13F-HR 1 senecacapital13f20634.txt HOLDINGS REPORT 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 Seneca Capital Advisors LLC -------------------------------------------------------------------------------- Name of Institutional Investment Manager 527 Madison Avenue, 11th Floor New York New York 10022 -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 28-03497 ------------ 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 herein is true, correct and complete, and that it is understood that all required items, statements, schedules, and tables, are considered integral parts of this form. Name, Title and Telephone Number of Person Submitting Report: Gregg Grimmelbein CFO (212) 371-1300 -------------------------------------------------------------------------------- (Name) (Title) (Phone) Signature, Place and Date of Signing: /s/ Gregg Grimmelbein ---------------------------------- 527 Madison Avenue, 11th Floor New York, New York 10022 11/14/2002 Report Type: [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Number of Other Included Managers: 1 ------- List of Other Included Managers: Seneca Capital Investments, LLC ------------------------------------ Form 13F Information Table Entry Total: 76 ------ Form 13F Information Table Value Total: 76,990,000 ------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F INFORMATION TABLE SENECA CAPITAL ADVISORS LLC FORM 13F INFORMATION TABLE AS OF DATE 9/30/02

------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 VALUE SHARES/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT CALL DSCRETN MANAGERS SOLE SHARED NONE -------------------------------- --------------- --------- -------- -------- ---- ------- ---------- -------- -------- -------- ~~AT&T Wireless Corp. COM 00209A106 87 14900 14900 14900 AT&T Wireless Corp. COM 00209A106 205 35100 35100 1 35100~~ Acacia Research Corp. COM 003881109 ~~654~~366 92071 92071 92071 Acacia Research Corp. COM 003881109 ~~1481~~829 208649 208649 1 208649 ~~Accredo~~Advanced ~~Health~~Medical ~~Inc.~~Optics COM ~~00437V104~~00763M108 ~~1942~~1878 ~~42100~~197500 ~~42100~~197500 ~~42100~~197500 ~~Aegon~~Advanced NVMedical ~~ORD~~Optics ~~AMER~~COM ~~REG~~00763M108 ~~007924103~~4403 ~~509~~463000 ~~24990~~463000 ~~24990~~1 ~~24990~~463000 ~~Alberto~~Aegon ~~Culver~~NV ~~CLA~~ORD ~~013068200~~AMER ~~3456~~REG ~~76500~~007924103 ~~76500~~236 ~~76500~~24990 ~~Alberto~~24990 ~~Culver~~24990 ~~CLA 013068200 7839 173500 173500 1 173500~~ Allied Capital COM 01903Q108 ~~4439~~950 ~~196000~~43400 ~~196000~~43400 ~~196000~~43400 Allied Capital COM 01903Q108 ~~10396~~2224 ~~459000~~101600 ~~459000~~101600 1 ~~459000~~101600 ~~Arch~~Allied ~~Coal~~Waste ~~Inc.~~Industries COM ~~039380100~~PAR ~~509 22400 22400 22400 Arch Coal Inc~~$.01 ~~COM~~NEW ~~039380100~~019589308 ~~1195~~228 ~~52600~~31000 ~~52600~~31000 131000 ~~52600~~Allied ~~Calpine~~Waste ~~Corp.~~Industries COM ~~131347106~~PAR ~~137 19500 19500 19500 Calpine Corp~~$.01 ~~COM~~NEW ~~131347106~~019589308 ~~320~~535 ~~45500~~72800 ~~45000~~72800 1 ~~45500~~72800 ~~CDW~~Americredit ~~Computer~~Corp. ~~PUT~~COM ~~125129956~~03060R101 ~~1395~~241 ~~29800~~29900 ~~PUT~~29900 ~~29800~~29900 ~~29800~~Americredit ~~CDW~~Corp. ~~Computer~~COM ~~PUT~~03060R101 ~~125129956~~566 ~~3286~~70100 ~~70200~~70100 ~~PUT 70200~~ 1 ~~70200~~70100 ~~Conexant~~Arch ~~Systems~~Coal Inc. COM ~~207142100~~039380100 ~~277~~247 ~~170700~~14900 ~~170700~~14900 ~~170700~~14900 ~~Conexant~~Arch ~~Systems~~Coal Inc. COM ~~207142100~~039380100 ~~647~~581 ~~399300~~35100 ~~399300~~35100 1 ~~399300~~35100 ~~Deutsche~~Beverly ~~Telecom~~Enterprises SPCOM ~~ADR~~NEW ~~251566105~~087851309 ~~4023~~267 ~~432120~~110200 ~~432120~~110200 ~~432120~~110200 ~~Dominion~~Beverly ~~Research~~Enterprises ~~Inc.~~COM ~~PUT~~NEW ~~25746U959~~087851309 ~~993~~629 ~~15000~~259800 ~~PUT~~259800 ~~15000 15000 Dominion Research Inc. PUT 25746U959 2317 35000 PUT 35000~~ 1 ~~35000~~259800 ~~Duke~~CarMax ~~Energy~~COM ~~PUT~~143130102 ~~264399956~~289 ~~883~~18000 ~~28400~~18000 ~~PUT~~18000 ~~28400~~CarMax ~~28400~~COM ~~Duke~~143130102 ~~Energy~~674 ~~PUT~~42000 ~~264399956~~42000 ~~2071 66600 PUT 66600~~ 1 ~~66600~~42000 ~~Dynegy~~Deutsche ~~Inc.~~Telecom ~~CLA~~SP ~~26816Q101~~ADR 76251566105 ~~10500~~3574 ~~10500~~432120 1432120 ~~10500~~432120 ~~Dynegy~~EVCI ~~Inc.~~Career ~~PUT~~Colleges ~~26816Q951~~COM ~~129~~26926P100 ~~17900~~25 ~~PUT~~20800 ~~17900~~20800 ~~17900~~1 ~~Dynegy~~20800 ~~Inc.~~Echostar ~~PUT~~Communications ~~26816Q951~~CLA ~~303~~278762109 ~~42100~~775 ~~PUT~~44800 ~~42100~~44800 144800 ~~42100~~Echostar ~~EVCI~~Communications ~~Career~~CLA ~~Colleges~~278762109 ~~COM~~1820 ~~26926P100~~105200 21105200 ~~20800 20800~~ 1 ~~20800~~105200 EnPro Industries COM 29355X107 ~~269~~104 ~~51200~~30300 ~~51200~~30300 ~~51200~~30300 EnPro Industries COM 29355X107 ~~628~~241 ~~119700~~70200 ~~119700~~70200 1 ~~119700~~70200 Espeed Inc. CLA 296643109 ~~722~~290 ~~66200~~28500 ~~66200~~28500 ~~66200~~28500 Espeed Inc. CLA 296643109 ~~1689~~675 ~~154800~~66400 ~~154800~~66400 1 ~~154800~~66400 ~~FMC Corp. COM NEW 302491303 1125 37300 37300 37300 FMC Corp. COM NEW 302491303 2646 87700 87700 1 87700~~ Fibernet Telecom Grp COM 315653105 1714 169504 169504 169504 Fibernet Telecom Grp COM 315653105 3831 384711 384711 1 384711 ~~Georgia~~Group ~~Pacific COM 373298108 430 17500 17500~~ 1 ~~17500~~Automotive ~~Georgia~~COM ~~Pacific~~398905109 ~~CALL~~275 ~~373298908~~12300 ~~553~~12300 ~~22500~~12300 ~~CALL~~Group ~~22500~~1 ~~22500~~Automotive ~~Georgia~~COM ~~Pacific~~398905109 ~~CALL~~644 ~~373298908~~28800 ~~1290~~28800 ~~52500 CALL 52500~~ 1 ~~52500~~28800 ~~Gillette~~Hershey ~~Co.~~Foods CALL ~~375766902~~427866908 ~~5182~~1272 ~~153000~~20500 CALL ~~153000~~20500 ~~153000~~20500 ~~Gillette~~Hershey ~~Co.~~Foods CALL ~~375766902~~427866908 ~~11752~~2885 ~~347000~~46500 CALL ~~347000~~46500 1 ~~347000~~46500 Goodyear Tire PUT 382550951 838 44800 PUT 44800 44800 Goodyear Tire PUT 382550951 1968 105200 PUT 105200 1 105200 Gucci Group NV COM NY REG 401566104 1012 10700 10700 10700 Gucci Group NV COM NY REG 401566104 2195 23200 23200 1 23200 Halliburton Co COM 406216101 238 14900 14900 14900 Halliburton Co COM 406216101 559 35100 35100 1 35100 Infinity Inc COM PAR $.0001 45663L403 ~~181~~80 ~~21200~~10000 ~~21200~~10000 ~~21200 Infinity Inc COM PAR $.0001 45663L403 407 47600 47600~~ 1 ~~47600~~10000 ~~International Paper COM 460146103 11483 263500 263500 263500~~ Kindred Healthcare Inc. WRTS-CLB 494580129 ~~1739~~697 ~~104900~~67600 ~~104900~~67600 ~~104900~~67600 Kindred Healthcare Inc. WRTS-CLB 494580129 ~~3938~~1544 ~~237485~~149785 ~~237485~~149785 1 ~~237485~~149785 ~~Loews~~Medtronic ~~Corp~~Inc. COM ~~540424108~~585055106 ~~1616~~2135 ~~30500~~50678 ~~30500~~50678 ~~30500~~50678 ~~Loews~~Molex, ~~Corp~~Inc. ~~COM~~CLA ~~540424108~~608554200 ~~3683~~2194 ~~69500~~104500 ~~69500~~104500 1104500 ~~69500~~Molex, ~~Loral Corp~~Inc. ~~COM~~CLA ~~G56462107~~608554200 914981 ~~91800~~237200 ~~91800~~237200 ~~91800 Loral Corp. COM G56462107 206 208200 208200~~ 1 ~~208200~~237200 ~~MCG~~NorthWestern ~~Capital~~ Corp. COM ~~58047P107~~668074107 ~~351~~202 ~~21000~~20700 ~~21000~~20700 ~~21000~~20700 ~~MCG~~NorthWestern ~~Capital~~ Corp. COM ~~58047P107~~668074107 ~~662~~452 ~~39600~~46300 ~~39600~~46300 1 ~~39600~~46300 ~~Medtronic~~NorthWestern ~~Inc~~Corp. ~~COM~~PUT ~~585055106~~668074957 ~~5475~~202 ~~127768~~20700 ~~127768~~PUT ~~127768~~20700 ~~Molex,~~20700 ~~Inc.~~NorthWestern ~~CLA 608554200 2866 104500 104500 104500 Molex, Inc~~Corp. ~~CLA~~PUT ~~608554200~~668074957 ~~6506~~452 ~~237200~~46300 ~~237200~~PUT 46300 1 ~~237200~~46300 Officemax, Inc. COM 67622M108 ~~1050~~428 ~~178200~~104900 ~~178200~~104900 ~~178200~~104900 Officemax, Inc. COM 67622M108 ~~2337~~1000 ~~396800~~245100 ~~396800~~245100 1 ~~396800~~245100 Orient Express Hotels CLA G67743107 ~~809~~645 47200 47200 47200 Orient Express Hotels CLA G67743107 ~~1848~~1475 107900 107900 1 107900 ~~Pharmacia~~PG&E Corp. COM ~~71713U102~~693316108 ~~6551~~1092 ~~174930~~97000 ~~174930~~97000 ~~174930~~97000 ~~Reliant~~PG&E ~~Energy Inc~~Corp. COM ~~75952J108~~693316108 ~~1262~~2567 ~~74700~~228000 ~~74700~~228000 ~~74700~~1 ~~Relaint~~228000 ~~Energy~~PPL ~~Inc~~Corp. COM ~~75952J108~~69351T106 ~~2963~~244 ~~175300~~7500 ~~175300~~7500 17500 ~~175300~~PPL ~~Sea Containers Ltd~~Corp. ~~CLA~~COM ~~811371707~~69351T106 ~~248~~569 ~~17200~~17500 ~~17200~~17500 ~~17200 Sea Containers Ltd. CLA 811371707 552 38300 38300~~ 1 ~~38300~~17500 ~~Sprint~~Philip ~~Corp.~~Morris Companies COM ~~FON~~718154107 ~~GROUP~~578 ~~852061100 67~~ 14900 14900 14900 ~~Sprint~~Philip ~~Corp.~~Morris Companies COM ~~FON~~718154107 ~~GROUP~~1362 ~~852061100 157~~ 35100 35100 1 35100 ~~Surebeam~~Reliant ~~Corp~~Energy Inc. ~~PUT~~COM ~~86866R952~~75952J108 ~~527~~449 ~~96600~~44900 ~~PUT~~44900 ~~96600~~44900 ~~96600~~Reliant ~~SureBeam~~Energy ~~Corp~~Inc. ~~PUT~~COM ~~86866R952~~75952J108 ~~1197~~1052 ~~219200~~105100 ~~PUT~~105100 ~~219200~~ 1 ~~219200~~105100 ~~Talisman~~Reliant ~~Energy~~Resources Inc. COM ~~87425E103~~75952B105 ~~1656~~39 ~~36700~~22200 ~~36700~~22200 ~~36700~~22200 ~~Talisman~~Reliant ~~Energy~~Resources Inc. COM ~~87425E103~~75952B105 ~~3759~~91 ~~83300~~52100 ~~83300~~52100 1 ~~83300~~52100 ~~TECO~~Scientific ~~Energy~~Games ~~PUT~~Corp. ~~872375950~~CLA ~~1111~~80874P109 ~~44900~~153 ~~PUT~~22800 ~~44900~~22800 ~~44900~~1 ~~TECO~~22800 ~~Energy~~Sea ~~PUT~~Containers ~~872375950~~Ltd. ~~2601~~CLA ~~105100~~811371707 ~~PUT~~184 ~~105100~~17200 117200 ~~105100~~17200 ~~Titan~~Sea ~~Corp~~Containers Ltd. ~~COM~~CLA ~~888266103~~811371707 ~~3439~~410 ~~188000~~38300 ~~188000~~38300 ~~188000~~1 ~~Titan~~38300 ~~Corp~~Talisman Energy Inc. COM ~~888266103~~87425E103 ~~7779~~602 ~~425300~~15000 ~~425300~~15000 115000 ~~425300~~Talisman ~~Trizec~~Energy ~~Properties~~Inc. COM ~~89687P107~~87425E103 ~~2183~~1404 ~~129500~~35000 ~~129500~~35000 ~~129500~~1 ~~TRW~~35000 ~~Inc.~~Ticketmaster ~~COM~~CLB ~~872649108~~88633P203 ~~3538~~897 ~~62100~~58800 ~~62100~~58800 ~~62100~~58800 ~~TRW~~Ticketmaster ~~Inc.~~CLB ~~COM~~88633P203 ~~872649108~~2100 ~~7858~~137700 ~~137900~~137700 ~~137900~~ 1 ~~137900~~137700 ~~TRW~~Titan ~~Inc~~Corp. ~~PUT~~COM ~~872649958~~888266103 ~~1744~~287 ~~30600~~29900 ~~PUT~~29900 ~~30600~~29900 ~~30600~~Titan ~~TRW Inc~~Corp. ~~PUT~~COM ~~872649958~~888266103 ~~3954~~673 ~~69400~~70100 ~~PUT~~70100 ~~69400~~ 1 ~~69400~~70100 USA Interactive COM 902984103 ~~3510~~2901 149700 149700 149700 USA Interactive COM 902984103 ~~8215~~6789 350300 350300 1 350300 United ~~Global~~Auto ~~CLA~~Group ~~913247508~~Inc. ~~270~~COM ~~98300~~909440109 ~~98300~~172 ~~98300~~12300 12300 12300 United ~~Global~~Auto ~~CLA~~Group ~~913247508~~Inc. ~~587~~COM ~~213500~~909440109 ~~213500~~402 28700 28700 1 ~~213500~~28700 Veritas Software Corp COM 923436109 ~~1516~~1124 76589 76589 76589 Virologic Inc. COM 92823R201 ~~897~~252 ~~320400~~218900 ~~320400~~218900 ~~320400~~218900 Virologic Inc. COM 92823R201 ~~2043~~566 ~~729600~~492100 ~~729600~~492100 1 ~~729600~~492100 ~~Vodafone~~Vivendi ~~Group~~Universal ~~Plc~~ SP ADR ~~92857W100~~NEW ~~4894~~928515204 ~~358500~~256 ~~358500~~22500 ~~358500~~22500 ~~WHX~~22500 ~~Corp~~Vivendi ~~COM~~Universal ~~929248102~~SP 49ADR ~~65700~~NEW ~~65700~~928515204 ~~65700~~598 ~~WHX~~52500 ~~Corp~~52500 ~~COM 929248102 115 153600 153600~~ 1 ~~153600~~52500 ~~Wire~~Vodafone ~~One~~Group ~~Technologies~~Plc ~~Inc.~~SP ~~COM~~ADR ~~976521104~~92857W100 ~~360~~4600 ~~179875~~358500 ~~179875~~358500 ~~179875~~358500 ~~Wire~~Young ~~One~~Broadcasting ~~Technologies~~ Inc. ~~COM~~CLA ~~976521104~~987434107 ~~818~~96 ~~409225~~11100 ~~409225~~11100 111100 ~~409225~~Young ~~Worldcom~~Broadcasting Inc. ~~WRLDCOM~~CLA GP987434107 ~~COM~~226 ~~98157D106~~26100 1526100 ~~149500 149500 149500 Worldcom Inc. WRLDCOM GP COM 98157D106 35 350500 350500~~ 1 ~~350500~~26100

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