-----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, SmI1HqH5e6SItwpSKBY4D88KWelGrGGluNGtWkMmQUuRtOSYCkRp0LiatWX9OFoM u5qafJ/TRYeqCsNjVrw5jQ== 0000728672-02-000155.txt : 20020813 0000728672-02-000155.hdr.sgml : 20020813 20020813172914 ACCESSION NUMBER: 0000728672-02-000155 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020628 FILED AS OF DATE: 20020813 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: 02730916 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: June 28, 2002 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: 1114 Avenue Of the Americas New York, NY 10036 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: CFO Phone: Signature, Place and Date of Signing: Gary Tynes August 12, 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: 56 Form 13F Information Table Value Total: 547539 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 ABERCROMBIE & FITCH CO CL A CO COMMON STOCK 002896207 603 25000 SH SOLE 0102 21820 3180 0 D ADAPTEC INC COM COMMON STOCK 00651F108 8806 1116112 SH SOLE 0102 974089 142023 0 D AMERICAN PWR CONVERSION CORP COMMON STOCK 029066107 2898 229445 SH SOLE 0102 200916 28529 0 D ANDRX GROUP COMMON STOCK 034553107 3574 132500 SH SOLE 0102 115639 16861 0 D ASCENTIAL SOFTWARE CORP COM COMMON STOCK 04362P108 5989 2146559 SH SOLE 0102 1879924 266635 0 D BJ'S WHOLESALE CLUB INC COM COMMON STOCK 05548J106 770 20000 SH SOLE 0102 17455 2545 0 D BOWATER INC USD1 COM COMMON STOCK 102183100 20117 370000 SH SOLE 0102 322914 47086 0 D BUNGE LTD COMMON STOCK G16962105 11335 537195 SH SOLE 0102 468839 68356 0 D CALPINE CORP COM COMMON STOCK 131347106 16169 2300000 SH SOLE 0102 2007326 292674 0 D CAMINUS CORP COM STK COMMON STOCK 133766105 1370 235000 SH SOLE 0102 205094 29906 0 D CARNIVAL CORP COM STK COMMON STOCK 143658102 5085 183642 SH SOLE 0102 160394 23248 0 D CIRCUIT CITY STORES- CIRCUIT C COMMON STOCK 172737108 12924 689300 SH SOLE 0102 601574 87726 0 D CITIZENS COMM CO COM STK COMMON STOCK 17453B101 9339 1117102 SH SOLE 0102 977920 139182 0 D CONSECO INC COM COMMON STOCK 208464107 6000 3000000 SH SOLE 0102 2618257 381743 0 D CVS CORP COM COMMON STOCK 126650100 11320 369945 SH SOLE 0102 322919 47026 0 D DYNEGY INC CL-A COM STK COMMON STOCK 26816Q101 16560 2300000 SH SOLE 0102 2008264 291736 0 D DYNEGY INC CL-A COM STK OPTIONS - CALLS 26816Q1AB 1440 200000 SH CALL SOLE 0102 174600 25400 0 D E*TRADE GROUP INC COM COMMON STOCK 269246104 10101 1850000 SH SOLE 0102 1614469 235531 0 D EL PASO CORP COM COMMON STOCK 28336L109 1031 50000 SH SOLE 0102 43638 6362 0 D EMCOR GROUP INC COM COMMON STOCK 29084Q100 26478 451078 SH SOLE 0102 395054 56024 0 D ENCANA CORPORATION COMMON STOCK 292505104 12240 400000 SH SOLE 0102 349093 50907 0 D FLEET BOSTON FINANCIAL CORP COMMON STOCK 339030108 16175 500000 SH SOLE 0102 436340 63660 0 D GLOBALSANTAFE CORP OPTIONS - CALLS G3930E1AE 2735 100000 SH CALL SOLE 0102 87700 12300 0 D HANOVER COMPRESSOR CO COM COMMON STOCK 410768105 19643 1455000 SH SOLE 0102 1269768 185232 0 D HARVEST NATURAL RESO URCES INC COMMON STOCK 41754V103 14072 2814400 SH SOLE 0102 2456189 358211 0 D HOME DEPOT INC COM COMMON STOCK 437076102 735 20000 SH SOLE 0102 17457 2543 0 D INFONET SERVICES CORPORATION COMMON STOCK 45666T106 7356 2966287 SH SOLE 0102 2596542 369745 0 D J.P. MORGAN CHASE & CO COM COMMON STOCK 46625H100 15264 450000 SH SOLE 0102 392707 57293 0 D KPMG CONSULTING COMMON STOCK 48265R109 6304 424238 SH SOLE 0102 371513 52725 0 D KULICKE & SOFFA INDS INC COM COMMON STOCK 501242101 5958 480857 SH SOLE 0102 419672 61185 0 D LIBERTY MEDIA CORP NEW COMMON STOCK 530718105 16568 1656818 SH SOLE 0102 1445916 210902 0 D MAVERICK TUBE CORP COMMON STOCK 577914104 14025 935000 SH SOLE 0102 816018 118982 0 D MILESTONE SCIENTIFIC INC COM COMMON STOCK 59935P100 800 1230000 SH SOLE 0102 1230000 0 0 D MOHAWK INDS INC COM COMMON STOCK 608190104 26150 425000 SH SOLE 0102 370903 54097 0 D MYKROLIS CORP COMMON STOCK 62852P103 6568 556162 SH SOLE 0102 485392 70770 0 D NABORS INDS INC SEE CUSIP G635 OPTIONS - CALLS 6295685AH 3530 100000 SH CALL SOLE 0102 87400 12600 0 D NOBLE CORP COMMON STOCK G65422100 11580 300000 SH SOLE 0102 261827 38173 0 D OFFICE DEPOT INC USD.01 COM COMMON STOCK 676220106 10798 642743 SH SOLE 0102 560957 81786 0 D PHARMACEUTICAL RESOURCES INC COMMON STOCK 717125108 16112 580000 SH SOLE 0102 506167 73833 0 D PRIME HOSPITALITY CORP COMMON STOCK 741917108 10473 806256 SH SOLE 0102 706024 100232 0 D QUINTILES TRANSNATIONAL CORP COMMON STOCK 748767100 12290 984000 SH SOLE 0102 858942 125058 0 D RESORTQUEST INTL INC COM STK COMMON STOCK 761183102 3676 644925 SH SOLE 0102 564807 80118 0 D S1 CORPORATION COM STK COMMON STOCK 78463B101 17367 2350000 SH SOLE 0102 2050812 299188 0 D SCIOS INC COM COMMON STOCK 808905103 15764 515000 SH SOLE 0102 449450 65550 0 D SIX FLAGS, INC COM NEW COMMON STOCK 83001P109 4639 321015 SH SOLE 0102 281155 39860 0 D SOVEREIGN BANCORP INC COMMON STOCK 845905108 32890 2200000 SH SOLE 0102 1920043 279957 0 D SPINNAKER EXPL COM STK COMMON STOCK 84855W109 14408 400000 SH SOLE 0102 349254 50746 0 D STONE ENERGY CORP COM COMMON STOCK 861642106 12075 300000 SH SOLE 0102 261824 38176 0 D TARGET CORP COM STK COMMON STOCK 87612E106 572 15000 SH SOLE 0102 13092 1908 0 D TARO PHARMACEUTICAL INDS SHS A COMMON STOCK M8737E108 10053 410000 SH SOLE 0102 357814 52186 0 D TEREX CORP NEW COM COMMON STOCK 880779103 10500 466862 SH SOLE 0102 407450 59412 0 D TESORO PETROLEUM CORP COMMON STOCK 881609101 2213 285600 SH SOLE 0102 249287 36313 0 D UNITED MICRO ELECTRONICS ADS ADRS STOCKS 910873207 7111 967457 SH SOLE 0102 844306 123151 0 D VALERO ENERGY CORP COMSTK OPTIONS - CALLS 91913Y1AH 3742 100000 SH CALL SOLE 0102 87400 12600 0 D VISHAY INTERTECHNLGY COMMON STOCK 928298108 9950 452294 SH SOLE 0102 396133 56161 0 D WOMEN FIRST HEALTHCA RE INC CO COMMON STOCK 978150100 1294 165900 SH SOLE 0102 144741 21159 0 S REPORT SUMMARY 56 DATA RECORDS 547539 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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