-----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, PHZn0QJkuuJctV6i5zDzGSxjSvTI3gD2uJGIMzIuaIWtBP7EvfmwRWBI/LlOh7GG +RWocvIkMmdtdZaGZ6C0Rg== 0001169232-09-002632.txt : 20090515 0001169232-09-002632.hdr.sgml : 20090515 20090515160024 ACCESSION NUMBER: 0001169232-09-002632 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 EFFECTIVENESS DATE: 20090515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RAFFLES ASSOCIATES LP CENTRAL INDEX KEY: 0001169581 IRS NUMBER: 043272997 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12413 FILM NUMBER: 09832880 BUSINESS ADDRESS: STREET 1: 2 PENN PLAZA STREET 2: SUITE 1920A CITY: NEW YORK STATE: NY ZIP: 10121 BUSINESS PHONE: 212-760-2322 MAIL ADDRESS: STREET 1: 2 PENN PLAZA STREET 2: SUITE 1920A CITY: NEW YORK STATE: NY ZIP: 10121 13F-HR 1 d76971_13f-hr.txt 13F 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: March 31, 2009. 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: Raffles Associates, L.P. Address: 2 Penn Plaza, Suite 1920A, New York, NY 10121. Form 13F File Number: 028-12413 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: Paul H. O'Leary Title: President of General Partner Phone: 212-760-2322 Signature, Place and Date of Signing: /s/ Paul H. O'Leary New York, NY May 11, 2009 Report Type (Check one only): |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 Raffles Associates, L.P. Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 68 Form 13F Information Table Value Total: $47,429,000 List of Other Included Managers: None RAFFLES ASSOCIATES LP SEC 13F POSITION ANALYSIS REPORT
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ----------------------- -------- --------- -------- ------- --- ---- ------- --------- ------ -------- ------ AERCAP HOLDINGS NV SHS N00985106 325 100,000 SH AIRCASTLE LTD COM G0129K104 429 92,300 SH ALABAMA AIRCRAFT IND INC COM 01023E100 49 34,767 SH ALEXCO RESOURCE CORP COM 01535P106 478 360,571 SH AMERICA SVC GROUP INC COM 02364L109 3,827 294,404 SH AMERICAN CMNTY PPTYS TR COM 02520N106 71 13,600 SH AMERICAN INDEPENDENCE CORP COM NEW 26760405 1,335 376,179 SH APPROACH RESOURCES INC COM 03834A103 496 80,000 SH AVALON HLDGS CORP CL A 05343P109 252 157,439 SH AVIGEN INC COM 53690103 24 20,000 SH BALDWIN TECHNOLOGY INC CL A 58264102 57 59,900 SH BANK OF MARIN BANCORP COM 63425102 1,714 79,700 SH BANKFINANCIAL CORP COM 06643P104 399 40,000 SH BANNER CORP COM 06652V109 236 81,055 SH BANRO CORP *W EXP 09/17/201 66800111 61 134,800 SH BANRO CORP COM 66800103 561 245,000 SH BCSB BANCORP INC COM 55367106 306 35,000 SH BROADPOINT SECURITIES GRP IN COM 11133V108 161 48,684 SH CANADIAN SUPERIOR ENERGY INC COM 136644101 1,001 2,137,300 SH CAPITAL BK CORP COM 139793103 1,702 373,143 SH CORRIENTE RES INC COM NEW 22027E409 2,447 521,720 SH DARLING INTL INC COM 237266101 742 200,000 SH ETRIALS WORLDWIDE INC COM 29786P103 11 17,300 SH EXETER RES CORP COM 301835104 306 94,425 SH FIRST FED BANCSHARES ARK INC COM 32020F105 348 73,956 SH FIRST OPPORTUNITY FD INC COM 33587T108 355 82,276 SH FRIEDMAN BILLINGS RAMSEY GRO CL A 358434108 108 542,276 SH FRONTEER DEV GROUP INC COM 35903Q106 559 230,800 SH GEOEYE INC COM 37250W108 1,460 73,900 SH GTSI CORP COM 36238K103 536 138,746 SH GULFPORT ENERGY CORP COM NEW 402635304 294 126,590 SH IDEATION ACQUISITION CORP *W EXP 11/19/201 451665111 47 469,700 SH I-MANY INC COM 44973Q103 276 1,105,509 SH INDEPENDENCE HLDG CO NEW COM NEW 453440307 246 49,109 SH INTERSTATE HOTELS & RESRTS I COM 46088S106 20 195,946 SH ISHARES TR BARCLYS 20+ YR 464287432 2,114 20,000 SH KODIAK OIL & GAS CORP COM 50015Q100 590 1,300,000 SH LIBERTY GLOBAL INC COM SER A 530555101 2,861 196,485 SH LIBERTY GLOBAL INC COM SER C 530555309 2,793 197,694 SH LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 594 85,070 SH MAG SILVER CORP COM 55903Q104 1,800 402,900 SH MAYS J W INC COM 578473100 258 54,620 SH MEDQUIST INC COM 584949101 300 117,464 SH MERCER INS GROUP INC COM 587902107 1,730 121,035 SH MERRIMAC INDS INC COM 590262101 235 111,800 SH MOUNTAIN PROV DIAMONDS INC COM NEW 62426E402 949 1,406,927 SH NAPCO SEC SYS INC COM 630402105 432 415,273 SH NEVSUN RES LTD COM 64156L101 274 253,811 SH NYFIX INC COM 670712108 281 253,096 SH OMEGA PROTEIN CORP COM 68210P107 227 86,061 SH PACIFIC PREMIER BANCORP COM 69478X105 43 10,000 SH PARK BANCORP INC COM 700164106 139 34,300 SH PLATO LEARNING INC COM 72764Y100 158 88,732 SH POLYMET MINING CORP COM 731916102 1,083 1,422,200 SH PRESIDENTIAL RLTY CORP NEW CL B 741004204 50 44,600 SH PROSHARES TR PSHS ULTRSHT O&G 74347R586 2,644 100,000 SH PROVIDENT FINL HLDGS INC COM 743868101 947 180,000 SH RAND LOGISTICS INC COM 752182105 489 181,170 SH REIS INC COM 75936P105 637 195,909 SH RENTRAK CORP COM 760174102 664 73,734 SH ROCK OF AGES CORP CL A 772632105 107 62,324 SH SOUTHERN MO BANCORP INC COM 843380106 861 79,710 SH TOREADOR RES CORP COM 891050106 810 322,653 SH TTI TEAM TELECOM INTL LTD ORD M88258104 204 355,254 SH U S ENERGY CORP WYO COM 911805109 592 313,373 SH VICON INDS INC COM 925811101 217 40,741 SH WEB COM GROUP INC COM 94733A104 37 11,000 SH WINTHROP RLTY TR SH BEN INT NEW 976391300 1,070 154,915 SH TOTAL 47,429
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