-----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, JdyxZW/lLVm7RozL9SB2N4Obx0b/WxBcsAkuakzaBiwgAVyXdnbgdCVhAGEkY21E XpRV/st3wNZvFHzANkEwMQ== 0001047469-11-000913.txt : 20110214 0001047469-11-000913.hdr.sgml : 20110214 20110214191430 ACCESSION NUMBER: 0001047469-11-000913 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 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: 11610606 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 a2201913z13f-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: 12-31-10 ----------------------- 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 14, 2011 ------------------------------- ----------------- ----------------- [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: 39 -------------------- Form 13F Information Table Value Total: $397,921 -------------------- (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
VOTING AUTHORITY TITLE OF VALUE X SHARES / INVESTMENT OTHER ------------------------- NAME OF ISSUER CLASS CUSIP 1000 PRN AMT SH/PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------------------------------------------------------------------------------------------------- Advanced Micro Devices Inc CONVRT BOND 007903AN7 31,461 30,571,000 PRN SOLE 30,571,000 Alcatel-Lucent/France CONVRT BOND 549463AH0 4,740 5,000,000 PRN SOLE 2,500,000 2,500,000 Amkor Technology Inc CONVRT BOND 031652AX8 5,055 5,070,000 PRN SOLE 5,070,000 Avatar Holdings Inc CONVRT BOND 053494AF7 16,441 16,369,000 PRN SOLE 16,369,000 Bill Barrett Corp CONVRT BOND 06846NAA2 13,537 13,100,000 PRN SOLE 13,100,000 CapitalSource Inc CONVRT BOND 14055XAE2 8,432 8,445,000 PRN SOLE 8,445,000 Century Aluminum Co CONVRT BOND 156431AE8 10,567 10,665,000 PRN SOLE 10,665,000 Charming Shoppes Inc CONVRT BOND 161133AE3 5,491 6,520,000 PRN SOLE 2,528,000 3,992,000 China Medical Technologies Inc CONVRT BOND 169483AB0 1,494 1,500,000 PRN SOLE 1,500,000 Conceptus Inc CONVRT BOND 206016AA5 2,919 3,000,000 PRN SOLE 3,000,000 Energy Conversion Devices Inc CONVRT BOND 292659AA7 1,892 2,500,000 PRN SOLE 1,250,000 1,250,000 Equinix Inc CONVRT BOND 29444UAG1 2,501 2,500,000 PRN SOLE 1,250,000 1,250,000 Euronet Worldwide Inc CONVRT BOND 298736AF6 5,470 5,530,000 PRN SOLE 2,530,000 3,000,000 Evergreen Solar Inc CONVRT BOND 30033RAC2 1,578 4,000,000 PRN SOLE 4,000,000 GenCorp Inc CONVRT BOND 368682AL4 14,531 14,682,000 PRN SOLE 14,682,000 Cal Dive International Inc. CONVRT BOND 127914AB5 26,766 27,748,000 PRN SOLE 27,748,000 Iconix Brand Group Inc CONVRT BOND 451055AB3 3,020 3,005,000 PRN SOLE 1,500,000 1,505,000 Jazz Technologies Inc CONVRT BOND 47214EAA0 2,415 2,400,000 PRN SOLE 1,200,000 1,200,000 Kemet Corp CONVRT BOND 488360AB4 7,399 7,535,000 PRN SOLE 7,535,000 Kulicke & Soffa Industries Inc CONVRT BOND 501242AT8 1,713 1,781,000 PRN SOLE 1,781,000 L-1 Identity Solutions Inc CONVRT BOND 50212AAB2 2,815 2,820,000 PRN SOLE 1,410,000 1,410,000 LDK Solar Co Ltd CONVRT BOND 50183LAB3 15,138 15,329,000 PRN SOLE 14,329,000 1,000,000 Level 3 Communications Inc CONVRT BOND 52729NBF6 29,801 29,798,000 PRN SOLE 29,798,000 Lifetime Brands Inc CONVRT BOND 53222QAB9 9,904 9,900,000 PRN SOLE 9,900,000 Masco Corp CONVRT BOND 574599BB1 5,035 9,500,000 PRN SOLE 9,500,000 Mentor Graphics Corp CONVRT BOND 587200AF3 4,968 4,813,000 PRN SOLE 2,156,000 2,657,000 MF Global Holdings Ltd CONVRT BOND 55276YAB2 4,056 3,365,000 PRN SOLE 1,135,000 2,230,000 Nash Finch Co CONVRT BOND 631158AD4 4,299 8,380,000 PRN SOLE 4,892,000 3,488,000 Newport Corp CONVRT BOND 651824AB0 7,406 7,225,000 PRN SOLE 5,775,000 1,450,000 NII Holdings Inc CONVRT BOND 62913FAJ1 30,005 30,500,000 PRN SOLE 30,500,000 Pantry Inc/The CONVRT BOND 698657AL7 8,752 9,000,000 PRN SOLE 9,000,000 Penn Virginia Corp CONVRT BOND 707882AA4 20,709 20,830,000 PRN SOLE 19,580,000 1,250,000 Pixelworks Inc CONVRT BOND 72581MAB3 2,671 2,720,000 PRN SOLE 2,720,000 School Specialty Inc CONVRT BOND 807863AL9 20,643 21,100,000 PRN SOLE 21,100,000 Sirius XM Radio Inc CONVRT BOND 82966UAD5 18,803 18,787,000 PRN SOLE 18,787,000 Spartan Stores Inc CONVRT BOND 846822AE4 3,033 3,220,000 PRN SOLE 1,460,000 1,760,000
Standard Pacific Corp CONVRT BOND 853763AA8 7,166 7,000,000 PRN SOLE 7,000,000 SunPower Corp CONVRT BOND 867652AA7 33,200 35,100,000 PRN SOLE 30,885,000 4,215,000 THQ Inc CONVRT BOND 872443AB2 2,093 2,000,000 PRN SOLE 1,000,000 1,000,000 Records 39 Total Mkt Value 397,921
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