-----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, FBVZ/3Z+r0Zybr0g7ecZFQrylphwb6vlNlFg2KoDHxLtX8kmnOo9fWJvGSHqfJ/k +UewUxdcsdqHcqmRwvGmLg== 0000728672-02-000008.txt : 20020414 0000728672-02-000008.hdr.sgml : 20020414 ACCESSION NUMBER: 0000728672-02-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CUMBERLAND ASSOCIATES LLC CENTRAL INDEX KEY: 0000351262 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01010 FILM NUMBER: 02534237 BUSINESS ADDRESS: STREET 1: 1114 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2125750900 13F-HR 1 cumberland.txt 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, 2001 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: CUMBERLAND ASSOCIATES Address: 13 File Number: 28-1010 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 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: GARY TYNES Title: Phone: Signature, Place and Date of Signing: GARY TYNES January 28, 2002 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 63 Form 13F Information Table Value Total: 574245 List of Other Included Managers: No. 13F File Number Name 01 28-1010 CUMBERLAND ASSOCIATES2 02 FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP x($1000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- -------- --------- -------- -------- -------- D ACCLAIM ENTMT INC COM PAR $0.0 COMMON STOCK 004325205 3648 688325 SH SOLE 0102 621680 66645 0 D ADAPTEC INC COM COMMON STOCK 00651F108 8700 600000 SH SOLE 0102 539155 60845 0 D ADELPHIA COMMUNICATIONS CORP COMMON STOCK 006848105 15590 500000 SH SOLE 0102 449285 50715 0 D AMAZON COM INC COM OPTIONS - CALLS 023135SAQ 10527 972900 SH CALL SOLE 0102 873900 99000 0 D AMERICAN PWR CONVERSION CORP COMMON STOCK 029066107 1055 72970 SH SOLE 0102 65360 7610 0 D APPLE COMPUTER INC COM COMMON STOCK 037833100 35040 1600000 SH SOLE 0102 1437660 162340 0 D ASCENTIAL SOFTWARE CORP COM COMMON STOCK 04362P108 8622 2128900 SH SOLE 0102 1912145 216755 0 D AT&T WIRELESS SERVICES INC COMMON STOCK 00209A106 14370 1000000 SH SOLE 0102 898720 101280 0 D BENTON OIL & GAS CO COM COMMON STOCK 083288100 4493 3120000 SH SOLE 0102 2813516 306484 0 D CALPINE CORP COM COMMON STOCK 131347106 9738 580000 SH SOLE 0102 520690 59310 0 D CITIZENS COMM CO COM STK COMMON STOCK 17453B101 12619 1183790 SH SOLE 0102 1066415 117375 0 D CONCURRENT COMPUTER CORP NEW COMMON STOCK 206710204 2142 144270 SH SOLE 0102 129550 14720 0 D CONSECO INC COM COMMON STOCK 208464107 9455 2120000 SH SOLE 0102 1898905 221095 0 D DAL-TILE INTL INC COM COMMON STOCK 23426R108 24840 1068390 SH SOLE 0102 963788 104602 0 D DELL COMPUTER CORP COM COMMON STOCK 247025109 6611 243235 SH SOLE 0102 217885 25350 0 D DOUBLECLICK INC COM COMMON STOCK 258609304 1103 97290 SH SOLE 0102 87150 10140 0 D E*TRADE GROUP INC COM COMMON STOCK 269246104 12300 1200000 SH SOLE 0102 1078245 121755 0 D E.PIPHANY INC COM STK COMMON STOCK 26881V100 3899 447680 SH SOLE 0102 401205 46475 0 D EMCOR GROUP INC COM COMMON STOCK 29084Q100 9534 210000 SH SOLE 0102 188696 21304 0 D FLEET BOSTON FINANCIAL CORP COMMON STOCK 339030108 8943 245000 SH SOLE 0102 220145 24855 0 D GLOBALSANTAFE CORP OPTIONS - CALLS G3930EAAE 2775 97300 SH CALL SOLE 0102 87500 9800 0 D GRANT PRIDE CO COM STK COMMON STOCK 38821G101 5175 450000 SH SOLE 0102 404065 45935 0 D GUIDANT CORP COM COMMON STOCK 401698105 14886 298910 SH SOLE 0102 268570 30340 0 D HEWLETT PACKARD CO USD1 COM COMMON STOCK 428236103 14378 700000 SH SOLE 0102 628975 71025 0 D I 2 TECHNOLOGIES INC COM COMMON STOCK 465754109 3843 486435 SH SOLE 0102 436875 49560 0 D INFONET SERVICES CORPORATION COMMON STOCK 45666T106 7011 2861451 SH SOLE 0102 2572342 289109 0 D KPMG CONSULTING COMMON STOCK 48265R109 5033 303745 SH SOLE 0102 272065 31680 0 D LENDINGTREE INC COMMON STOCK 52602Q105 4720 800000 SH SOLE 0102 718550 81450 0 D LIBERTY MEDIA CORP NEW COMMON STOCK 530718105 17706 1264735 SH SOLE 0102 1136440 128295 0 D LUCENT TECHNOLOGIES INC COM COMMON STOCK 549463107 2452 389150 SH SOLE 0102 349465 39685 0 D MATTEL INC COM COMMON STOCK 577081102 8082 469875 SH SOLE 0102 423258 46617 0 D MILESTONE SCIENTIFIC INC COM COMMON STOCK 59935P100 429 780000 SH SOLE 0102 690000 90000 0 D MILLICOM INTL CELLULAR S A COM COMMON STOCK L6388F102 4536 373300 SH SOLE 0102 335270 38030 0 D MOTOROLA INC COM COMMON STOCK 620076109 7306 486430 SH SOLE 0102 436880 49550 0 D NABORS INDS INC COM OPTIONS - CALLS 6295685AD 1648 48000 SH CALL SOLE 0102 43300 4700 0 D NABORS INDS INC COM OPTIONS - CALLS 6295685AE 1648 48000 SH CALL SOLE 0102 43300 4700 0 D NETWORK ASSOCIATES INC COM COMMON STOCK 640938106 9576 370437 SH SOLE 0102 332842 37595 0 D NEWMONT MINING CORP USD1.6 COM COMMON STOCK 651639106 10226 535115 SH SOLE 0102 479335 55780 0 D NIKE INC CL B COMMON STOCK 654106103 4893 87000 SH SOLE 0102 77930 9070 0 D NOBLE DRILLING CORP COM COMMON STOCK 655042109 18722 550000 SH SOLE 0102 495370 54630 0 D NOVELL INC COM COMMON STOCK 670006105 12393 2700000 SH SOLE 0102 2432300 267700 0 D OCCIDENTAL PETE CORP COM COMMON STOCK 674599105 18571 700000 SH SOLE 0102 630630 69370 0 D OFFICE DEPOT INC USD.01 COM COMMON STOCK 676220106 10625 573110 SH SOLE 0102 514955 58155 0 D PANCANDN ENER COM STK COMMON STOCK 69831A107 10400 400000 SH SOLE 0102 359420 40580 0 D PHARMACEUTICAL RESOURCES INC COMMON STOCK 717125108 1973 58380 SH SOLE 0102 52295 6085 0 D PLACER DOME INC CAD COM NPV COMMON STOCK 725906101 7637 700000 SH SOLE 0102 629010 70990 0 D POWERWAVE TECHNOLOGIES INC COMMON STOCK 739363109 2522 145940 SH SOLE 0102 130730 15210 0 D PRIME HOSPITALITY CORP COMMON STOCK 741917108 7208 652324 SH SOLE 0102 598534 53790 0 D QUIDEL CORP USD.001 COM COMMON STOCK 74838J101 3348 435372 SH SOLE 0102 389910 45462 0 D QUINTILES TRANSNATIONAL CORP COMMON STOCK 748767100 15596 971708 SH SOLE 0102 870769 100939 0 D RESORTQUEST INTL INC COM STK COMMON STOCK 761183102 3481 731348 SH SOLE 0102 657060 74288 0 D SCIENTIFIC-ATLANTA COMMON STOCK 808655104 11970 500000 SH SOLE 0102 449295 50705 0 D SCIOS INC COM COMMON STOCK 808905103 8788 369705 SH SOLE 0102 331479 38226 0 D SEACHANGE INTL INC COM COMMON STOCK 811699107 5584 163650 SH SOLE 0102 146585 17065 0 D SOVEREIGN BANCORP INC COMMON STOCK 845905108 23807 1945000 SH SOLE 0102 1752128 192872 0 D SPINNAKER EXPL COM STK COMMON STOCK 84855W109 1201 29190 SH SOLE 0102 26150 3040 0 D STONE ENERGY CORP COM COMMON STOCK 861642106 7900 200000 SH SOLE 0102 179706 20294 0 D SUN MICROSYSTEMS INC USD.0006 COMMON STOCK 866810104 22140 1800000 SH SOLE 0102 1616040 183960 0 D UNITED MICRO ELECTRONICS ADS ADRS STOCKS 910873207 5604 583755 SH SOLE 0102 522875 60880 0 D VULCAN MATERIALS COM COMMON STOCK 929160109 7902 164830 SH SOLE 0102 148255 16575 0 D WEATHERFORD INTERNATIONAL COMMON STOCK 947074100 16953 455000 SH SOLE 0102 408840 46160 0 D WOMEN FIRST HEALTHCA RE INC CO COMMON STOCK 978150100 8400 840872 SH SOLE 0102 758219 82653 0 D WORLDCOM INC WORLDCOM GROUP CO COMMON STOCK 98157D106 11968 850000 SH SOLE 0102 763750 86250 0 S REPORT SUMMARY 63 DATA RECORDS 574245 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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