-----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, FxDPibRCayeYsKIu1h/Ln8BFSEKdivEMmtqHfVHB585lAXNoW+VnJCc+9US7j+tg 1wqICVKagh97FHqQHiQyzA== 0000929638-09-000854.txt : 20090515 0000929638-09-000854.hdr.sgml : 20090515 20090515091609 ACCESSION NUMBER: 0000929638-09-000854 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 EFFECTIVENESS DATE: 20090515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ionic Capital Management LLC CENTRAL INDEX KEY: 0001386462 IRS NUMBER: 680629832 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12913 FILM NUMBER: 09829132 BUSINESS ADDRESS: STREET 1: 366 MADISON AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-294-8505 MAIL ADDRESS: STREET 1: 366 MADISON AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 ionic13f_052009.txt 13F REPORT FOR PERIOD ENDING 3/31/2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 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: Ionic Capital Management LLC Address: 366 Madison Avenue, 9th Floor New York, NY 10017 Form 13F File Number: 028-12913 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: John C. Richardson Title: General Counsel Phone: 212-294-8505 Signature, Place, and Date of Signing: /s/ John C. Richardson New York, NY May 15, 2009 [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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 140 Form 13F Information Table Value Total: 1,145,710 (x$1000) 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. No.: Form 13F File Number: Name: 1 028-12955 Ionic Capital Partners LP FORM 13F INFORMATION TABLE NAME OF REPORTING MANAGER: IONIC CAPITAL MANAGEMENT LLC As of 3/31/09
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Shares or Name of Title of CUSIP Value Principal SH/ PUT/ Investment Other Voting Issuer Class Number (x$1000) Amount PRN CALL Discretion Managers Authority Sole Shared None Advanced Micro Devices COM 007903107 610 200,000 PUT DEFINED 1 200,000 Advanced Micro Devices COM 007903107 610 200,000 SH DEFINED 1 200,000 Advanced Micro Devices NOTE 6.000% 5/ 007903AL1 1,901 5,000,000 PRN DEFINED 1 5,000,000 American International Group COM 026874107 135 135,300 CALL DEFINED 1 135,300 Apollo Group Inc CL A 037604105 19,395 247,600 CALL DEFINED 1 247,600 Apollo Group Inc CL A 037604105 3,517 44,900 PUT DEFINED 1 44,900 Apple Inc COM 037833100 17,870 170,000 CALL DEFINED 1 170,000 ArvinMeritor Inc COM 043353101 397 502,100 SH DEFINED 1 502,100 ArvinMeritor Inc NOTE 4.625% 3/ 043353AF8 4,100 18,635,000 PRN DEFINED 1 18,635,000 Avery Dennison Corporation COM 053611109 2,701 120,900 CALL DEFINED 1 120,900 Avon Products Inc COM 054303102 3,038 158,000 CALL DEFINED 1 158,000 Bank of America COM 060505104 2,062 302,400 CALL DEFINED 1 302,400 Banro Corporation *W EXP 09/17/20 066800111 70 140,000 CALL DEFINED 1 140,000 Boeing Company COM 097023105 25,251 709,700 CALL DEFINED 1 709,700 Boeing Company COM 097023105 4,800 134,900 PUT DEFINED 1 134,900 Boise Inc *W EXP 06/18/20 09746Y113 30 1,516,993 SH DEFINED 1 1,516,993 Boise Inc COM 09746Y105 20 33,157 SH DEFINED 1 33,157 Boston Properties Inc NOTE 3.750% 5/ 10112RAG9 5,773 7,500,000 PRN DEFINED 1 7,500,000 Bristow Group Inc PFD CNV 5.50% 110394400 9,594 309,400 PRN DEFINED 1 309,400 Brocade Communications System COM NEW 111621306 3,560 1,032,000 CALL DEFINED 1 1,032,000 Buffalo Wild Wings Inc COM 119848109 8,432 230,500 CALL DEFINED 1 230,500 Bunge Limited COM G16962105 4,254 75,100 CALL DEFINED 1 75,100 C.H. Robinson Worldwide Inc COM NEW 12541W209 30,924 678,000 CALL DEFINED 1 678,000 Carter's Inc COM 146229109 585 31,100 PUT DEFINED 1 31,100 CBS Corp CL B 124857202 3,963 1,032,000 SH DEFINED 1 1,032,000 Centex Corp COM 152312104 5,330 710,600 SH DEFINED 1 710,600 Central Europe Distribution C COM 153435102 22 2,000 PUT DEFINED 1 2,000 Central Europe Distribution C COM 153435102 6 556 SH DEFINED 1 556 Central Europe Distribution C NOTE 3.000% 3/ 153435AA0 4,302 10,970,000 PRN DEFINED 1 10,970,000 Cheniere Energy Inc COM NEW 16411R208 533 125,000 CALL DEFINED 1 125,000 China Holdings Acquisition Co *W EXP 11/16/20 16942N114 15 378,800 SH DEFINED 1 378,800 China Life Insurance Co SPON ADR REP H 16939P106 14,885 302,300 CALL DEFINED 1 302,300 China Life Insurance Co SPON ADR REP H 16939P106 9,804 199,100 PUT DEFINED 1 199,100 China Sunergy Company SPON ADR 16942X104 198 65,000 SH DEFINED 1 65,000 Cia Vale do Rio Doce -ADR SPONSORED ADR 204412209 7,288 548,000 CALL DEFINED 1 548,000 Citigroup Inc COM 172967101 932 368,200 CALL DEFINED 1 368,200 Coca-Cola Company COM 191216100 17,580 400,000 CALL DEFINED 1 400,000 Comcast Corporation - Special CL A SPL 20030N200 4,504 350,000 CALL DEFINED 1 350,000 Deutsche Telekom AG SPONSORED ADR 251566105 1,853 150,000 SH DEFINED 1 150,000 Developers Diversified Realty NOTE 3.000% 3/ 251591AS2 14,949 31,000,000 PRN DEFINED 1 31,000,000 Direxion Energy Bull 3X COM 25459W888 693 30,300 CALL DEFINED 1 30,300 Direxion Energy Bull 3X COM 25459W888 2,309 101,000 PUT DEFINED 1 101,000 Direxion Financial Bull 3X FINL BULL 3X 25459W508 4,060 738,100 CALL DEFINED 1 738,100 Direxion SHS ETF TR COM 25459W870 264 7,000 CALL DEFINED 1 7,000 Direxion SHS ETF TR COM 25459W870 1,410 37,400 PUT DEFINED 1 37,400 Direxion SHS ETF TR COM 25459W870 189 5,000 SH DEFINED 1 5,000 Direxion Small Cap Bull 3X SM CAP BULL 3X 25459W847 868 50,000 CALL DEFINED 1 50,000 Dollar Tree Inc COM 256746108 17,820 400,000 CALL DEFINED 1 400,000 DR Horton Inc COM 23331A109 2,601 268,187 SH DEFINED 1 268,187 DryShips Inc COM Y2109Q101 5,691 1,118,000 CALL DEFINED 1 1,118,000 eBay Inc. COM 278642103 15,700 1,250,000 CALL DEFINED 1 1,250,000 Exxon Mobil Corp COM 30231G102 22,745 334,000 CALL DEFINED 1 334,000 Financial Select Sector SPDR SBI INT-FINL 81369Y605 8,810 1,000,000 CALL DEFINED 1 1,000,000 FXI Ishares FTSE XNHUA IDX 464287184 884 31,000 CALL DEFINED 1 31,000 Global Logistics Acquisition *W EXP 02/15/20 18145M117 2 215,300 SH DEFINED 1 215,300 Goldcorp, Inc. *W EXP 06/09/20 380956177 2,931 271,300 SH DEFINED 1 271,300 Goldman Sachs Group Inc COM 38141G104 26,897 253,700 CALL DEFINED 1 253,700 Google Inc CL A 38259P508 22,519 64,700 CALL DEFINED 1 64,700 Halliburton Company COM 406216101 3,094 200,000 CALL DEFINED 1 200,000 Hansen Natural Corporation COM 411310105 9,482 263,400 CALL DEFINED 1 263,400 Hansen Natural Corporation COM 411310105 1,271 35,300 PUT DEFINED 1 35,300 Health Care REIT Inc NOTE 4.750% 7/ 42217KAQ9 29,834 34,000,000 PRN DEFINED 1 34,000,000 Hecla Mining Company COM 422704106 371 185,500 PUT DEFINED 1 185,500 Home Depot COM 437076102 8,246 350,000 CALL DEFINED 1 350,000 Industrial Select SPDR COM 81369Y704 18,430 1,000,000 CALL DEFINED 1 1,000,000 Information Services Group In *W EXP 01/31/20 45675Y112 41 684,077 SH DEFINED 1 684,077 Iron Mountain Inc COM 462846106 8,026 362,000 CALL DEFINED 1 362,000 Iron Mountain Inc COM 462846106 60,087 2,710,300 PUT DEFINED 1 2,710,300 Iron Mountain Inc COM 462846106 11,839 534,000 SH DEFINED 1 534,000 iShares MSCI Emerging Markets MSCI EMERG MKT 464287234 21,275 857,500 CALL DEFINED 1 857,500 iStar Financial Inc FRNT 10/ 45031UBF7 2,118 7,000,000 PRN DEFINED 1 7,000,000 JetBlue Airways Corp COM 477143101 1,643 450,000 CALL DEFINED 1 450,000 JPMorgan Chase & Co COM 46625H100 13,290 500,000 CALL DEFINED 1 500,000 Juniper Networks Inc COM 48203R104 10,118 672,300 CALL DEFINED 1 672,300 KB HOME COM 48666K109 1,580 119,900 SH DEFINED 1 119,900 Kinross Gold Corp COM NO PAR 496902404 348 19,500 SH DEFINED 1 19,500 Legg Mason Inc. COM 524901105 1,040 65,425 SH DEFINED 1 65,425 Marten Transport Ltd COM 573075108 2,765 148,000 CALL DEFINED 1 148,000 Medtronic Inc NOTE 1.500% 4/ 585055AL0 19 20,000 PRN DEFINED 1 20,000 Medtronic Inc NOTE 1.625% 4/ 585055AM8 49,449 55,390,000 PRN DEFINED 1 55,390,000 Millennium India Acquisition *W EXP 07/19/20 60039Q119 9 308,575 SH DEFINED 1 308,575 Millennium India Acquisition COM 60039Q101 343 394,805 SH DEFINED 1 394,805 Monsanto Co COM 61166W101 33,240 400,000 CALL DEFINED 1 400,000 Morgan Stanley NY Quality Mun COM 61745P528 7,504 700,000 CALL DEFINED 1 700,000 Mylan Laboratories Inc COM 628530107 13,398 999,100 PUT DEFINED 1 999,100 National Retail Properties In NOTE 3.950% 9/ 637417AA4 4,307 5,000,000 PRN DEFINED 1 5,000,000 Netapp, Inc COM 64110D104 3,710 250,000 CALL DEFINED 1 250,000 Novamed Inc NOTE 1.000% 6/ 66986WAA6 863 2,000,000 PRN DEFINED 1 2,000,000 Novamerican Steel Inc *W EXP 03/07/20 069744118 22 370,508 SH DEFINED 1 370,508 Panera Bread Company - CL A CL A 69840W108 30,315 542,300 CALL DEFINED 1 542,300 Panera Bread Company - CL A CL A 69840W108 21,225 379,700 PUT DEFINED 1 379,700 Pioneer Natural Resources Com NOTE 2.875% 1/ 723787AH0 7,889 10,680,000 PRN DEFINED 1 10,680,000 PMI Group Inc COM 69344M101 1,069 1,723,810 SH DEFINED 1 1,723,810 Priceline.com Inc COM 741503403 21,412 271,800 CALL DEFINED 1 271,800 Procter & Gamble Co. COM 742718109 23,545 500,000 CALL DEFINED 1 500,000 ProLogis NOTE 1.875%11/ 743410AR3 15,887 31,000,000 PRN DEFINED 1 31,000,000 Proshares Ultra Basic Materia PSHS ULT BASMAT 74347R776 7,188 600,000 CALL DEFINED 1 600,000 Pulte Homes Inc COM 745867101 4,109 375,946 SH DEFINED 1 375,946 Qwest Communications Internat COM 749121109 5,038 1,473,100 SH DEFINED 1 1,473,100 RadiSys Corporation COM 750459109 1,661 274,152 SH DEFINED 1 274,152 Raytheon Company *W EXP 06/16/20 755111119 1,726 263,523 SH DEFINED 1 263,523 Seanergy Maritime Corporation *W EXP 09/24/20 Y73760111 30 296,798 SH DEFINED 1 296,798 Seanergy Maritime Corporation COM Y73760103 86 22,500 SH DEFINED 1 22,500 Shanda Interactive Entertainm SPONSORED ADR 81941Q203 3,234 81,800 CALL DEFINED 1 81,800 Sinclair Broadcast Group Inc NOTE 3.000% 5/ 829226AW9 4,447 8,000,000 PRN DEFINED 1 8,000,000 Sohu.com Inc COM 83408W103 682 16,500 CALL DEFINED 1 16,500 Solarfun Power Holdings Compa SPONSORED ADR 83415U108 486 115,900 PUT DEFINED 1 115,900 Solarfun Power Holdings Compa SPONSORED ADR 83415U108 12 2,876 SH DEFINED 1 2,876 Starent Networks Corp COM 85528P108 7,976 504,800 CALL DEFINED 1 504,800 Strayer Education, Inc COM 863236105 12,375 68,800 CALL DEFINED 1 68,800 Strayer Education, Inc COM 863236105 8,958 49,800 PUT DEFINED 1 49,800 Summer Infant Inc *W EXP 04/20/20 865646111 1 80,671 SH DEFINED 1 80,671 Suntech Power holdings Co ADR 86800C104 4,913 420,300 PUT DEFINED 1 420,300 Suntech Power holdings Co NOTE 3.000% 3/ 86800CAE4 244 500,000 PRN DEFINED 1 500,000 Target Corporation COM 87612E106 27,784 807,900 PUT DEFINED 1 807,900 Target Corporation COM 87612E106 984 28,600 SH DEFINED 1 28,600 Textron Incorporated COM 883203101 455 79,336 SH DEFINED 1 79,336 TM Entertainment and Media In *W EXP 10/17/20 87260T116 13 421,700 SH DEFINED 1 421,700 Transocean Inc NOTE 1.500%12/ 893830AW9 54,486 65,000,000 PRN DEFINED 1 65,000,000 Trina Solar Limited NOTE 4.000% 7/ 89628EAA2 5,319 12,000,000 PRN DEFINED 1 12,000,000 Trina Solar Limited SPON ADR 89628E104 2,297 220,400 PUT DEFINED 1 220,400 Trina Solar Limited SPON ADR 89628E104 2,648 254,087 SH DEFINED 1 254,087 Tyson Foods Inc - CL A NOTE 3.250%10/ 902494AP8 15,160 17,000,000 PRN DEFINED 1 17,000,000 UDR Inc NOTE 3.625% 9/ 910197AM4 70 84,000 PRN DEFINED 1 84,000 United Refining Energy Corpor *W EXP 12/11/20 911360113 49 611,799 SH DEFINED 1 611,799 UnitedHealth Group Incorporat COM 91324P102 8,724 416,800 CALL DEFINED 1 416,800 Unum Group COM 91529Y106 8,750 700,000 CALL DEFINED 1 700,000 Urban Outfitters Inc. COM 917047102 282 17,200 CALL DEFINED 1 17,200 Valero Energy Corporation COM 91913Y100 4,797 268,000 SH DEFINED 1 268,000 Verizon Communications Inc COM 92343V104 5,436 180,000 CALL DEFINED 1 180,000 Visa Inc. COM CL A 92826C839 24,536 441,300 CALL DEFINED 1 441,300 Visa Inc. COM CL A 92826C839 27,800 500,000 PUT DEFINED 1 500,000 Visa Inc. COM CL A 92826C839 14,042 252,560 SH DEFINED 1 252,560 Vornado Realty Trust DBCV 2.850% 4/ 929042AC3 20,881 27,500,000 PRN DEFINED 1 27,500,000 Vornado Realty Trust DBCV 3.625%11/ 929043AE7 3,159 4,000,000 PRN DEFINED 1 4,000,000 Weingarten Realty Investors NOTE 3.950% 8/ 948741AF0 16,234 21,800,000 PRN DEFINED 1 21,800,000 Wells Fargo & Co COM 949746101 14,240 1,000,000 CALL DEFINED 1 1,000,000 Wells Fargo & Co COM 949746101 1,068 75,000 PUT DEFINED 1 75,000 Wendy's International Inc COM 950587105 3,999 795,048 SH DEFINED 1 795,048 Yahoo! Inc COM 984332106 8,043 627,900 CALL DEFINED 1 627,900
-----END PRIVACY-ENHANCED MESSAGE-----