-----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, N3l8REaxtWy2tqEbG/xny5Gpfx1CSGbKPCWJ4TuZ6chppPxpUh1fs7Q9XESenVGd COMGbvhiDtzIqvG/BwUXUw== 0000902664-08-002002.txt : 20080514 0000902664-08-002002.hdr.sgml : 20080514 20080514155411 ACCESSION NUMBER: 0000902664-08-002002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080514 DATE AS OF CHANGE: 20080514 EFFECTIVENESS DATE: 20080514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DCF CAPITAL LLC CENTRAL INDEX KEY: 0001076408 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04609 FILM NUMBER: 08831734 BUSINESS ADDRESS: STREET 1: 660 STREAMBOAT ROAD CITY: GREENWICH STATE: CO ZIP: 06830 BUSINESS PHONE: 2036181601 MAIL ADDRESS: STREET 1: 660 STEAMBOAT ROAD CITY: GREENWICH STATE: CO ZIP: 06830 13F-HR 1 p08-0978form13fhr.txt DCF CAPITAL, L.L.C. 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, 2008 ---------------------------- 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: DCF Capital, L.L.C. -------------------------------------------------- Address: 20 Dayton Avenue -------------------------------------------------- Greenwich, Connecticut 06830 -------------------------------------------------- -------------------------------------------------- Form 13F File Number: 28-7546 ------------------ 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: Douglas C. Floren -------------------------------------------------- Title: Managing Member -------------------------------------------------- Phone: (203) 618-1601 -------------------------------------------------- Signature, Place, and Date of Signing: /s/ Greenwich, Connecticut 5/14/2008 ------------------------ -------------------------- --------------- [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).) List of Other Managers Reporting for this Manager: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------- Form 13F Information Table Entry Total: 52 ------------- 74,008 Form 13F Information Table Value Total: ------------- (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. NONE 2
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - --------------------------------- -------------- --------- -------- ----------------- ---------- -------- ----------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - --------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- -------- -------- ----- Acergy S A Sponsored ADR 00443E104 431 20,500 SH sole 20,500 Agria Corp Sponsored ADR 00850H103 919 110,000 SH sole 110,000 Ameron Intl Inc Common Stock 030710107 1,207 12,900 SH sole 12,900 Anadarko Pete Corp Common Stock 032511107 1,746 27,700 SH sole 27,700 Apache Corp Common Stock 037411105 230 1,900 SH sole 1,900 Arch Coal Inc Common Stock 039380100 218 5,000 SH sole 5,000 Ariad Pharmaceuticals Inc Common Stock 04033A100 142 42,000 SH sole 42,000 Array Biopharma Inc Common Stock 04269X105 1,248 34,000 SH sole 34,000 BPZ Resources Inc Common Stock 055639108 2,580 117,300 SH sole 117,300 Capstone Turbine Corp Common Stock 14067D102 784 370,000 SH sole 370,000 Cephalon Inc Common Stock 156708109 2,109 32,750 SH sole 32,750 Cepheid Common Stock 15670R107 829 34,000 SH sole 34,000 Chesapeake Energy Corp Common Stock 165167107 1,315 28,500 SH sole 28,500 Comverge Inc Common Stock 205859101 258 25,000 SH sole 25,000 Curagen Corp Common Stock 23126R101 424 530,000 SH sole 530,000 Daystar Technologies Inc Common Stock 23962Q100 858 65,000 SH sole 65,000 Devon Energy Corp New Common Stock 25179M103 1,168 11,200 SH sole 11,200 Diana Shipping Inc Common Stock Y2066G104 1,184 45,000 SH sole 45,000 Dryships Inc SHS Y2109Q101 599 10,000 SH sole 10,000 Energy Conversion Devices Inc Common Stock 292659109 1,136 38,000 SH sole 38,000 First Solar Inc Common Stock 336433107 2,381 13,000 SH sole 13,000 Foster Wheeler Ltd SHS New G36535139 679 12,000 SH sole 12,000 Genentech Inc Com New 368710406 2,395 29,500 SH sole 29,500 General Cable Corp Del New Common Stock 369300108 2,534 42,900 SH sole 42,900 General Electric Co Common Stock 369604103 2,665 72,000 SH sole 72,000 Genomic Health Inc Common Stock 37244C101 567 30,000 SH sole 30,000 Gilead Sciences Inc Common Stock 375558103 361 7,000 SH sole 7,000 Illumina Inc Common Stock 452327109 1,366 18,000 SH sole 18,000 Johnson & Johnson Common Stock 478160104 370 5,700 SH sole 5,700 Lilly Eli & Co Common Stock 532457108 232 4,505 SH sole 4,505 Lincoln Elec Hldgs Inc Common Stock 533900106 322 5,000 SH sole 5,000 Middlebrook Pharmaceuticals Inc Common Stock 596087106 56 14,000 SH sole 14,000 Monsanto Co New Common Stock 61166W101 4,210 37,756 SH sole 37,756 Myriad Genetics Inc Common Stock 62855J104 19,430 482,000 SH sole 482,000 Nanosphere Inc Common Stock 63009F105 391 45,200 SH sole 45,200 Navios Maritime Holdings Inc Common Stock Y62196103 650 70,000 SH sole 70,000 Navios Maritime Partners LP Unit LPI Y62267102 144 10,000 SH sole 10,000 Nxstage Medical Inc Common Stock 67072V103 929 215,000 SH sole 215,000 Noble Corporation SHS G65422100 1,262 25,400 SH sole 25,400 Nuvelo Inc Com New 67072M301 9 12,000 SH sole 12,000 Paragon Shipping Inc CL A 69913R309 227 15,000 SH sole 15,000 Petrohawk Energy Corp Common Stock 716495106 736 36,500 SH sole 36,500 Regeneron Pharmaceuticals Common Stock 75886F107 1,103 57,500 SH sole 57,500 Sangamo Biosciences Inc Common Stock 800677106 4,542 447,000 SH sole 447,000 Scientific Games Corp CL A 80874P109 1,858 88,500 SH sole 88,500 Seattle Genetics Inc Common Stock 812578102 582 64,000 SH sole 64,000 Sunpower Corp Com CL A 867652109 1,982 26,600 SH sole 26,600 Tapestry Pharmaceuticals Inc Com New 876031204 2 40,000 SH sole 40,000 Third Wave Technologies Inc Common Stock 88428W108 798 86,500 SH sole 86,500 Ultrapetrol Bahamas Ltd Common Stock P94398107 770 75,200 SH sole 75,200 Via Pharmaceuticals Inc Common Stock 92554T103 36 12,000 SH sole 12,000 Whiting Pete Corp New Common Stock 966387102 1,034 16,000 SH sole 16,000
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