-----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, P/DoZQ6Iff8NXHt508Iqct3ZzhgCoAMM6r2/pIeJMKLMDJlfbGmZAYiBBjGwB0n0 mRlpELZf0mSSUvTqzXDgLw== 0001321711-09-000066.txt : 20091116 0001321711-09-000066.hdr.sgml : 20091116 20091116170619 ACCESSION NUMBER: 0001321711-09-000066 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Empire Capital Management, L.L.C. CENTRAL INDEX KEY: 0001321711 IRS NUMBER: 133888075 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11506 FILM NUMBER: 091187958 BUSINESS ADDRESS: STREET 1: 1 GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 203-454-1019 MAIL ADDRESS: STREET 1: 1 GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 13F-HR 1 sc13f-093009.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/09 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: Empire Capital Management, LLC Address: 1 Gorham Island, Suite 201 Westport, CT 06880 Form 13F File Number: 28-11506 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: J. Markham Penrod, IACCPsm Title: Chief Compliance Officer Phone: 203-454-6925 Signature, Place, and Date of Signing: /s/ J. Markham Penrod, IACCPsm Westport, CT 11/16/09 - ------------------------------ ------------ --------- [Signature] [City, State] [Date] 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).) List of Other Managers Reporting for this Manager: None Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None ------------- Form 13F Information Table Entry Total: 67 --------- Form 13F Information Table Value Total: $574,402 -------------- (thousands) List of Other Included Managers: NONE 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.] No. Form 13F File Number Name NONE - ------- --------------------------- ----------------------
Item 1 Item 2 Item 3 Item 4 Item 5 Item 6 Item 7 Item 8 INVESTMENT VOTING SHARES DISCRETION AUTHORITY NAME TITLE FAIR OR SOLE SOLE OF OF MARKET PRINCIPAL SH SHARED SHARED ISSUER CLASS CUSIP VALUE AMOUNT PRN OTHER MANAGER OTHER 3PAR INC COM 88580F109 $ 7,721,000 700000 SH SOLE FINE SOLE ALCATEL-LUCENT - CALL SPNS ADR 013904305 $ 500,000 200000 CALL SOLE FINE ALVARION LTD SHS M0861T100 $ 1,856,000 450000 SH SOLE FINE SOLE APPLE INC COM 037833100 $ 47,357,000 255500 SH SOLE FINE SOLE ARUBA NETWORKS - CALL COM 043176106 $ 392,000 78300 CALL SOLE FINE ARUBA NETWORKS - CALL COM 043176106 $ 398,000 53000 CALL SOLE FINE ARUBA NETWORKS - CALL COM 043176106 $ 38,000 5000 CALL SOLE FINE ARUBA NETWORKS - CALL COM 043176106 $ 35,000 7000 CALL SOLE FINE ARUBA NETWORKS - CALL COM 043176106 $ 45,000 6000 CALL SOLE FINE ARUBA NETWORKS INC COM 043176106 $ 62,587,000 7080000 SH SOLE FINE SOLE AVAGO TECHNOLOGIES LTD SHS Y0486S104 $ 3,431,000 201000 SH SOLE FINE SOLE BENCHMARK ELECTRONICS INC COM 08160H101 $ 2,700,000 150000 SH SOLE FINE SOLE BROADCOM CORP CL A 111320107 $ 12,583,000 410000 SH SOLE FINE SOLE CHORDIANT SOFTWARE INC COM NEW 170404305 $ 3,038,000 780900 SH SOLE FINE SOLE CISCO SYSTEMS INC COM 17275R102 $ 57,791,000 2455000 SH SOLE FINE SOLE DELL INC COM 24702R101 $ 382,000 25000 SH SOLE FINE SOLE DIREX DLY SMCP BEAR 3X - CALL ETF 25459W839 $ 175,000 17500 CALL SOLE FINE DIREX DLY SMCP BEAR 3X - CALL ETF 25459W839 $ 1,025,000 82000 CALL SOLE FINE EBAY INC COM 278642103 $ 12,319,000 522000 SH SOLE FINE SOLE EMC CORP COM 29264A206 $ 28,542,000 1675000 SH SOLE FINE SOLE EMULEX CORP COM NEW 292475209 $ 3,839,000 373080 SH SOLE FINE SOLE ENDWAVE CORP COM NEW 268648102 $ 2,681,000 843063 SH SOLE FINE SOLE EXPEDIA INC COM 30212P105 $ 4,191,000 175000 SH SOLE FINE SOLE FINISAR CORP COM 31787A507 $ 12,294,000 1270000 SH SOLE FINE SOLE GOOGLE INC CL A 38259P508 $ 22,313,000 45000 SH SOLE FINE SOLE HARRIS STRATEX NETWORKS INC CL A 41457P106 $ 6,690,000 944162 SH SOLE FINE SOLE INTEL CORP COM 458140100 $ 60,080,000 3070000 SH SOLE FINE SOLE INTEL CORP - CALL COM 458140100 $ 4,001,000 200050 CALL SOLE FINE INTEL CORP - CALL COM 458140100 $ 950,000 50000 CALL SOLE FINE INTL BUSINESS MACHINES CORP COM 459200101 $ 17,942,000 150000 SH SOLE FINE SOLE ISHARES RUSSELL 2000 NDX - PUT ETF 464287655 $ 1,260,000 22500 PUT SOLE FINE SOLE LANTRONIX INC COM 516548104 $ 3,551,000 6230000 SH SOLE FINE SOLE NII HOLDINGS INC CL B NEW 62913F201 $ 4,208,000 140000 SH SOLE FINE SOLE ORACLE CORP COM 68389X105 $ 11,670,000 560000 SH SOLE FINE SOLE PWRSHS QQQ TRUST - PUT ETF 73935A104 $ 3,885,000 105000 PUT SOLE FINE SOLE PWRSHS QQQ TRUST - PUT ETF 73935A104 $ 1,900,000 50000 PUT SOLE FINE SOLE PWRSHS QQQ TRUST - PUT ETF 73935A104 $ 6,000,000 150000 PUT SOLE FINE SOLE PSHS ULTRSHRT QQQ ETF 74347R875 $ 4,606,000 200000 SH SOLE FINE SOLE PSHS ULTRSHRT REAL EST - CALL ETF 74347R552 $ 80,000 10000 CALL SOLE FINE PSHS ULTRSHRT REAL EST - CALL ETF 74347R552 $ 180,000 20000 CALL SOLE FINE PSHS ULTRSHRT REAL EST - CALL ETF 74347R552 $ 100,000 10000 CALL SOLE FINE PSHS ULTRSHRT REAL EST - CALL ETF 74347R552 $ 110,000 10000 CALL SOLE FINE PSHS ULTRSHRT REAL EST - CALL ETF 74347R552 $ 360,000 30000 CALL SOLE FINE PSHS ULTRSHRT REAL EST - CALL ETF 74347R552 $ 189,000 14500 CALL SOLE FINE PSHS ULTRSHRT REAL EST - CALL ETF 74347R552 $ 280,000 20000 CALL SOLE FINE PSHS ULTRSHRT S&P500 - CALL ETF 74347R883 $ 1,018,000 27500 CALL SOLE FINE PSHS ULTRSHRT S&P500 - CALL ETF 74347R883 $ 1,755,000 45000 CALL SOLE FINE PSHS ULTRSHRT S&P500 - CALL ETF 74347R883 $ 2,352,000 56000 CALL SOLE FINE PSHS ULTRSHRT S&P500 - CALL ETF 74347R883 $ 440,000 11000 CALL SOLE FINE QUALCOMM INC COM 747525103 $ 43,068,000 957500 SH SOLE FINE SOLE RF MICRO DEVICES INC COM 749941100 $ 2,444,000 450000 SH SOLE FINE SOLE S&P DEPOSITORY RECEIPTS - PUT ETF 78462F103 $ 3,153,000 32500 PUT SOLE FINE SOLE S&P DEPOSITORY RECEIPTS - PUT ETF 78462F103 $ 2,940,000 30000 PUT SOLE FINE SOLE SANDISK CORP COM 80004C101 $ 34,720,000 1600000 SH SOLE FINE SOLE SBA COMMUNICATIONS CORP COM 78388J106 $ 6,758,000 250000 SH SOLE FINE SOLE SILICON MOTION TECH CORP SPNS ADR 82706C108 $ 2,770,000 695979 SH SOLE FINE SOLE SILICON MOTION TECH CORP - CALL SPNS ADR 82706C108 $ 46,000 18490 CALL SOLE FINE SILICON MOTION TECH CORP - CALL SPNS ADR 82706C108 $ 38,000 15000 CALL SOLE FINE SILICON STORAGE TECH INC COM 827057100 $ 591,000 244037 SH SOLE FINE SOLE SKYWORKS SOLUTIONS INC COM 83088M102 $ 3,972,000 300000 SH SOLE FINE SOLE STEC INC COM 784774101 $ 12,491,000 425000 SH SOLE FINE SOLE STOCKERYALE INC COM 86126T203 $ 714,000 5492500 SH SOLE FINE SOLE TAIWAN SEMICNDTR MANUFCT CO SPNS ADR 874039100 $ 2,740,000 250000 SH SOLE FINE SOLE TRIDENT MICROSYSTEMS INC COM 895919108 $ 6,683,000 2580406 SH SOLE FINE SOLE VERISIGN INC COM 92343E102 $ 11,845,000 5000000 SH SOLE FINE SOLE XILINX INC COM 983919101 $ 3,513,000 150000 SH SOLE FINE SOLE YUCHENG TECHNOLOGIES LTD COM G98777108 $ 14,076,000 1963113 SH SOLE FINE SOLE $574,402,000 ENTRY TOTAL 67 TABLE VALUE IN THOUSANDS $ 574,402
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