0000919574-13-001485.txt : 20130214 0000919574-13-001485.hdr.sgml : 20130214 20130214113715 ACCESSION NUMBER: 0000919574-13-001485 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 EFFECTIVENESS DATE: 20130214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMICI CAPITAL, LLC CENTRAL INDEX KEY: 0001326537 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11383 FILM NUMBER: 13608318 BUSINESS ADDRESS: STREET 1: 666 FIFTH AVENUE STREET 2: 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10103 BUSINESS PHONE: 212-484-5000 MAIL ADDRESS: STREET 1: 666 FIFTH AVENUE STREET 2: 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10103 FORMER COMPANY: FORMER CONFORMED NAME: Porter Orlin LLC DATE OF NAME CHANGE: 20050509 13F-HR 1 d1355820_13f-hr.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 December 31, 2012 Check here if Amendment: | |; Amendment Number: This Amendment (Check only one): | | is a restatement | | adds new holding entries. Institutional Manager Filing this Report: Name: Amici Capital, LLC (1) Address: 666 Fifth Avenue Suite 3403 New York, NY 10103 13F File Number: 028-11383 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: William C. Verdi Title: Chief Financial Officer Phone: 212-484-5000 Signature, Place and Date of Signing: /s/ William C. Verdi New York, NY February 14, 2013 ----------------------- --------------------------- ---------------------- [Signature] [City, State] [Date] (1) Porter Orlin LLC changed its name to Amici Capital, LLC effective as of December 31, 2012. 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 managers(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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 103 Form 13F Information Table Value Total: $2,078,299 (thousands) List of Other Included Managers: NONE ----------------------- ------------------------------ FORM 13F INFORMATION TABLE Amici Capital, LLC December 31, 2012
COL 1 COL 2 COL 3 COL 4 COL 5 COL 6 COL 7 COL 8 TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE -------------- -------- ----- -------- ------- --- ---- ---------- ---- ---- ------ ---- ACACIA RESH CORP ACACIA TCH COM 003881307 27,605 1,076,200 SH SOLE 1,076,200 ADDUS HOMECARE CORP COM 006739106 1,533 215,100 SH SOLE 215,100 APOLLO GROUP INC CL A 037604105 6,485 310,000 CALL SOLE 310,000 APPLE INC COM 037833100 10,661 20,000 SH SOLE 20,000 ARES CAP CORP COM 04010L103 688 39,291 SH SOLE 39,291 ASSURED GUARANTY LTD COM G0585R106 79,845 5,611,000 SH SOLE 5,611,000 BANCO BRADESCO S A SP ADR PFD NEW 059460303 7,573 436,000 SH SOLE 436,000 BANK MONTREAL QUE COM 063671101 13,241 216,000 SH SOLE 216,000 BANK OF AMERICA CORPORATION COM 060505104 8,216 708,300 SH SOLE 708,300 BARRICK GOLD CORP COM 067901108 16,278 464,950 SH SOLE 464,950 BARRICK GOLD CORP COM 067901108 8,753 250,000 CALL SOLE 250,000 BERKSHIRE HILLS BANCORP INC COM 084680107 3,573 149,769 SH SOLE 149,769 BIOMARIN PHARMACEUTICAL INC COM 09061G101 128,627 2,611,754 SH SOLE 2,611,754 BIOMARIN PHARMACEUTICAL INC NOTE 1.875% 4/2 09061GAD3 19,775 8,000,000 PRN SOLE 8,000,000 BIOSPECIFICS TECHNOLOGIES CO COM 090931106 673 44,999 SH SOLE 44,999 BUILD A BEAR WORKSHOP COM 120076104 267 70,000 SH SOLE 70,000 BUNGE LIMITED COM G16962105 26,168 360,000 CALL SOLE 360,000 CANADIAN PAC RY LTD COM 13645T100 610 6,000 SH SOLE 6,000 CAPITOL FED FINL INC COM 14057J101 16,951 1,450,000 SH SOLE 1,450,000 CHESAPEAKE ENERGY CORP COM 165167107 11,784 709,000 CALL SOLE 709,000 CHESAPEAKE LODGING TR SH BEN INT 165240102 61,191 2,930,582 SH SOLE 2,930,582 CITIGROUP INC COM NEW 172967424 451 11,390 SH SOLE 11,390 COMVERSE INC COM 20585P105 8,598 301,381 SH SOLE 301,381 COMVERSE TECHNOLOGY INC COM PAR $0.10 205862402 11,573 3,013,816 SH SOLE 3,013,816 DEALERTRACK HLDGS INC COM 242309102 1,726 60,100 SH SOLE 60,100 DEUTSCHE BANK AG NAMEN AKT D18190898 9,124 206,000 PUT SOLE 206,000 DONNELLEY R R & SONS CO COM 257867101 1,928 214,260 SH SOLE 214,260 ESSEX PPTY TR INC COM 297178105 807 5,500 PUT SOLE 5,500 EXCO RESOURCES INC COM 269279402 3,621 534,867 SH SOLE 534,867 EXELIXIS INC COM 30161Q104 398 87,000 SH SOLE 87,000 EXPRESS SCRIPTS HLDG CO COM 30219G108 109,480 2,027,400 SH SOLE 2,027,400 FIRST SOLAR INC COM 336433107 25,922 840,000 CALL SOLE 840,000 FIRST SOLAR INC COM 336433107 21,911 710,000 PUT SOLE 710,000 FOSSIL INC COM 349882100 1,127 12,100 SH SOLE 12,100 GNC HLDGS INC COM CL A 36191G107 6,989 210,000 PUT SOLE 210,000 GOOGLE INC CL A 38259P508 21,494 30,300 SH SOLE 30,300 GYRODYNE CO AMER INC COM 403820103 360 5,000 SH SOLE 5,000 HARVEST NATURAL RESOURCES IN COM 41754V103 32,848 3,621,632 SH SOLE 3,621,632 HILLTOP HOLDINGS INC COM 432748101 3,588 265,000 SH SOLE 265,000 HSBC HLDGS PLC SPON ADR NEW 404280406 1,906 35,923 SH SOLE 35,923 ICICI BK LTD ADR 45104G104 55,267 1,267,300 SH SOLE 1,267,300 INDEPENDENCE HLDG CO NEW COM NEW 453440307 3,213 337,518 SH SOLE 337,518 ISHARES TR RUSSELL 2000 464287655 42,160 500,000 PUT SOLE 500,000 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 17,415 1,058,000 SH SOLE 1,058,000 JPMORGAN CHASE & CO COM 46625H100 2,345 53,343 SH SOLE 53,343 KB HOME COM 48666K109 3,160 200,000 PUT SOLE 200,000 LIBERTY GLOBAL INC COM SER A 530555101 31,140 494,372 SH SOLE 494,372 LIBERTY GLOBAL INC COM SER C 530555309 2,372 40,372 SH SOLE 40,372 LILLY ELI & CO COM 532457108 4,932 100,000 CALL SOLE 100,000 LILLY ELI & CO COM 532457108 15,782 320,000 PUT SOLE 320,000 MACYS INC COM 55616P104 35,828 918,200 SH SOLE 918,200 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 139 7,000 SH SOLE 7,000 MASTERCARD INC CL A 57636Q104 4,716 9,600 SH SOLE 9,600 MDC PARTNERS INC CL A SUB VTG 552697104 16,347 1,446,620 SH SOLE 1,446,620 MEDCATH CORP COM 58404W109 179 125,000 SH SOLE 125,000 MERCK & CO INC NEW COM 58933Y105 10,992 268,500 SH SOLE 268,500 MGP INGREDIENTS INC NEW COM 55303J106 1,884 550,997 SH SOLE 550,997 MICROSTRATEGY INC CL A NEW 594972408 2,166 23,200 SH SOLE 23,200 NATIONAL OILWELL VARCO INC COM 637071101 62,472 914,000 SH SOLE 914,000 NATIONAL OILWELL VARCO INC COM 637071101 20,505 300,000 CALL SOLE 300,000 NEWS CORP CL A 65248E104 894 35,000 SH SOLE 35,000 NORDION INC COM 65563C105 323 50,000 SH SOLE 50,000 OBAGI MEDICAL PRODUCTS INC COM 67423R108 340 25,000 SH SOLE 25,000 ONCOTHYREON INC COM 682324108 38 20,000 SH SOLE 20,000 PENFORD CORP COM 707051108 8,474 1,148,746 SH SOLE 1,148,746 PENN NATL GAMING INC COM 707569109 25,807 525,503 SH SOLE 525,503 PENNEY J C INC COM 708160106 1,776 90,100 SH SOLE 90,100 QUALCOMM INC COM 747525103 17,676 285,000 SH SOLE 285,000 QUALSTAR CORP COM 74758R109 1,200 834,901 SH SOLE 834,901 QUANTUM CORP COM DSSG 747906204 24,580 19,822,398 SH SOLE 19,822,398 QUESTCOR PHARMACEUTICALS INC COM 74835Y101 5,344 200,000 CALL SOLE 200,000 QUESTCOR PHARMACEUTICALS INC COM 74835Y101 2,672 100,000 PUT SOLE 100,000 SANOFI SPONSORED ADR 80105N105 102,217 2,157,377 SH SOLE 2,157,377 SEACOR HOLDINGS INC COM 811904101 54,610 651,673 SH SOLE 651,673 SEALED AIR CORP NEW COM 81211K100 29,259 1,671,000 SH SOLE 1,671,000 SEALED AIR CORP NEW COM 81211K100 8,930 510,000 CALL SOLE 510,000 SI FINL GROUP INC MD COM 78425V104 798 69,369 SH SOLE 69,369 SLM CORP COM 78442P106 11,782 687,771 SH SOLE 687,771 SPDR GOLD TRUST GOLD SHS 78463V107 28,546 176,200 SH SOLE 176,200 SPDR S&P 500 ETF TR TR UNIT 78462F103 28,482 200,000 PUT SOLE 200,000 STANDARD PAC CORP NEW COM 85375C101 53,747 7,312,459 SH SOLE 7,312,459 TESLA MTRS INC COM 88160R101 6,774 200,000 CALL SOLE 200,000 TESSERA TECHNOLOGIES INC COM 88164L100 83,963 5,113,213 SH SOLE 5,113,213 TEXTRON INC COM 883203101 44,746 1,805,000 SH SOLE 1,805,000 TFS FINL CORP COM 87240R107 20,113 2,090,711 SH SOLE 2,090,711 THOR INDS INC COM 885160101 973 26,000 SH SOLE 26,000 TIVO INC COM 888706108 36,023 2,924,000 SH SOLE 2,924,000 TRANSOCEAN LTD REG SHS H8817H100 3,830 85,782 SH SOLE 85,782 TUMI HLDGS INC COM 89969Q104 40,395 1,937,408 SH SOLE 1,937,408 UNILEVER N V N Y SHS NEW 904784709 17,813 465,100 SH SOLE 465,100 UNITED RENTALS INC COM 911363109 3,670 80,629 SH SOLE 80,629 UNITED THERAPEUTICS CORP DEL COM 91307C102 50,850 951,900 SH SOLE 951,900 VERINT SYS INC COM 92343X100 1,468 50,000 SH SOLE 50,000 VERISIGN INC COM 92343E102 32,131 827,700 SH SOLE 827,700 VERISIGN INC SDCV 3.250% 8/1 92343EAD4 46,478 36,704,000 PRN SOLE 36,704,000 VIRGIN MEDIA INC COM 92769L101 735 20,000 SH SOLE 20,000 VISA INC COM CL A 92826C839 50,431 332,700 SH SOLE 332,700 VISA INC COM CL A 92826C839 30,316 200,000 PUT SOLE 200,000 WALGREEN CO COM 931422109 37,343 1,009,000 SH SOLE 1,009,000 WALTER INVT MGMT CORP COM 93317W102 97,823 2,273,900 SH SOLE 2,273,900 WARWICK VALLEY TEL CO COM 936750108 918 88,657 SH SOLE 88,657 WHIRLPOOL CORP COM 963320106 5,088 50,000 PUT SOLE 50,000 YAMANA GOLD INC COM 98462Y100 11,565 672,000 SH SOLE 672,000
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