 HEW CB 2.5 01OCT2010 144A CONVERTIBLE BONDS 302284AA2 581 600,000 PRN SOLE 600,000 HORIZON OFFSHORE INC COM STK COMMON STOCK 44043J204 2888 175000 SH SOLE 175,000 HOS VRN CB 15NOV2026 144A CONVERTIBLE BONDS 440543AD8 2492 2,500,000 PRN SOLE 2,500,000 INDEPENDENT BANK CORP MICHIGAN COM STK COMMON STOCK 453838104 243 22,000 SH SOLE 22,000 INFOCUS CORP COMMON STOCK 45665B106 391 229,862 SH SOLE 229,862 INTERACTIVE DATA CORP COM STK COMMON STOCK 45840J107 1323 46,900 SH SOLE 46,900 INTERNATIONAL PAPER CO COM STK COMMON STOCK 460146103 725 20,200 SH SOLE 20,200 ISHARES MSCI BRAZIL COMMON STOCK 99O9K8LK1 81 450 PUT SOLE 450 ISHARES MSCI EAFA INDEX FUND COMMON STOCK 99AD7G894 113 610 PUT SOLE 610 JARDEN CORP COM STK COMMON STOCK 471109108 127 289 PUT SOLE 289 JARDEN CORP COM STK COMMON STOCK 471109108 228 253 PUT SOLE 253 JARDEN CORP COM STK COMMON STOCK 471109108 1430 1,007 PUT SOLE 1,007 KRAFT FOODS INC COMMON STOCK 50075N104 1454 42,144 SH SOLE 42,144 LANCASTER COLONY CORP COM STK COMMON STOCK 513847103 1145 30,000 SH SOLE 30,000 LANCE INC COM STK COMMON STOCK 514606102 2878 125,000 SH SOLE 125,000 LAS VEGAS SANDS CORP COMMON STOCK 517834107 40 50 PUT SOLE 50 MB FINANCIAL INC COMMON STOCK 55264U108 933 27,000 SH SOLE 27,000 MBIA INC COM STK COMMON STOCK 55262C100 305 5,000 SH SOLE 5,000 MBIA INC COM STK COMMON STOCK 55262C100 603 1,205 PUT SOLE 1,205 MBIA INC COM STK COMMON STOCK 55262C100 428 400 PUT SOLE 400 MBIA INC COM STK COMMON STOCK 55262C100 150 100 PUT SOLE 100 MBT FINANCIAL CORP COM STK COMMON STOCK 578877102 190 15,863 SH SOLE 15,863 MONOGRAM BIOSCIENCES INC COM STK COMMON STOCK 60975U108 86 60,000 SH SOLE 60,000 MONROE BANCORP COM STK COMMON STOCK 610313108 266 15,947 SH SOLE 15,947 MORGAN STANLEY & CO INC COMMON STOCK 617446448 22 200 PUT SOLE 200 MORGAN STANLEY & CO INC COMMON STOCK 617446448 22 100 PUT SOLE 100 MOTOROLA INC COM STK COMMON STOCK 620076109 741 40,000 SH SOLE 40,000 MUELLER WTR PRODS INC COM STK COMMON STOCK 624758207 385 35,000 SH SOLE 35,000 NABI BIOPHARMACEUTICALS COM STK COMMON STOCK 629519109 493 121,400 SH SOLE 121,400 NABORS INDUSTRIES LTD COM STK COMMON STOCK G6359F103 283 9,200 SH SOLE 9,200 NATIONAL CITY CORP COM STK COMMON STOCK 635405103 3160 125,933 SH SOLE 125,933 NATIONAL CITY CORP COM STK COMMON STOCK 635405103 273 265 PUT SOLE 265 NATIONAL CITY CORP COM STK COMMON STOCK 635405103 1444 950 PUT SOLE 950 NEW YORK TIMES CO CL A COM STK COMMON STOCK 650111107 2134 108,000 SH SOLE 108,000 NEWFIELD EXPL CO COM STK COMMON STOCK 651290108 968 20,100 SH SOLE 20,100 NEWMONT MINING CORP COM STK COMMON STOCK 651639106 1691 37,800 SH SOLE 37,800 NOKIA CORP ADR AMERICAN DEPOSITORY RECEIPTS - 654902204 2538 66,900 SH SOLE 66,900 NOTE 4.0 09/30/07 GOVERNMENT BONDS 912828EH9 11000 11,000,000 PRN SOLE 1,000,000 NYSE EURONEXT COMMON STOCK 629491101 101 100 PUT SOLE 100 OLIN CORP COM STK COMMON STOCK 680665205 799 35,700 SH SOLE 35,700 PENTAIR INC COM STK COMMON STOCK 709631105 664 20,000 SH SOLE 20,000 PLA CB 3 15MAR2025 CONVERTIBLE BONDS 728117AB8 1823 2,000,000 PRN SOLE 2,000,000 PLAYBOY ENTERPRISES INC CL B COM STK COMMON STOCK 728117300 705 65,620 SH SOLE 65,620 POLARIS INDUSTRIES INC. COMMON STOCK 731068102 1218 1,050 PUT SOLE 1,050 PRIVATEBANCORP INC COMMON STOCK 742962103 165 270 PUT SOLE 270 PROGRESS ENERGY INC COM STK COMMON STOCK 743263AA3 111 337,000 SH SOLE 337,000 RESEARCH IN MOTION LIMITED COMMON STOCK 760975102 75 450 PUT SOLE 450 RESEARCH IN MOTION LIMITED COMMON STOCK 760975102 437 310 PUT SOLE 310 S&P 500 PROTECTED EQUITY FD I COM STK MUTUAL FUNDS 09256F108 571 56,166 SH SOLE 56,166 SANDISK CORP COM STK COMMON STOCK 80004C101 1433 26,000 SH SOLE 26,000 SIRENZA MICRODEVICESINC COMMON STOCK 82966T106 1176 68,000 SH SOLE 68,000 SLM CORP COMMON STOCK 78442P106 38 500 CALL SOLE 500 SNDK CB 1 15MAY2013 CONVERTIBLE BONDS 80004CAC5 2850 3,000,000 PRN SOLE 3,000,000 SOUTHWEST GAS CORP COM STK COMMON STOCK 844895102 2220 78,490 SH SOLE 78,490 STIFEL FINANCIAL COMMON STOCK 860630102 2 55 PUT SOLE 55 STREETTRACKS GOLD TRUST COMMON STOCK 863307104 2602 35,400 SH SOLE 35,400 STRYKER CORP COM COMMON STOCK 863667101 1403 20,400 SH SOLE 20,400 SUN MICROSYSTEMS INC COM STK COMMON STOCK 866810104 1140 203,200 SH SOLE 203,200 SWISS HELVETIA FD INC COM STK MUTUAL FUNDS 870875101 430 23,790 SH SOLE 23,790 SYPRIS SOLUTIONS INC COM STK COMMON STOCK 871655106 387 45,000 SH SOLE 45,000 TIME WARNER INC COM STK COMMON STOCK 887317105 1452 79,100 SH SOLE 79,100 TRI CONTL CORP COM STK MUTUAL FUNDS 895436103 1033 42,600 SH SOLE 42,600 TRIMBLE NAVIGATION LTD COM STK COMMON STOCK 896239100 2392 61000 SH SOLE 61,000 TYSON FOODS INC CL A COM STK COMMON STOCK 902494103 714 40,000 SH SOLE 40,000 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 1054 13,100 SH SOLE 13,100 VALERO ENERGY CORP COM STK COMMON STOCK 91913Y100 618 9,200 SH SOLE 9,200 VIACOM INC CL A COM STK COMMON STOCK 92553P102 351 9,000 SH SOLE 9,000 WABCO HOLDINGS INC COMMON STOCK 92927K102 1169 25,000 SH SOLE 25,000 ZIMMER HOLDINGS INC COM STK COMMON STOCK 98956P102 1409 17400 SH SOLE 17,400 ZUMIEZ INC. COMMON STOCK 989817101 44 300 PUT SOLE 300
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