0000950142-13-000317.txt : 20130213 0000950142-13-000317.hdr.sgml : 20130213 20130213104225 ACCESSION NUMBER: 0000950142-13-000317 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130213 DATE AS OF CHANGE: 20130213 EFFECTIVENESS DATE: 20130213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PLATINUM GROVE ASSET MANAGEMENT, LP CENTRAL INDEX KEY: 0001275565 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10667 FILM NUMBER: 13600385 BUSINESS ADDRESS: STREET 1: RECKSON EXECUTIVE PARK BLDG FOUR STREET 2: 1100 KING STREET CITY: RYE BROOK STATE: NY ZIP: 10573 BUSINESS PHONE: 914-690-2103 MAIL ADDRESS: STREET 1: RECKSON EXECUTIVE PARK BLDG FOUR STREET 2: 1100 KING STREET CITY: RYE BROOK STATE: NY ZIP: 10573 FORMER COMPANY: FORMER CONFORMED NAME: OAK HILL PLATINUM PARTNERS LLC DATE OF NAME CHANGE: 20040107 13F-HR 1 ea1300182_13fhr-q0412.txt QUARTERLY PERIOD ENDING 12/31/2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended December 31, 2012 --------------------- 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: Platinum Grove Asset Management, L.P. ----------------------------------------- Address: 287 Bowman Avenue ----------------------------------------- Purchase, NY, 10577 ----------------------------------------- Form 13F File Number: 28-10667 ------------ 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 R. Schwenk ----------------------------------------- Title: General Counsel ----------------------------------------- Phone: (914) 690-2103 ----------------------------------------- Signature, Place, and Date of Signing: /s/ Michael R. Schwenk Purchase, NY February 13, 2013 ----------------------------- ------------------ ------------------------ [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: 0 ---------------------- Form 13F Information Table Entry Total: 72 ---------------------- Form 13F Information Table Value Total: $43,420 ---------------------- (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. NONE 2
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------- -------- ---------- -------- ------------------- ---------- ---------- -------------------------- TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- ADVANCED MICRO DEVICES INC COM 007903107 31 13,015 SH 13,015 ALTERA CORP COM 021441100 339 9,835 SH 9,835 AMERICAN INTL GROUP INC COM 026874784 1,097 31,066 SH 31,066 AMERISOURCEBERGEN CORP COM 03073E105 338 7,820 SH 7,820 ANADARKO PETE CORP COM 032511107 338 4,550 SH 4,550 APPLE INC COM 037833100 1,289 2,419 SH 2,419 BANK OF AMERICA CORPORATION COM 060505104 182 15,727 SH 15,727 BARCLAYS BK PLC IPATH 06740C519 4,263 152,527 SH 152,527 S&P MT ETN BEST BUY INC COM 086516101 353 29,758 SH 29,758 BP PLC SPONSOR 055622104 303 7,281 SH 7,281 ED ADR BRISTOL MYERS SQUIBB CO COM 110122108 342 10,496 SH 10,496 CAPITAL ONE FINL CORP COM 14040H105 334 5,763 SH 5,763
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------- -------- ---------- -------- ------------------- ---------- ---------- -------------------------- TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- CF INDS HLDGS INC COM 125269100 341 1,677 SH 1,677 CHEVRON CORP NEW COM 166764100 340 3,146 SH 3,146 CLIFFS NATURAL RESOURCES INC COM 18683K101 363 9,421 SH 9,421 COLGATE PALMOLIVE CO COM 194162103 336 3,214 SH 3,214 COVENTRY HEALTH CARE INC COM 222862104 338 7,545 SH 7,545 CUMMINS INC COM 231021106 343 3,164 SH 3,164 DELL INC COM 24702R101 340 33,596 SH 33,596 DEVRY INC DEL COM 251893103 310 13,074 SH 13,074 DIAMOND OFFSHORE DRILLING IN COM 25271C102 339 4,995 SH 4,995 EMERSON ELEC CO COM 291011104 339 6,409 SH 6,409 FAMILY DLR STORES INC COM 307000109 338 5,332 SH 5,332 FOREST LABS INC COM 345838106 339 9,611 SH 9,611 FREEPORT-MCMORAN COPPER & GO COM 35671D857 346 10,114 SH 10,114 GAMESTOP CORP NEW CL A 36467W109 343 13,678 SH 13,678 GANNETT INC COM 364730101 343 19,038 SH 19,038 GILEAD SCIENCES INC COM 375558103 492 6,705 SH 6,705
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------- -------- ---------- -------- ------------------- ---------- ---------- -------------------------- TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- GOOGLE INC CL A 38259P508 636 896 SH 896 HEWLETT PACKARD CO COM 428236103 349 24,526 SH 24,526 HUMANA INC COM 444859102 340 4,953 SH 4,953 INTEL CORP COM 458140100 341 16,553 SH 16,553 ISHARES TR MSCI 464287465 5,563 97,905 SH 97,905 EAFE INDEX ISHARES TR MSCI 464287234 5,249 118,353 SH 118,353 EMERG MKT ISHARES TR BARCLYS 464287432 349 2,876 SH 2,876 20+ YR ISHARES TR BARCLYS 464287440 622 5,789 SH 5,789 7-10 YR JABIL CIRCUIT INC COM 466313103 348 18,027 SH 18,027 KKR FINANCIAL HLDGS LLC COM 48248A306 147 13,960 SH 13,960 KLA-TENCOR CORP COM 482480100 339 7,107 SH 7,107 L-3 COMMUNICATIONS HLDGS INC COM 502424104 338 4,416 SH 4,416 LILLY ELI & CO COM 532457108 340 6,890 SH 6,890 LINEAR TECHNOLOGY CORP COM 535678106 339 9,879 SH 9,879
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------- -------- ---------- -------- ------------------- ---------- ---------- -------------------------- TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- LOCKHEED MARTIN CORP COM 539830109 337 3,655 SH 3,655 LORILLARD INC COM 544147101 339 2,903 SH 2,903 MARATHON PETE CORP COM 56585A102 500 7,930 SH 7,930 MBIA INC COM 55262C100 150 19,169 SH 19,169 MCGRAW HILL COS INC COM 580645109 343 6,277 SH 6,277 MCKESSON CORP COM 58155Q103 339 3,493 SH 3,493 MICROSOFT CORP COM 594918104 486 18,177 SH 18,177 MOODYS CORP COM 615369105 340 6,753 SH 6,753 NEWS CORP CL A 65248E104 495 19,390 SH 19,390 NORTHROP GRUMMAN CORP COM 666807102 338 5,004 SH 5,004 PRICELINE COM INC COM 741503403 335 539 SH 539 PROCTER & GAMBLE CO COM 742718109 483 7,117 SH 7,117 PRUDENTIAL FINL INC COM 744320102 340 6,375 SH 6,375 RAYTHEON CO COM 755111507 339 5,893 SH 5,893 ROCKWELL COLLINS INC COM 774341101 338 5,810 SH 5,810 ROSS STORES INC COM 778296103 492 9,090 SH 9,090 SEARS HLDGS CORP COM 812350106 314 7,591 SH 7,591 SHERWIN WILLIAMS CO COM 824348106 340 2,212 SH 2,212
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------- -------- ---------- -------- ------------------- ---------- ---------- -------------------------- TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- SIRIUS XM RADIO INC COM 82967N108 149 51,458 SH 51,458 SPDR GOLD TRUST GOLD SHS 78463V107 210 1,298 SH 1,298 SPDR S&P 500 ETF TR TR UNIT 78462F103 3,133 22,000 PUT 22,000 STAPLES INC COM 855030102 344 30,186 SH 30,186 TE CONNECTIVITY LTD REG SHS H84989104 341 9,195 SH 9,195 TESORO CORP COM 881609101 345 7,823 SH 7,823 TEXAS INSTRS INC COM 882508104 339 10,965 SH 10,965 UNITED CONTL HLDGS INC COM 910047109 304 13,007 SH 13,007 VIACOM INC NEW CL B 92553P201 491 9,301 SH 9,301 WELLPOINT INC COM 94973V107 340 5,587 SH 5,587 WESTERN UN CO COM 959802109 341 25,055 SH 25,055 YAHOO INC COM 984332106 336 16,901 SH 16,901
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