13F-HR 1 d428099d13fhr.txt STONE HARBOR INVESTMENT PARTNERS ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 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: Stone Harbor Investment Partners LP Address: 31 West 52nd Street 16th Floor New York, NY 10019 Form 13F File Number: 028-14178 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: Peter Wilby Title: Chief Investment Officer Phone: (212) 548-1200 Signature, Place, and Date of Signing: /s/ Peter J. Wilby New York, NY October 19, 2012 _______________________ ________________________ _______________________ [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).) List of Other Managers Reporting for this Manager: Form 13F File Number Name ____________________ ________________________________________________________ ================================================================================ FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 21 Form 13F Information Table Value Total (000's): $44,268 List of Other Included Managers: No. Form 13F File Number Name NONE Form 13F Information Table - Q3 2012
MARKET VALUE INVESTMENT NAME OF ISSUER TITLE OF CLASS CUSIP (000'S) SHARES/PRINCIPAL AMOUNT SHARES/PRINCIPAL DISCRETION -------------- ---------------- --------- ------------ ----------------------- ---------------- ---------- AIRTRAN HLDGS INC............. NOTE 5.250%11/0 00949PAD0 2,087 1,626,000 PRN SOLE ALTRA HOLDINGS INC............ NOTE 2.750% 3/0 02208RAE6 2,758 2,744,000 PRN SOLE APACHE CORP................... PFD CONV SER D 37411808 2,053 42,039 SH SOLE COMTECH TELECOMMUNICATIONS C.. NOTE 3.000% 5/0 205826AF7 1,302 1,220,000 PRN SOLE CUMULUS MEDIA INC............. CL A 231082108 476 172,924 SH SOLE DENDREON CORP................. NOTE 2.875% 1/1 24823QAC1 1,769 2,652,000 PRN SOLE GREENBRIER COS INC............ NOTE 3.500% 4/0 393657AH4 3,583 3,888,000 PRN SOLE HOME INNS & HOTELS MGMT INC... NOTE 2.000%12/1 43713WAB3 369 433,000 PRN SOLE HORNBECK OFFSHORE SVCS INC N.. FRNT 1.625%11/1 440543AE6 1,907 1,823,000 PRN SOLE LUCENT TECHNOLOGIES INC....... DBCV 2.875% 6/1 549463AG2 2,918 3,823,000 PRN SOLE MICRON TECHNOLOGY INC......... DEBT 1.875% 6/0 595112AK9 1,618 1,792,000 PRN SOLE MICRON TECHNOLOGY INC......... NOTE 1.500% 8/0 595112AQ6 1,664 1,853,000 PRN SOLE MOLYCORP INC DEL.............. PFD CONV SER A 608753208 371 8,147 SH SOLE NEWPARK RES INC............... NOTE 4.000%10/0 651718AC2 2,131 2,013,000 PRN SOLE ON SEMICONDUCTOR CORP......... NOTE 2.625%12/1 682189AG0 2,780 2,712,000 PRN SOLE RTI INTL METALS INC........... NOTE 3.000%12/0 74973WAA5 1,875 1,779,000 PRN SOLE SMITHFIELD FOODS INC.......... NOTE 4.000% 6/3 832248AR9 1,225 1,139,000 PRN SOLE SYMANTEC CORP................. NOTE 1.000% 6/1 871503AF5 3,989 3,646,000 PRN SOLE TRW AUTOMOTIVE INC............ NOTE 3.500%12/0 87264MAH2 4,720 2,852,000 PRN SOLE TYSON FOODS INC............... NOTE 3.250%10/1 902494AP8 3,196 2,823,000 PRN SOLE WEBMD HEALTH CORP............. NOTE 2.500% 1/3 94770VAF9 1,477 1,779,000 PRN SOLE ------ Total 44,268 ======
VOTING VOTING VOTING OTHER AUTHORITY AUTHORITY AUTHORITY NAME OF ISSUER MANAGERS (SOLE) (SHARED) (NONE) -------------- -------- --------- --------- --------- AIRTRAN HLDGS INC............. 0 1,626,000 0 0 ALTRA HOLDINGS INC............ 0 2,744,000 0 0 APACHE CORP................... 0 42,039 0 0 COMTECH TELECOMMUNICATIONS C.. 0 1,220,000 0 0 CUMULUS MEDIA INC............. 0 172,924 0 0 DENDREON CORP................. 0 2,652,000 0 0 GREENBRIER COS INC............ 0 3,888,000 0 0 HOME INNS & HOTELS MGMT INC... 0 433,000 0 0 HORNBECK OFFSHORE SVCS INC N.. 0 1,823,000 0 0 LUCENT TECHNOLOGIES INC....... 0 3,823,000 0 0 MICRON TECHNOLOGY INC......... 0 1,792,000 0 0 MICRON TECHNOLOGY INC......... 0 1,853,000 0 0 MOLYCORP INC DEL.............. 0 8,147 0 0 NEWPARK RES INC............... 0 2,013,000 0 0 ON SEMICONDUCTOR CORP......... 0 2,712,000 0 0 RTI INTL METALS INC........... 0 1,779,000 0 0 SMITHFIELD FOODS INC.......... 0 1,139,000 0 0 SYMANTEC CORP................. 0 3,646,000 0 0 TRW AUTOMOTIVE INC............ 0 2,852,000 0 0 TYSON FOODS INC............... 0 2,823,000 0 0 WEBMD HEALTH CORP............. 0 1,779,000 0 0