13F-HR 1 s58201a.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: SEPTEMBER 30, 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: FLETCHER ASSET MANAGEMENT, INC. Address: 22 EAST 67TH STREET NEW YORK, NEW YORK 10021 Form 13F File Number: 28-3480 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: DENIS KIELY Title: DEPUTY CHIEF EXECUTIVE OFFICER Phone: (212) 284-4800 Signature, Place, and Date of Signing: /S/ DENIS KIELY ---------------------------- ------------------------ --------------------- DENIS KIELY NEW YORK, NEW YORK NOVEMBER 14, 2001 DEPUTY CHIEF EXECUTIVE OFFICER 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: 10 Form 13F Information Table Value Total: $44,989 (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
FORM 13F REPORT Item 8. ---------------------- Voting Item 2 Item 3 Item 4 Item 5 Item 6 Item 7 Authority Shares Fair Shares or (B) (C) (B) Title of CUSIP Market Principal (A) -------- -------- (A) -------- C Name of Issuer ----------- ---------- ---------- ---------- ------ Shared Shared -------- Shared None Class Number Value Amount Sole Defined Other Sole -------- (x$1,000) Defined Baker Hughes Inc Common 057224107 1,245 43,000 X X Stock Clayton Homes Inc Common 184190106 939 77,000 X X Stock Com21 Inc Common 205937105 1,127 2,450,000 X X Stock Cooper Cameron Corp Common 216640102 4,231 129,000 X X Stock Fleetwood Enterprises Inc Common 339099103 224 20,000 X X Stock MIDCAP SPDR TR Unit Ser 1 595635103 11,369 143,643 X X Newpark Res Inc Common 651718504 2,106 312,038 X X Stock Schlumberger Ltd Common 806857108 18,123 396,560 X X Stock Smith Intl Inc Common 832110100 4,361 119,800 X X Stock SPDR TR Unit Ser 1 78462F103 1,264 12,100 X X ---------------------------------------------------------------------------------------------------------------------------------