-----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, GXGtj2bUXhRyfQeMtrSo9ka5dnPp1GYes8mT8tI3KfBCwe8CECpmOGH7qcp/Icd9 xmDNUI5ZOdAXd91KNWvnug== 0001332902-10-000003.txt : 20100212 0001332902-10-000003.hdr.sgml : 20100212 20100212144743 ACCESSION NUMBER: 0001332902-10-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100212 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: 10598038 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_200912.txt QUATTRO GLOBAL CAPITAL, LLC Q42009 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: December 31, 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 February 12, 2010 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: 49 Form 13F Information Table Value Total: $172,922 (in 1000s) FORM 13F INFORMATION TABLE VOTING VALUE SHARES/ SH/ PUT/INVSTMT AUTH. NAME OF ISSUER TITLE OF CLASS CUSIP (x$100 PRN AMT PRN CALLDSCRETN SOLE ADVANCED MICRO DEVICES INC NOTE 6.000% 5/0 007903 AL 1 4528 5000000 PRN SOLE 5000000 AMGEN INC NOTE 0.375% 2/0 031162 AQ 3 5599 5545000 PRN SOLE 5545000 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938L AK 0 3341 2000000 PRN SOLE 2000000 BIOMARIN PHARMACEUTICAL INC NOTE 1.875% 4/2 09061G AD 3 4769 4452000 PRN SOLE 4452000 BLOCKBUSTER INC CL A 093679 10 8 101 150000 SH SOLE 150000 BRE PROPERTIES INC NOTE 4.125% 8/1 05564E BH 8 4158 4200000 PRN SOLE 4200000 CELL THERAPEUTICS INC NOTE 4.000% 7/0 150934 AF 4 860 1000000 PRN SOLE 1000000 CHARLES RIV LABS INTL INC NOTE 2.250 6/1 159864 AB 3 2431 2500000 PRN SOLE 2500000 CHARMING SHOPPES INC NOTE 1.125% 5/0 161133 AE 3 1889 2500000 PRN SOLE 2500000 CHINA MEDIAEXPRESS HLDGS INC *W EXP 10/17/201 169442 11 8 75 15000 WRT SOLE 15000 CUBIST PHARMACEUTICALS INC NOTE 2.250% 6/1 229678 AC 1 2798 3000000 PRN SOLE 3000000 ENZON PHARMACEUTICALS INC NOTE 4.000% 6/0 293904 AE 8 1235 1050000 PRN SOLE 1050000 FIBERTOWER CORP COM 31567R 10 0 253 60479 SH SOLE 60479 FORD MTR CO CAP TR II PFD TR CV6.5% 345395 20 6 1771 44814 PRN SOLE 44814 FORD MTR CO DEL NOTE 4.250%11/1 345370 CN 8 4046 3200000 PRN SOLE 3200000 GLOBALSTAR INC COM 378973 40 8 131 150000 SH SOLE 150000 GLOBALSTAR INC NOTE 5.750% 4/0 378973 AA 9 1280 2000000 PRN SOLE 2000000 HUMAN GENOME SCIENCES INC NOTE 2.250%10/1 444903 AK 4 7384 3650000 PRN SOLE 3650000 HUTCHINSON TECHNOLOGY INC NOTE 3.250% 1/1 448407 AF 3 1620 2000000 PRN SOLE 2000000 INGERSOLL-RAND GLOBAL HLDG C NOTE 4.500% 4/1 45687A AD 4 5896 2864000 PRN SOLE 2864000 JAZZ TECHNOLOGIES INC NOTE 8.000%12/3 47214E AA 0 555 645000 PRN SOLE 645000 JETBLUE AIRWAYS CORP DBCV 6.750%10/1 477143 AF 8 1485 1100000 PRN SOLE 1100000 KING PHARMACEUTICALS INC NOTE 1.250% 4/0 495582 AJ 7 5991 6489000 PRN SOLE 6489000 L-3 COMMUNICATIONS CORP DEBT 3.000% 8/0 502413 AW 7 6516 6200000 PRN SOLE 6200000 LAWSON SOFTWARE INC NEW NOTE 2.500% 4/1 52078P AA 0 2435 2500000 PRN SOLE 2500000 LEAP WIRELESS INTL INC NOTE 4.500% 7/1 521863 AL 4 2069 2500000 PRN SOLE 2500000 LEVEL 3 COMMUNICTIONS INC COM 52729N 10 0 222 145012 SH SOLE 145012 LIBERTY ACQUISITION HLDGS CO *W EXP 12/12/201 53015Y 11 5 35 50000 WRT SOLE 50000 MEDTRONIC INC NOTE 1.500% 4/1 585055 AL 0 14934 14700000 PRN SOLE 14700000 MESA AIR GROUP INC COM 590479 10 1 17 139557 SH SOLE 139557 MICRON TECHNOLOGY INC NOTE 1.875% 6/0 595112 AH 6 5675 5896000 PRN SOLE 5896000 NABORS INDS INC NOTE 0.940% 5/1 629568 AP 1 5312 5413000 PRN SOLE 5413000 PIONEER NAT RES CO NOTE 2.875% 1/1 723787 AH 0 8141 7700000 PRN SOLE 7700000 POWERWAVE TECHNOLOGIES INC NOTE 1.875% 11/1 739363 AD 1 1715 2000000 PRN SOLE 2000000 POWERWAVE TECHNOLOGIES INC NOTE 3.875% 10/0 739363 AF 6 650 1000000 PRN SOLE 1000000 PROLOGIS NOTE 2.625% 5/1 743410 AS 1 3583 4000000 PRN SOLE 4000000 QUANTUM CORP COM DSSG 747906 20 4 205 70000 SH SOLE 70000 QWEST COMMUNICATIONS INTL IN NOTE 30500%11/1 749121 BY 4 2809 2700000 PRN SOLE 2700000 SANDISK CORP NOTE 1.000% 5/1 80004C AC 5 4602 5517000 PRN SOLE 5517000 SOLUTIA INC COM NEW 834376 50 1 0 225250 SH SOLE 225250 STEEL DYNAMICS INC NOTE 5.125% 6/1 858119 AP 5 4147 3249000 PRN SOLE 3249000 SYMANTEC CORP NOTE 1.000% 6/1 871503 AF 5 4512 4000000 PRN SOLE 4000000 TRANSOCEAN INC NOTE 1.500%12/1 893830 AV 1 15617 16050000 PRN SOLE 16050000 TRANSOCEAN INC NOTE 1.625%12/1 893830 AU 3 4162 4200000 PRN SOLE 4200000 TREMISIS ENERGY ACQ CORP II *W EXP 12/05/201 89472N 11 9 0 150000 WRT SOLE 150000 TRIAN ACQUISITION I CORP *W EXP 01/23/201 89582E 11 6 0 150000 WRT SOLE 150000 ULTIMATE ESCAPES INC *W EXP 10/23/201 90385N 11 3 21 175000 WRT SOLE 175000 UNITED RENTALS INC NOTE 4.000%11/1 911363 AL 3 5957 5302000 PRN SOLE 5302000 UNITED STATES STL CORP NEW NOTE 4.000% 5/1 912909 AE 8 17391 9300000 PRN SOLE 9300000
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