-----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, PsJjFtLR5kKZwTNd1PNxuaz3lxa53j/SUPZ4oLBaXegOqjTrfpFRguZ8E1xex+Bt MaSK97T6IU7O6iZXhKlACA== 0000950123-10-036760.txt : 20100422 0000950123-10-036760.hdr.sgml : 20100422 20100421174428 ACCESSION NUMBER: 0000950123-10-036760 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100422 DATE AS OF CHANGE: 20100421 EFFECTIVENESS DATE: 20100422 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NIEDERHOFFER R G CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001216800 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10392 FILM NUMBER: 10762580 13F-HR 1 c99448e13fvhr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 3-31-2010 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: R. G. Niederhoffer Capital Management, Inc. Address: 1700 Broadway 39th Floor New York, NY 10019 Form 13F File Number: 28-10392 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: Roy G. Niederhoffer Title: President Phone: (212) 245-0400 Signature, Place, and Date of Signing: /s/ Roy G. Niederhoffer New York, New York 3-31-2010 - ------------------------- ------------------------ ---------------- 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: 94 Form 13F Information Table Value Total: 203,463 (thousands) List of Other Included Managers: None
VOTING AUTHORITY: SOLE/ TITLE OF VALUE SHRS. OR SH/ PUT/ INV. OTHER SHARED/ NAME OF ISSUER CLASS CUSIP (X$1000) PRN. AMT. PRN CALL DISCR. MNGR. NONE - -------------- -------- --------- -------- --------- --- ---- ------ ----- ---------- 3M CO COM 88579Y101 7,246 86,700 SH SOLE SOLE ADOBE SYSTEMS INCORPORATED COM 00724F101 407 11,500 SH SOLE SOLE AETNA INC. COM 00817Y108 990 28,200 SH SOLE SOLE AK STEEL HOLDING CORP. COM 1547108 740 32,400 SH SOLE SOLE ALCOA INC. COM 13817101 2,482 174,300 SH SOLE SOLE ALCON INC. (SWITZERLAND) COM H01301102 905 5,600 SH SOLE SOLE ALTRIA GROUP INC COM 02209S103 3,150 153,600 SH SOLE SOLE AMGEN INC. COM 31162100 8,934 149,300 SH SOLE SOLE APOLLO GROUP INC. COM 37604105 3,419 55,800 SH SOLE SOLE ARCELOR MITTAL COM 03938L104 2,854 65,000 SH SOLE SOLE AVON PRODUCTS INC. COM 54303102 1,128 33,300 SH SOLE SOLE BEST BUY INC COM 86516101 1,808 42,500 SH SOLE SOLE BIOGEN IDEC INC COM 09062X103 1,377 24,000 SH SOLE SOLE BLACKROCK INC. COM 09247X101 2,156 9,900 SH SOLE SOLE CARNIVAL CORP Unit 143658300 677 17,400 SH SOLE SOLE CATERPILLAR INC. COM 149123101 1,144 18,200 SH SOLE SOLE CELGENE CORPORATION COM 151020104 508 8,200 SH SOLE SOLE CENTURYTEL INC. COM 156700106 617 17,400 SH SOLE SOLE CHEVRON CORPORATION COM 166764100 2,578 34,000 SH SOLE SOLE CHUBB CORP. COM 171232101 2,115 40,800 SH SOLE SOLE CISCO SYSTEMS INC. COM 17275R102 1,624 62,400 SH SOLE SOLE CME GROUP INC. COM 12572Q105 727 2,300 SH SOLE SOLE COCA-COLA CO (THE) COM 191216100 10,610 192,900 SH SOLE SOLE CONOCOPHILLIPS COM 20825C104 972 19,000 SH SOLE SOLE CONSOL ENERGY INC COM 20854P109 708 16,600 SH SOLE SOLE DANAHER CORP. COM 235851102 3,396 42,500 SH SOLE SOLE DIAMONDS TRUST SER 1 ETF 78467X109 793 7,300 SH SOLE SOLE DISNEY (WALT) CO. (THE) COM 254687106 286 8,200 SH SOLE SOLE DU PONT (E.I.) DE NEMOURS & CO COM 263534109 927 24,900 SH SOLE SOLE EBAY INC. COM 278642103 9,024 334,700 SH SOLE SOLE EMC CORP. COM 268648102 795 44,100 SH SOLE SOLE EXPEDIA INC. COM 30212P105 2,831 113,500 SH SOLE SOLE
FINANCIAL SEL SPDR ETF 81369Y605 837 52,500 SH SOLE SOLE FIRST SOLAR INC. COM 336433107 3,557 29,000 SH SOLE SOLE FPL GROUP INC. COM 302571104 594 12,300 SH SOLE SOLE FREEPORT-MCMORAN COPPER & GOLD COM 35671D857 8,847 105,900 SH SOLE SOLE GENERAL ELECTRIC CO COM 369604103 817 44,900 SH SOLE SOLE GOLDMAN SACHS GROUP INC. COM 38141G104 5,801 34,000 SH SOLE SOLE HEWLETT-PACKARD CO COM 428236103 786 14,800 SH SOLE SOLE HOME DEPOT INC COM 437076102 1,236 38,200 SH SOLE SOLE HONEYWELL INTERNATIONAL INC. COM 438516106 3,662 80,900 SH SOLE SOLE INFOSYS TECHNOLOGIES ADS ADR 456788108 1,311 22,300 SH SOLE SOLE INGERSOLL-RAND CO. LTD. COM G47791101 254 7,300 SH SOLE SOLE INTEL CORPORATION COM 458140100 831 37,300 SH SOLE SOLE INTERNATIONAL BUSINESS MACHINES COM 459200101 6,618 51,600 SH SOLE SOLE INTERWOVEN INC. COM 25459W516 1,505 15,600 SH SOLE SOLE INTUIT INC. COM 461202103 480 14,000 SH SOLE SOLE ISHARE MSCI JAPAN IN ETF 464286848 2,298 220,300 SH SOLE SOLE ISHARE MSCI SO.KOREA ETF 464286772 740 14,800 SH SOLE SOLE ISHARE RUS 2000 INDX ETF 464287655 780 11,500 SH SOLE SOLE ISHARES TRUST MSCI EAFE INDEX ETF 464287465 1,763 31,500 SH SOLE SOLE JPMORGAN CHASE & CO. COM 46625H100 814 18,200 SH SOLE SOLE KELLOGG CO COM 487836108 214 4,000 SH SOLE SOLE KRAFT FOODS INC. COM 50075N104 826 27,300 SH SOLE SOLE LAM RESEARCH CORPORATION COM 512807108 896 24,000 SH SOLE SOLE LAS VEGAS SANDS CORP COM 517834107 1,320 62,400 SH SOLE SOLE LIMITED BRANDS INC. COM 532716107 1,309 53,200 SH SOLE SOLE LINEAR TECHNOLOGY CORPORATION COM 535678106 206 7,300 SH SOLE SOLE LOWES COMPANIES INC COM 548661107 422 17,400 SH SOLE SOLE MEDCO HEALTH SOLUTIONS INC. COM 58405U102 852 13,200 SH SOLE SOLE MERCK & CO. INC COM 58933Y105 243 6,500 SH SOLE SOLE NATIONAL OILWELL VARCO INC COM 637071101 264 6,500 SH SOLE SOLE NIKE INC COM 654106103 3,058 41,600 SH SOLE SOLE NUCOR CORP. COM 670346105 486 10,700 SH SOLE SOLE OCCIDENTAL PETROLEUM CORP COM 674599105 2,967 35,100 SH SOLE SOLE PEABODY ENERGY CORP COM 704549104 868 19,000 SH SOLE SOLE PEPSICO INC. COM 713448108 212 3,200 SH SOLE SOLE PETROLEO BRASILEIRO S.A. ADR 71654V408 401 9,000 SH SOLE SOLE PNC FINANCIAL SERVICES GROUP COM 693475105 591 9,900 SH SOLE SOLE
POTASH CORP. OF SASKATCHEWAN COM 73755L107 573 4,800 SH SOLE SOLE POWERSHARES QQQ SENIOR 1 ETF ETF 73935A104 799 16,600 SH SOLE SOLE PRECISION CASTPARTS CORP. COM 740189105 1,977 15,600 SH SOLE SOLE PROLOGIS REIT 743410102 240 18,200 SH SOLE SOLE QUALCOMM INCORPORATED COM 747525103 5,077 121,000 SH SOLE SOLE RESEARCH IN MOTION LIMITED COM 760975102 355 4,800 SH SOLE SOLE ROSS STORES INC. COM 778296103 658 12,300 SH SOLE SOLE S&P DEP RECEIPTS ETF 78462F103 761 6,500 SH SOLE SOLE S&P MID DEPOSIT RCPT ETF 78467Y107 1,174 8,200 SH SOLE SOLE SIMON PROPERTY GROUP INC. REIT 828806109 268 3,200 SH SOLE SOLE SOUTHWESTERN ENERGY COMPANY COM 845467109 2,991 73,300 SH SOLE SOLE SUNTRUST BANKS INC. COM 867914103 308 11,500 SH SOLE SOLE TEVA PHARMACEUTICALS LTD ADR 881624209 517 8,200 SH SOLE SOLE THE DIRECTV GROUP INC. - CMN STK COM 25490A101 2,674 79,100 SH SOLE SOLE THERMO FISHER SCIENTIFIC INC COM 883556102 1,965 38,200 SH SOLE SOLE TYCO INTERNATIONAL LTD. COM H89128104 727 19,000 SH SOLE SOLE U.S. BANCORP (DE) COM 902973304 298 11,500 SH SOLE SOLE UNITED PARCEL SERVICE INC COM 911312106 258 4,000 SH SOLE SOLE UNITED STATES STEEL CORP COM 912909108 838 13,200 SH SOLE SOLE VERIZON COMMUNICATIONS INC COM 92343V104 10,925 352,300 SH SOLE SOLE VIX SHORT-TERM FUTURES ETN COM 06740C527 11,841 563,600 SH SOLE SOLE WAL-MART STORES INC. COM 931142103 13,833 248,800 SH SOLE SOLE WELLPOINT INC COM 94973V107 3,109 48,300 SH SOLE SOLE WELLS FARGO & CO. COM 949746101 828 26,600 SH SOLE SOLE YAHOO! INC. COM 984332106 3,878 234,600 SH SOLE SOLE
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