0001047469-11-009409.txt : 20111114 0001047469-11-009409.hdr.sgml : 20111111 20111114061933 ACCESSION NUMBER: 0001047469-11-009409 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 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: 111197394 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 a2206064z13f-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: 09-30-11 ----------------------- 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: Daneen Downey ------------------------------- Title: Chief Compliance Officer ------------------------------- Phone: 610-617-5900 ------------------------------- Signature, Place, and Date of Signing: /s/ Daneen Downey Bala Cynwyd, PA November 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: 32 -------------------- Form 13F Information Table Value Total: $600,836 -------------------- (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 FORM 13F INFORMATION TABLE
VOTING AUTHORITY VALUE x SHARES / INVESTMENT OTHER --------------------- NAME OF ISSUER TITLE OF CLASS CUSIP 1000 PRN AMT SH/PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- Advanced Micro Devices Inc CONVRT BOND 007903AN7 68,108 67,293,000 PRN SOLE 67293000 Affymetrix Inc CONVRT BOND 00826TAG3 14,619 14,650,000 PRN SOLE 14650000 Avatar Holdings Inc CONVRT BOND 053494AG5 1,433 1,500,000 PRN SOLE 1500000 Cal Dive International Inc CONVRT BOND 127914AB5 52,766 53,374,000 PRN SOLE 53374000 CapitalSource Inc CONVRT BOND 14055XAG7 62,359 60,886,000 PRN SOLE 60886000 Charming Shoppes Inc CONVRT BOND 161133AE3 3,442 3,992,000 PRN SOLE 3992000 Conceptus Inc CONVRT BOND 206016AA5 19,996 20,120,000 PRN SOLE 20120000 Energy Conversion Devices Inc CONVRT BOND 292659AA7 572 1,250,000 PRN SOLE 1250000 Euronet Worldwide Inc CONVRT BOND 298736AF6 17,734 17,804,000 PRN SOLE 14804000 3000000 GenCorp Inc CONVRT BOND 368682AL4 15,453 15,482,000 PRN SOLE 15482000 Goodrich Petroleum Corp CONVRT BOND 382410AB4 2,756 2,750,000 PRN SOLE 2750000 Greenbrier Cos Inc CONVRT BOND 393657AD3 11,822 12,536,000 PRN SOLE 12536000 Iconix Brand Group Inc CONVRT BOND 451055AB3 1,486 1,505,000 PRN SOLE 1505000 Identive Group Inc COMMON STOCK 45170X106 117 58,800 SH SOLE 58800 Jazz Technologies Inc CONVRT BOND 47214EAA0 4,591 4,585,000 PRN SOLE 3385000 1200000 Kemet Corp CONVRT BOND 488360AB4 16,413 16,446,000 PRN SOLE 16446000 LeCroy Corp CONVRT BOND 52324WAB5 6,537 6,545,000 PRN SOLE 6545000 Level 3 Communications Inc CONVRT BOND 52729NBK5 66,882 67,833,000 PRN SOLE 67833000 Lucent Technologies Inc CONVRT BOND 549463AG2 5,088 6,000,000 PRN SOLE 6000000 Lucent Technologies Inc CONVRT BOND 549463AH0 64,582 69,466,000 PRN SOLE 67996000 1470000 MF Global Holdings Ltd CONVRT BOND 55277JAB4 1,579 2,000,000 PRN SOLE 2000000 MF Global Ltd CONVRT BOND 55276YAB2 961 905,000 PRN SOLE 905000 Nash Finch Co CONVRT BOND 631158AD4 1,289 2,948,000 PRN SOLE 2948000 Pantry Inc CONVRT BOND 698657AL7 18,423 18,740,000 PRN SOLE 18740000 Powerwave Technologies Inc CONVRT BOND 739363AF6 983 1,190,000 PRN SOLE 1190000 SanDisk Corp CONVRT BOND 80004CAC5 57,592 59,324,000 PRN SOLE 59324000 School Specialty Inc CONVRT BOND 807863AL9 5,178 5,200,000 PRN SOLE 5200000 Spartan Stores Inc CONVRT BOND 846822AE4 1,652 1,760,000 PRN SOLE 1760000 Standard Pacific Corp CONVRT BOND 853763AA8 12,471 12,181,000 PRN SOLE 12181000 SunPower Corp CONVRT BOND 867652AA7 57,996 58,479,000 PRN SOLE 54264000 4215000 THQ Inc CONVRT BOND 872443AB2 865 1,000,000 PRN SOLE 1000000 Transocean Inc CONVRT BOND 893830AV1 5,090 5,109,000 PRN SOLE 5109000 Records 32 Total Mkt Value 600,836