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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, 2000
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)
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Address: 120 West 45th Street, 39th Floor
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New York, NY 10036
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Form 13F File Number: 28-5396
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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: Stuart Steckler
Title: Attorney-In-Fact
Phone: (212) 478-0000
Signature, Place, and Date of Signing:
/s/Stuart Steckler New York, NY November 6, 2000
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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: 3
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Form 13F Information Table Value Total: $65,174
(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.
No. Form 13F File Number Name
1 28-5394 D. E. Shaw & Co., L.P.
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(see notes 2 and 3)
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<TABLE>
<CAPTION>
Column 6 Investment Discretion Column 8
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Column 1 Column 2 Column 3 Column 4 Column 5 Column 7 Voting Authority
Title Of CUSIP Market Value Shares or (a) (b) Shared (c)Shared Other (a) (b) (c)
Name Of Issuer Class Number (in Thousands) Principal Amount Sole Defined Other Managers Sole Shared None
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Juno Online
Services, Inc COM 482048105 327 81,627 a 81,627
Juno Online
Services, Inc COM 482048105 16,697 4,174,234 b 1 4,174,234
Applied Molecular
Evolution Inc COM 03823E108 48,150 1,200,000 b 1,200,000
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Grand Total 65,174
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</TABLE>
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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.
