-----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, LoVHlEzR7zg39Xr/f/eyDR3iP6NWhGgLVIKYNyfZ0z8GFjF0ZYK76lgFH3iOGPt1 zyjuOSdpr/FLjQwLbKDHug== 0001169232-09-003697.txt : 20090814 0001169232-09-003697.hdr.sgml : 20090814 20090814160100 ACCESSION NUMBER: 0001169232-09-003697 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 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: 091015665 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 d77566_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: June 30, 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 August 10, 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: 66 Form 13F Information Table Value Total: $57,675,000 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 1,089 150,900 SH AIRCASTLE LTD COM G0129K104 678 92,300 SH ALEXCO RESOURCE CORP COM 01535P106 853 446,671 SH AMERICA SVC GROUP INC COM 02364L109 4,387 273,004 SH AMERICAN CMNTY PPTYS TR COM 02520N106 83 13,600 SH AMERICAN INDEPENDENCE CORP COM NEW 26760405 1,749 376,179 SH APPROACH RESOURCES INC COM 03834A103 552 80,000 SH AVALON HLDGS CORP CL A 05343P109 420 157,439 SH AVIGEN INC COM 53690103 26 20,000 SH BALDWIN TECHNOLOGY INC CL A 58264102 60 59,900 SH BANKFINANCIAL CORP COM 06643P104 967 109,103 SH BANRO CORP *W EXP 09/17/201 66800111 121 134,800 SH BANRO CORP COM 66800103 542 300,100 SH BCSB BANCORP INC COM 55367106 283 35,000 SH CANADIAN SUPERIOR ENERGY INC COM 136644101 1,502 2,237,300 SH CAPITAL BK CORP COM 139793103 1,772 373,143 SH CORRIENTE RES INC COM NEW 22027E409 3,291 521,720 SH EXETER RES CORP COM 301835104 270 94,425 SH FIRST FED BANCSHARES ARK COM 32020F105 291 73,956 SH FIRST OPPORTUNITY FD INC COM 33587T108 410 82,276 SH FORTRESS INVESTMENT GROUP LL CL A 34958B106 855 250,000 SH FRONTEER DEV GROUP INC COM 35903Q106 1,136 330,800 SH GASTAR EXPL LTD COM 367299104 1,063 2,725,020 SH GENESIS LEASE LTD ADR 37183T107 511 118,500 SH GEOEYE INC COM 37250W108 1,623 68,900 SH GTSI CORP COM 36238K103 746 138,946 SH GULFPORT ENERGY CORP COM NEW 402635304 867 126,590 SH IDEATION ACQUISITION CORP *W EXP 11/19/201 451665111 235 469,700 SH IDEATION ACQUISITION CORP COM 451665103 346 44,900 SH INDEPENDENCE HLDG CO NEW COM NEW 453440307 346 54,409 SH KODIAK OIL & GAS CORP COM 50015Q100 1,647 1,300,000 SH LEXINGTON REALTY TRUST COM 529043101 170 50,000 SH LIBERTY GLOBAL INC COM SER C 530555309 3,126 197,694 SH LIBERTY GLOBAL INC COM SER A 530555101 3,360 211,485 SH LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 1,154 85,070 SH MAG SILVER CORP COM 55903Q104 1,883 412,900 SH MAYS J W INC COM 578473100 486 54,620 SH MEDQUIST INC COM 584949101 742 122,104 SH MERCER INS GROUP INC COM 587902107 1,924 121,035 SH MERRIMAC INDS INC COM 590262101 189 22,319 SH MOUNTAIN PROV DIAMONDS INC COM NEW 62426E402 2,023 1,407,927 SH NAPCO SEC TECHNOLOGIES INC COM 630402105 507 429,979 SH NEVSUN RES LTD COM 64156L101 301 253,811 SH NYFIX INC COM 670712108 210 253,096 SH PACIFIC PREMIER BANCORP COM 69478X105 298 60,773 SH PARK BANCORP INC COM 700164106 329 33,500 SH PLATINUM GROUP METALS LTD COM NEW 72765Q205 227 220,000 SH PLATO LEARNING INC COM 72764Y100 315 78,732 SH POLYMET MINING CORP COM 731916102 1,366 1,072,200 SH PREFERRED BK LOS ANGELES CA COM 740367107 38 10,000 SH PRESIDENTIAL RLTY CORP NEW CL B 741004204 40 44,600 SH PROVIDENT FINL HLDGS INC COM 743868101 997 180,000 SH RAND LOGISTICS INC COM 752182105 607 181,170 SH REGIONS FINANCIAL CORP NEW COM 7591EP100 404 100,000 SH REIS INC COM 75936P105 766 195,909 SH RENTRAK CORP COM 760174102 1,129 68,734 SH ROCK OF AGES CORP CL A 772632105 129 62,324 SH SIRIUS XM RADIO INC COM 82967N108 129 300,000 SH SOUTHERN MO BANCORP INC COM 843380106 793 79,710 SH TAMALPAIS BANCORP COM 87485H103 500 94,842 SH TOREADOR RES CORP COM 891050106 2,029 302,833 SH TTI TEAM TELECOM INTL LTD ORD M88258104 286 355,254 SH U S ENERGY CORP WYO COM 911805109 659 329,480 SH VICON INDS INC COM 925811101 393 67,841 SH WEB COM GROUP INC COM 94733A104 62 11,000 SH WINTHROP RLTY TR SH BEN INT NEW 976391300 1,383 154,915 SH TOTAL 57,675
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