-----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, Al+h7goUuj1ZC0fVR1KwNsvN5JBOvHJlHUalZMgMzHlP70/aUNylEyZ8hB/9CZHw cXqcUaYGEuC+caRRVRpTag== 0001332902-09-000036.txt : 20090812 0001332902-09-000036.hdr.sgml : 20090812 20090812101025 ACCESSION NUMBER: 0001332902-09-000036 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090812 DATE AS OF CHANGE: 20090812 EFFECTIVENESS DATE: 20090812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Quattro Global Capital, LLC CENTRAL INDEX KEY: 0001332902 IRS NUMBER: 134006740 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11428 FILM NUMBER: 091005496 BUSINESS ADDRESS: STREET 1: 546 5TH AVENUE STREET 2: 19TH FLOO CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-201-8780 MAIL ADDRESS: STREET 1: 546 5TH AVENUE STREET 2: 19TH FLOO CITY: NEW YORK STATE: NY ZIP: 10036 13F-HR 1 r13f_200906.txt QUATTRO GLOBAL CAPITAL, LLC_Q2 2009 13F FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: JUNE 30, 2009 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: Quattro Global Capital, LLC Address: 546 Fifth Avenue 19th Floor New York, NY 10036 13F File Number: 28-11428 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: STEPHEN ELLWOOD Title: Chief Compliance Officer Phone: 212-201-8787 Signature, Place, and Date of Signing: Stephen Ellwood New York, NY AUGUST 12, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 51 Form 13F Information Table Value Total: $137,299 (in 1000s) FORM 13F INFORMATION TABLE VOTING VALUE SHARES/ SH/ PUT/INVSTMT AUTH. NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALLDSCRETN SOLE 2020 CHINACAP ACQUIRCO INC *W EXP 11/08/201 90212G 11 7 15 100000 WRT SOLE 100000 ADVANCED MICRO DEVICES INC NOTE 6.000% 5/0 007903 AL 1 1645 3500000 PRN SOLE 3500000 AMGEN INC NOTE 0.125% 2/0 031162 AN 0 11754 12366000 PRN SOLE 12366000 AMYLIN PHARMACEUTICALS INC NOTE 3.000% 6/1 032346 AF 5 1939 3000000 PRN SOLE 3000000 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938L AK 0 2517 2000000 PRN SOLE 2000000 BEST BUY INC SDCV 2.250% 1/1 086516 AF 8 1943 2000000 PRN SOLE 2000000 BIOMARIN PHARMACEUTICAL INC NOTE 1.875% 4/2 09061G AD 3 2672 3000000 PRN SOLE 3000000 CELL THERAPEUTICS INC NOTE 4.000% 7/0 150934 AF 4 1875 2500000 PRN SOLE 2500000 COMMSCOPE INC NOTE 3.250% 7/0 203372 AG 2 5112 4500000 PRN SOLE 4500000 COMMSCOPE INC PUT 203372 10 7 263 10000 SH PUT SOLE 10000 ENZON PHARMACEUTICALS INC NOTE 4.000% 6/0 293904 AE 8 2828 3000000 PRN SOLE 3000000 EQUINIX INC NOTE 4.750% 6/1 29444U AH 9 4811 4500000 PRN SOLE 4500000 EXPRESSJET HOLDINGS INC COM NEW 30218U 30 6 671 486175 SH SOLE 486175 GOLDEN POND HEALTHCARE INC *W EXP 11/06/201 38116J 11 7 38 250000 WRT SOLE 250000 HICKS ACQUISITION CO I INC *W EXP 09/28/201 429086 12 7 10 160000 WRT SOLE 160000 HOSPITALITY PPTYS TR NOTE 3.800% 3/1 44106M AK 8 2668 3200000 PRN SOLE 3200000 HUMAN GENOME SCIENCES INC NOTE 2.250% 8/1 444903 AM 0 860 1500000 PRN SOLE 1500000 HUTCHINSON TECHNOLOGY INC NOTE 3.250% 1/1 448407 AF 3 990 2250000 PRN SOLE 2250000 INGERSOLL-RAND GLOBAL HLDG C NOTE 4.500% 4/1 45687A AD 4 6713 5000000 PRN SOLE 5000000 INTER ATLANTIC FINANCIAL INC W EXP 10/02/201 45890H 11 8 36 200000 WRT SOLE 200000 IPCS INC COM NEW 44980Y 30 5 250 16735 SH SOLE 16735 JAZZ TECHNOLOGIES INC NOTE 8.000%12/3 47214E AA 0 473 1350000 PRN SOLE 1350000 KING PHARMACEUTICALS INC NOTE 1.250% 4/0 495582 AJ 7 3881 5000000 PRN SOLE 5000000 LEVEL 3 COMMUNICATIONS INC COM 52729N 10 0 219 145012 SH SOLE 145012 LIBERTY ACQUISITION HLDGS CO *W EXP 12/12/201 53015Y 11 5 20 50000 WRT SOLE 50000 LINEAR TECHNOLOGY CORP NOTE 3.000% 5/0 535678 AC 0 5379 6500000 PRN SOLE 6500000 MEDTRONIC INC NOTE 1.500% 4/1 585055 AL 0 14522 15000000 PRN SOLE 15000000 MESA AIR GROUP INC COM 590479 10 1 39 389557 SH SOLE 389557 MICRON TECHNOLOGY INC NOTE 1.875% 6/0 595112 AH 6 6007 10249000 PRN SOLE 10249000 NABORS INDS INC NOTE 0.940% 5/1 629568 AP 1 4491 4813000 PRN SOLE 4813000 ON SEMICONDUCTOR CORP NOTE 2.625%12/1 682189 AG 0 3133 3500000 PRN SOLE 3500000 POWERWAVE TECHNOLOGIES INC NOTE 1.875%11/1 739363 AD 1 615 1000000 PRN SOLE 1000000 QUANTUM CORP COM DSSG 747906 20 4 83 100000 SH SOLE 100000 QWEST COMMUNICATIONS INTL IN NOTE 3.500%11/1 749121 BY 4 6924 7000000 PRN SOLE 7000000 SANDISK CORP NOTE 1.000% 5/1 80004C AC 5 2090 3317000 PRN SOLE 3317000 SANTA MONICA MEDIA CORP *W EXP 03/27/201 802501 11 4 0 250000 WRT SOLE 250000 SAVVIS INC NOTE 3.000% 5/1 805423 AA 8 1503 2000000 PRN SOLE 2000000 SECURE AMER ACQUISITION CORP *W EXP 10/23/201 81372L 11 1 9 175000 WRT SOLE 175000 SESI L L C NOTE 1.500%12/1 78412F AH 7 1825 2200000 PRN SOLE 2200000 SOLUTIA INC COMNEW 834376 50 1 0 225250 SH SOLE 225250 SYBASE INC NOTE 1.750% 2/2 871130 AB 6 8323 6509000 PRN SOLE 6509000 SYMANTEC CORP NOTE 0.750% 6/1 871503 AD 0 3033 3000000 PRN SOLE 3000000 TAKE-TWO INTERACTIVE SOFTWAR NOTE 4.375% 6/0 874054 AA 7 1093 1000000 PRN SOLE 1000000 TM ENTMT & MEDIA INC *W EXP 10/17/201 87260T 11 6 19 187500 WRT SOLE 187500 TRANSOCEAN INC NOTE 1.500%12/1 893830 AV 1 14185 15450000 PRN SOLE 15450000 TRANSOCEAN INC NOTE 1.625%12/1 893830 AU 3 4027 4200000 PRN SOLE 4200000 TREMISIS ENERGY ACQ CORP II *W EXP 12/05/201 89472N 11 9 23 150000 WRT SOLE 150000 TRIAN ACQUISITION I CORP *W EXP 01/23/201 89582E 11 6 35 150000 WRT SOLE 150000 TRIPLECROWN ACQUISITION CORP *W EXP 10/22/201 89677G 11 7 13 75000 WRT SOLE 75000 VORNADO RLTY L P DBCV 3.625%11/1 929043 AE 7 4073 4500000 PRN SOLE 4500000 WESCO INTL INC NOTE 1.750%11/1 95082P AG 0 1660 2000000 PRN SOLE 2000000
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