-----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, D4BH4B2BY8H1F7XC+yNAVTOuZS3vzcN7NN+mRA+D/Ukee/M6Zk51RGRKwOWqU9Gy ZO4G9ivrLKb/0QrnTIajmQ== 0001047469-09-001519.txt : 20090217 0001047469-09-001519.hdr.sgml : 20090216 20090217163755 ACCESSION NUMBER: 0001047469-09-001519 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090217 EFFECTIVENESS DATE: 20090217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Radcliffe Capital Management, L.P. CENTRAL INDEX KEY: 0001218275 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10367 FILM NUMBER: 09614550 BUSINESS ADDRESS: STREET 1: 50 MONUMENT ROAD, SUITE 300 CITY: BALA CYNWYD STATE: PA ZIP: 19004 BUSINESS PHONE: 6106175900 MAIL ADDRESS: STREET 1: 50 MONUMENT ROAD, SUITE 300 CITY: BALA CYNWYD STATE: PA ZIP: 19004 FORMER COMPANY: FORMER CONFORMED NAME: RG CAPITAL MANAGEMENT LP DATE OF NAME CHANGE: 20030211 13F-HR 1 a2190640z13f-hr.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: 12-31-08 ----------------------- 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: Radcliffe Capital Management, L.P. (formerly R.G. Capital Management, L.P., file no. 28-10367) ----------------------------------------------------------- Address: 50 Monument Road, Suite 300 ----------------------------------------------------------- Bala Cynwyd, PA 19004 ----------------------------------------------------------- Form 13F File Number: 28-10367 --------------------- 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: Maria R. McGarry ------------------------------- Title: Chief Compliance Officer ------------------------------- Phone: 610-617-5900 ------------------------------- Signature, Place, and Date of Signing: /s/ Maria R. McGarry Bala Cynwyd, PA February 17, 2009 ------------------------------- --------------- ----------------- [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).) I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 69 -------------------- Form 13F Information Table Value Total: $231,760 -------------------- (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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE 13F REPORT: (12/31/08) RADCLIFFE CAPITAL MANAGEMENT LP
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- -------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY SHARES / SH/ PUT/ INVESTMENT OTHER --------------------- NAME OF ISSUER TITLE OF CLASS CUSIP VALUE X 1000 PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------------------------------------------------------------------------------------------------------- Iconix Brand Group Inc COMMON STOCK 451055107 52 5325 SHS SOLE 5325 0 0 Illumina Inc OPTIONS - PUT 452327109 6 117800 SHS PUT SOLE 1178 0 0 Inter-Atlantic Financial Inc WARRANT 45890H100 2 95800 SHS SOLE 95800 0 0 JA Solar Holdings Co Ltd CONVRT BOND 466090AA5 2863 6995000 PRN SOLE 6995000 0 0 L-1 Identity Solutions Inc CONVRT BOND 50212AAB2 7785 14555000 PRN SOLE 14555000 0 0 Lawson Software Inc CONVRT BOND 52078PAA0 2341 3000000 PRN SOLE 3000000 0 0 LDK Solar Co Ltd COMMON STOCK 50183L107 1089 82999 SHS SOLE 82999 0 0 Level 3 Communications Inc COMMON STOCK 52729N100 364 519631 SHS SOLE 519631 0 0 Liberty Media Corp CONVRT BOND 530718AF2 6532 9000000 PRN SOLE 9000000 0 0 Lifetime Brands Inc CONVRT BOND 53222QAB9 902 1500000 PRN SOLE 1500000 0 0 Maxtor Corp CONVRT BOND 577729AE6 8882 14500000 PRN SOLE 14500000 0 0 Nash Finch Co CONVRT BOND 631158AD4 2477 5500000 PRN SOLE 5500000 0 0 NCI Building Systems Inc CONVRT BOND 628852AG0 3714 5000000 PRN SOLE 5000000 0 0 NII Holdings Inc CONVRT BOND 62913FAF9 9616 10953000 PRN SOLE 10953000 0 0 ON Semiconductor Corp CONVRT BOND 682189AE5 16489 19817000 PRN SOLE 19817000 0 0 Oscient Pharmaceuticals Corp COMMON STOCK 68812R303 5 30244 SHS SOLE 30244 0 0 Palm Inc OPTIONS - PUT 696643105 16 50000 SHS PUT SOLE 500 0 0 Penn Virginia Corp CONVRT BOND 707882AA4 10478 14400000 PRN SOLE 14400000 0 0 Pixelworks Inc CONVRT BOND 72581MAB3 10351 15624000 PRN SOLE 15624000 0 0 Playboy Enterprises Inc CONVRT BOND 728117AB8 4619 8500000 PRN SOLE 8500000 0 0 Qimonda AG CONVRT BOND 74732WAA7 685 3500000 PRN SOLE 3500000 0 0 Quanta Services Inc CONVRT BOND 74762EAE2 3015 2955000 PRN SOLE 2955000 0 0 Qwest Communications Internati CONVRT BOND 749121BY4 1652 2000000 PRN SOLE 2000000 0 0 SanDisk Corp CONVRT BOND 80004CAC5 2201 5300000 PRN SOLE 5300000 0 0 SanDisk Corp OPTIONS - CALL 80004C101 0 15000 SHS CALL SOLE 150 0 0 SAVVIS Inc CONVRT BOND 805423AA8 6917 16000000 PRN SOLE 16000000 0 0 Secure America Acquisition Cor WARRANT 81372L103 8 125000 SHS SOLE 125000 0 0 Sirius XM Radio Inc CONVRT BOND 82966UAD5 3022 14741000 PRN SOLE 14741000 0 0 Sun Microsystems Inc COMMON STOCK 866810203 96 25000 SHS SOLE 25000 0 0 Sun Microsystems Inc OPTIONS - PUT 866810203 410 100000 SHS PUT SOLE 1000 0 0 Suntech Power Holdings Co Ltd CONVRT BOND 86800CAC8 7920 11000000 PRN SOLE 11000000 0 0 Teva Pharmaceutical Industries OPTIONS - CALL 881624209 19 250000 SHS CALL SOLE 2500 0 0 Teva Pharmaceutical Industries OPTIONS - CALL 881624209 2 82600 SHS CALL SOLE 826 0 0
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