-----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, BSAVmXxEW+ueD77hZkekMFZd+LpmBQd2hccMlM9uFzQT8wt0mNohZcxfZ5Uom5Lo ag71c+exgc+sIORArj5S4w== 0000950172-04-002663.txt : 20041115 0000950172-04-002663.hdr.sgml : 20041115 20041115125556 ACCESSION NUMBER: 0000950172-04-002663 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041115 DATE AS OF CHANGE: 20041115 EFFECTIVENESS DATE: 20041115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FLETCHER ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0000898338 IRS NUMBER: 000000000 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: 041143334 BUSINESS ADDRESS: STREET 1: 22 EAST 67TH STREET STREET 2: -- CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 212 284 4800 MAIL ADDRESS: STREET 1: 22 EAST 67TH STREET CITY: NEW YORK STATE: NY ZIP: 10021 13F-HR 1 sf163555.txt FLETCHER ASSET MANAGEMENT 13F-HR 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, 2004 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: 452 Fifth Avenue HSBC Tower, 29th Floor New York, New York 10018 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: PETER ZAYFERT Title: EXECUTIVE VICE PRESIDENT Phone: (212) 284-4800 Signature, Place, and Date of Signing: /s/PETER ZAYFERT - ---------------------------- ------------------------ --------------------- PETER ZAYFERT NEW YORK, NEW YORK November 12, 2004 EXECUTIVE VICE PRESIDENT 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: 33 Form 13F Information Table Value Total: $198,735 (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 INFORMATION TABLE Voting Authority Fair ------------------- Market Shares or (A) (B) (C) Title of CUSIP Value Principal SH/ Put/ Investment Other ----- ------ ---- Name of Issuer Class Number (x$1,000) Amount PRN Call Discretion Managers Sole Shared None - --------------------------- ---------- ---------- ---------- --------- --- ----- ---------- -------- ---- ------ ---- Allied Waste Industries, Inc. Common Stock 019589308 65 7,300 SH Defined 1 X Alloy Inc. Common Stock 019855105 8,928 2,355,700 SH Defined 1 X American Express Co. Common Stock 025816109 777 15,100 SH Defined 1 X Aspen Technology Inc. Common Stock 045327103 664 95,000 SH Defined 1 X Cal Dive International, Inc. Common Stock 127914109 6,191 173,814 SH Defined 1 X Casella Waste Systems, Inc. CL A 147448104 85 7,200 SH Defined 1 X Champion Enterprises Inc. Common Stock 158496109 13,510 1,312,915 SH Defined 1 X Cooper Cameron Corp. Common Stock 216640102 1,502 27,390 SH Defined 1 X Dow Chem Co. Common Stock 260543103 764 16,900 SH Defined 1 X Euronet Worldwide, Inc. Common Stock 298736109 24,520 1,309,814 SH Defined 1 X Faro Technologies, Inc. Common Stock 311642102 527 25,900 SH Defined 1 X First Data Corp. Common Stock 319963104 831 19,110 SH Defined 1 X Federal Natl Mtg Assn Common Stock 313586109 463 7,300 SH Defined 1 X Fleetwood Enterprises Inc. Common Stock 339099103 2,459 161,977 SH Defined 1 X FLIR Systems, Inc. Common Stock 302445101 708 12,100 SH Defined 1 X GulfTerra Energy Partners LP Common Stock 40274U108 27,424 653,254 SH Defined X Interactive Data Corp. Common Stock 45840J107 902 47,950 SH Defined 1 X Ionics, Inc. Common Stock 462218108 81 3,000 SH Defined 1 X Lone Star Technologies Inc. Common Stock 542312103 930 24,600 SH Defined 1 X Mechanical Technology Inc. Common Stock 583538103 2,010 500,000 SH Defined 1 X Newpark Resources Inc. Common Stock 651718504 10,577 1,762,851 SH Defined 1 X Oceaneering International, Common Stock 675232102 265 7,200 SH Defined 1 X Oil Service HOLDRS Trust Depostry Rcpt 678002106 34,328 419,960 SH Defined 1 X Oil States International, Inc.Common Stock 678026105 254 13,600 SH Defined 1 X Orbotech, Ltd. ORD M75253100 572 32,700 SH Defined 1 X Rewards Network Inc. Common Stock 761557107 537 80,490 SH Defined 1 X SPDR TR Unit Ser 1 78462F103 50,779 454,362 SH Defined 1 X SPDR TR Unit Ser 1 78462F103 47 425 SH Defined X Superior Energy Services, Inc.Common Stock 868157108 271 21,000 SH Defined 1 X Tetra Tech Common Stock 88162G103 51 4,000 SH Defined 1 X TRC Cos Inc. Common Stock 872625108 7,340 391,039 SH Defined 1 X Waste Connections, Inc. Common Stock 941053100 124 3,900 SH Defined 1 X W-H Energy Services, Inc. Common Stock 92925E108 249 12,000 SH Defined 1 X
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