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THIS DOCUMENT IS A COPY OF THE FORM 13F FILED ON MAY 14, 1999 PURSUANT TO A RULE
201 TEMPORARY HARDSHIP EXEMTION.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 1999
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: D. E. Shaw & Co., Inc. (see notes 1, 2 and 3)
Address: 120 West 45th Street, 39th Floor
New York, NY 10036
Form 13F File Number: 28-____________
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: Daniel M. Fishbane
Title: Managing Director
Phone: (212) 478-0000
Signature, Place, and Date of Signing:
/s/ Daniel Fishbane New York, NY May 17, 1999
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[Signature] [City, State] [Date]
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).)
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Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 0
Form 13F Information Table Value Total: $ 0
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(thousands)
Confidential information has been omitted from the public Form 13F report and
filed separately with the Commission.
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.
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
No. Form 13F File Number Name
1 28- D. E. Shaw & Co., L.P.
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(see notes #2 and #3)
[Repeat as necessary.]
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POWER OF ATTORNEY
FOR CERTAIN FILINGS
UNDER THE SECURITIES EXCHANGE ACT OF 1934
I, DAVID E. SHAW, hereby make, constitute and appoint each of:
Lou Salkind,
Stu Steckler,
Anne Dinning and
Danny Fishbane,
acting individually, as my agent and attorney-in-fact, with full power of
substitution, for the purpose of, from time to time, executing in my name, my
individual capacity and/or my capacity as President of D.E. Shaw & Co., Inc.
(acting for itself or as the general partner of D.E. Shaw & Co., L.P.) all
documents, certificates, instruments, statements, other filings and amendments
to the foregoing (collectively, "documents") determined by such person to be
necessary or appropriate to comply with ownership or control-person reporting
requirements imposed by any United States or non-United States governmental or
regulatory authority, including without limitation Forms 3, 4, 5, 13D, 13F and
13G required to be filed with the Securities and Exchange Commission; and
delivering, furnishing or filing any such documents with the appropriate
governmental or regulatory authority. Any such determination shall be
conclusively evidenced by such person's execution and delivery, furnishing or
filing of the applicable document.
This power of attorney shall be valid from the date hereof.
IN WITNESS WHEREOF, I have executed this instrument as of the date set forth
below.
Date: January 14, 1997
/s/ David E. Shaw
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David E. Shaw
New York, New York
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Form 13F
NOTES
1. D. E. Shaw & Co., Inc. disclaims status as an institutional investment
manager and makes this filing in its capacity as the parent entity of investment
advisers.
2. D. E. Shaw & Co., Inc. or its subsidiaries ("D. E. Shaw") are general
partners or members of various entities and therefore may exercise investment
discretion for them. D. E. Shaw disclaims that it exercises investment
discretion for certain of such entities, but includes the holdings of all such
subentities in this form.
3. D. E. Shaw & Co., Inc. or its subsidiaries ("D. E. Shaw") are general
partners or members of various entities and therefore may exercise voting
discretion for them. D. E. Shaw disclaims that it exercises voting discretion
for certain of such entities, but includes the holdings of all such subentities
in this form.
