-----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, JiWhxg5VJ3lNhF65H14aEMP96RX10+7SkO5ZVdqss2cZM3N8YE4jiGCiwe/3FihA QkqebhAvF4TWrEQwS0Raxw== 0000950172-02-002399.txt : 20021114 0000950172-02-002399.hdr.sgml : 20021114 20021114164129 ACCESSION NUMBER: 0000950172-02-002399 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021114 EFFECTIVENESS DATE: 20021114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FLETCHER ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0000898338 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06007 FILM NUMBER: 02825491 BUSINESS ADDRESS: STREET 1: 767 FIFTH AVENUE STREET 2: 48TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 212723369 MAIL ADDRESS: STREET 1: 767FIFTH AVENUE 48TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10153 13F-HR 1 pal88175.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, 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: 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 AND COUNSEL Phone: (212) 284-4800 Signature, Place, and Date of Signing: /s/ DENIS KIELY - ---------------------------- ------------------------ --------------------- DENIS KIELY NEW YORK, NEW YORK NOVEMBER 14, 2002 DEPUTY CHIEF EXECUTIVE OFFICER AND COUNSEL 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: 1 Form 13F Information Table Entry Total: 51 Form 13F Information Table Value Total: $141,302 (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. No. Form 13F File Number Name 1 28-10204 FLETCHER INTERNATIONAL, LTD.
FORM 13F REPORT Item 8. Voting Authority Item 2 Item 3 Item 4 Item 5 Item 6 Item 7 Shares ---------- --------- --------- ---------- ----------------------- ------ --------------------------- Fair Shares or Name of Issuer Title of CUSIP Market Principal (B) (C) (B) Class Number Value Amount (A) Shared Shared (A) Shared C (x$1,000) Defined Sole Defined Other Sole Defined None ---------- --------- --------- ---------- ------ ------- ------ ------ -------- -------- ---- Alloy Inc Common 019855105 11,083 1,333,666 X 1 X Stock American Express Co Common 025816109 471 15,100 X 1 X Stock Amgen Inc Common 031162100 735 17,623 X 1 X Stock Applied Mtls Inc Common 038222105 321 27,758 X 1 X Stock Aspen Technology Inc Common 045327103 285 95,000 X 1 X Stock Automatic Data Processing Common 053015103 651 18,710 X 1 X In Stock Bank of America Common 060505104 344 5,389 X 1 X Corporation Stock Bed Bath & Beyond Inc Common 075896100 471 14,454 X 1 X Stock ChevronTexaco Corp Common 166764100 328 4,740 X 1 X Stock Cisco Syc Inc Common 17275R102 828 79,019 X 1 X Stock Clayton Homes Inc Common 184190106 1,251 113,965 X 1 X Stock Coca Cola Co Common 191216100 801 16,705 X 1 X Stock Com21 Inc Common 205937105 24 182,000 X 1 X Stock Concord EFS Inc Common 206197105 283 17,834 X 1 X Stock Dell Computer Corp Common 247025109 755 32,093 X 1 X Stock Diamonds TR Unit Ser 1 252787106 14,774 194,400 X 1 X Dow Chem Co Common 260543103 779 28,524 X 1 X Stock Ebay Inc Common 278642103 318 6,025 X 1 X Stock EMC Corp Mass Common 268648102 427 93,328 X 1 X Stock Federal Natl Mtg Assn Common 313586109 714 11,984 X 1 X Stock International Business Common 459200101 1,011 17,315 X 1 X Machs Stock Intel Corp Common 458140100 1,217 87,617 X 1 X Stock Intuit Common 461202103 362 7,954 X 1 X Stock Johnson & Johnson Common 478160104 887 16,404 X 1 X Stock Linear Technology Corp Common 535678106 284 13,727 X 1 X Stock Lone Star Technologies Inc Common 542312103 292 24,600 X 1 X Stock Maxim Integrated Prods Inc Common 57772K101 360 14,553 X 1 X Stock Medtronic Inc Common 585055106 745 17,687 X 1 X Stock Metro Goldwyn Mayer Inc Common 591610100 3,792 317,300 X 1 X Stock Microsoft Corp Common 594918104 3,114 71,271 X 1 X Stock MIDCAP SPDR TR Unit Ser 1 595635103 800 10,780 X 1 X Motorola Inc Common 620076109 587 57,691 X 1 X Stock 3M Co Common 88579Y101 1,858 16,898 X 1 X Stock Nasdaq 100 TR Unit Ser 1 631100104 1,649 79,600 X 1 X Newpark Res Inc Common 651718504 1,141 288,168 X 1 X Stock Oracle Corp Common 68389X105 517 65,759 X 1 X Stock Pepsico Inc Common 713448108 304 8,214 X 1 X Stock Pfizer Inc Common 717081103 326 11,241 X 1 X Stock Phillip Morris Cos Inc Common 718154107 653 16,820 X 1 X Stock Procter & Gamble Co Common 742718109 1,482 16,582 X 1 X Stock Qualcomm Inc Common 747525103 809 29,287 X 1 X Stock Schlumberger Ltd Common 806857108 18,045 469,201 X 1 X Stock SPDR TR Unit Ser 1 78462F103 61,972 757,696 X 1 X SPDR TR Unit Ser 1 78462F103 68 835 X X Target Corp Common 87612E106 302 10,215 X 1 X Stock Texas Instrs Inc Common 882508104 443 29,988 X 1 X Stock TRC Cos Inc Common 872625108 171 9,972 X 1 X Stock United Technologies Corp Common 913017109 933 16,525 X 1 X Stock Verizon Communications Common 92343V104 310 11,285 X 1 X Stock Viacom Inc CL B 925524308 376 9,268 X 1 X Wal Mart Stores Inc Common 931142103 850 17,264 X 1 X Stock - ----------------------------------------------------------------------------------------------------------------------------------
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