-----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, ELixv2+2lSuq14Hc03f6LS+Z1WsuZcGcM7eR+9D5PANoaSONsOU5UNEFlbGqIWNV hZgpSWBUs1z1xFzZmOZaIw== 0000919574-09-003083.txt : 20090217 0000919574-09-003083.hdr.sgml : 20090216 20090213193434 ACCESSION NUMBER: 0000919574-09-003083 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090213 EFFECTIVENESS DATE: 20090217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DIALECTIC CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001411512 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12674 FILM NUMBER: 09606379 BUSINESS ADDRESS: STREET 1: 875 THIRD AVENUE, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-230-3220 MAIL ADDRESS: STREET 1: 875 THIRD AVENUE, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 d963127_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, 2008 Check here if Amendment: |_|; Amendment Number: This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Dialectic Capital Management, LLC Address: 875 Third Avenue, 15th Floor New York, New York 10022 13F File Number: 028-12647 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 Fichthorn Title: Managing Member Phone: 212-230-3220 Signature, Place and Date of Signing: /s/John Fichthorn New York, New York February 13, 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 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).) List of Other Managers Reporting for this Manager: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 177 Form 13F Information Table Value Total: $285,519 (thousands) List of Other Included Managers: 13 F file Number Name 1. 028- Dialectic Antithesis Offshore, Ltd. FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE - -------------- -------------- ----- -------- ------- --- ---- ---------- ---- ---- ------ ---- ACTIVISION BLIZZARD INC COM 00507V109 857 99,221 PRN SHARED 1 99,221 ACTIVISION BLIZZARD INC COM 00507V109 695 80,462 PRN SOLE 80,462 ADAPTEC INC COM 00651F108 195 59,115 SH SHARED 1 59,115 ADAPTEC INC COM 00651F108 465 140,885 SH SOLE 140,885 A D C TELECOMMUNICATIONS NOTE 3.500% 7/1 000886AE1 232 540,000 SH SHARED 1 540,000 A D C TELECOMMUNICATIONS NOTE 3.500% 7/1 000886AE1 1,058 2,460,000 SH SOLE 2,460,000 AIRGAS INC COM 009363102 3,113 79,845 SH SHARED 1 79,845 AIRGAS INC COM 009363102 2,745 70,395 SH SOLE 70,395 AKAMAI TECHNOLOGIES INC NOTE 1.000%12/1 00971TAE1 1,494 1,316,000 PRN SHARED 1 1,316,000 AKAMAI TECHNOLOGIES INC NOTE 1.000%12/1 00971TAE1 3,046 2,684,000 PRN SOLE 2,684,000 ALCOA INC COM 013817101 2,362 209,781 SH SHARED 1 209,781 ALCOA INC COM 013817101 2,339 207,756 SH SOLE 207,756 ALTERA CORP COM 021441100 597 35,731 SH SOLE 35,731 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 647 30,000 SH PUT SOLE 30,000 APPLE INC COM 037833100 768 9,000 SH SOLE 9,000 APPLIED MICRO CIRCUITS CORP COM NEW 03822W406 727 185,000 SH SOLE 185,000 ARCSIGHT INC COM 039666102 44 5,479 SH SHARED 1 5,479 ARCSIGHT INC COM 039666102 188 23,467 SH SOLE 23,467 ATMEL CORP COM 049513104 192 61,221 SH SHARED 1 61,221 ATMEL CORP COM 049513104 904 288,779 SH SOLE 288,779 BANCO LATINOAMERICANO DE EXP CL E P16994132 600 41,764 PRN SOLE 41,764 BLACKBOARD INC NOTE 3.250% 7/0 091935AA4 793 1,000,000 SH SOLE 1,000,000 BLUEPHOENIX SOLUTIONS LTD SHS M20157109 424 230,132 SH SHARED 1 230,132 BLUEPHOENIX SOLUTIONS LTD SHS M20157109 268 145,776 SH SOLE 145,776 BROADCOM CORP CL A 111320107 255 15,000 SH SOLE 15,000 CALIFORNIA MICRO DEVICES COR COM 130439102 1,723 926,445 SH SHARED 1 926,445 CALIFORNIA MICRO DEVICES COR COM 130439102 2,008 1,079,555 SH SOLE 1,079,555 SPDR GOLD TRUST GOLD SHS 78463V107 2,999 2,739 PRN CALL SHARED 1 2,739 SPDR GOLD TRUST GOLD SHS 78463V107 2,495 2,278 PRN CALL SOLE 2,278 CALLIDUS SOFTWARE INC COM 13123E500 622 208,074 SH SHARED 1 208,074 CALLIDUS SOFTWARE INC COM 13123E500 585 195,754 SH SOLE 195,754 CIENA CORP NOTE 0.250% 5/0 171779AB7 278 550,000 SH SHARED 1 550,000 CIENA CORP NOTE 0.250% 5/0 171779AB7 227 450,000 SH SOLE 450,000 CMS ENERGY CORP COM 125896100 732 72,389 SH SHARED 1 72,389 CMS ENERGY CORP COM 125896100 936 92,611 SH SOLE 92,611 COLGATE PALMOLIVE CO COM 194162103 2,458 35,860 SH SHARED 1 35,860 COLGATE PALMOLIVE CO COM 194162103 2,365 34,514 SH SOLE 34,514 COMCAST CORP NEW CL A SPL 20030N200 1,978 122,441 PRN SHARED 1 122,441 COMCAST CORP NEW CL A SPL 20030N200 2,060 127,559 PRN SOLE 127,559 DEUTSCHE BK AG LONDON BRH PS CR OIL DD ETN 25154K882 1,389 544,824 SH SHARED 1 544,824 DEUTSCHE BK AG LONDON BRH PS CR OIL DD ETN 25154K882 1,772 694,787 SH SOLE 694,787 ELECTRONIC ARTS INC COM 285512109 1,040 64,854 PRN SHARED 1 64,854 ELECTRONIC ARTS INC COM 285512109 659 41,081 PRN SOLE 41,081 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 267 548,000 SH SHARED 1 548,000 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 708 1,452,000 SH SOLE 1,452,000 EXFO ELECTRO OPTICAL ENGR IN SUB VTG SHS 302043104 16 5,316 SH SHARED 1 5,316 EXFO ELECTRO OPTICAL ENGR IN SUB VTG SHS 302043104 44 14,810 SH SOLE 14,810 FEI CO NOTE 2.875% 6/0 30241LAF6 418 550,000 SH SHARED 1 550,000 FEI CO NOTE 2.875% 6/0 30241LAF6 342 450,000 SH SOLE 450,000 FIFTH STREET FINANCE CORP COM 31678A103 505 66,854 SH SHARED 1 66,854 FIFTH STREET FINANCE CORP COM 31678A103 848 112,394 SH SOLE 112,394 FULL HOUSE RESORTS INC COM 359678109 368 328,326 SH SHARED 1 328,326 FULL HOUSE RESORTS INC COM 359678109 403 360,293 SH SOLE 360,293 GENERAL MLS INC COM 370334104 922 15,175 SH PUT SHARED 1 15,175 GENERAL MLS INC COM 370334104 1,287 21,186 SH PUT SOLE 21,186 GSE SYS INC COM 36227K106 1,912 324,171 SH SHARED 1 324,171 GSE SYS INC COM 36227K106 1,962 332,484 SH SOLE 332,484 GULFMARK OFFSHORE INC COM 402629109 2,330 97,953 SH SHARED 1 97,953 GULFMARK OFFSHORE INC COM 402629109 2,900 121,881 SH SOLE 121,881 IKANOS COMMUNICATIONS COM 45173E105 1,808 1,434,814 SH SHARED 1 1,434,814 IKANOS COMMUNICATIONS COM 45173E105 1,696 1,346,054 SH SOLE 1,346,054 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 586 25,000 SH SOLE 25,000 INTERSIL CORP CL A 46069S109 169 18,366 SH PUT SHARED 1 18,366 INTERSIL CORP CL A 46069S109 245 26,634 SH PUT SOLE 26,634 ISHARES TR HIGH YLD CORP 464288513 6,518 85,744 SH SHARED 1 85,744 ISHARES TR HIGH YLD CORP 464288513 5,264 69,256 SH SOLE 69,256 J CREW GROUP INC COM 46612H402 1,307 107,141 SH SHARED 1 107,141 J CREW GROUP INC COM 46612H402 1,438 117,859 SH SOLE 117,859 SMUCKER J M CO COM NEW 832696405 2,246 51,796 PRN SHARED 1 51,796 SMUCKER J M CO COM NEW 832696405 2,164 49,908 PRN SOLE 49,908 KELLOGG CO COM 487836108 1,074 24,488 SH SHARED 1 24,488 KELLOGG CO COM 487836108 1,132 25,818 SH SOLE 25,818 LAWSON SOFTWARE INC NEW NOTE 2.500% 4/1 52078PAA0 840 1,087,000 SH SHARED 1 1,087,000 LAWSON SOFTWARE INC NEW NOTE 2.500% 4/1 52078PAA0 3,795 4,913,000 SH SOLE 4,913,000 LEADIS TECHNOLOGY INC COM 52171N103 480 1,456,079 SH SHARED 1 1,456,079 LEADIS TECHNOLOGY INC COM 52171N103 516 1,562,984 SH SOLE 1,562,984 LG DISPLAY CO LTD SPONS ADR REP 50186V102 401 48,398 SH SHARED 1 48,398 LG DISPLAY CO LTD SPONS ADR REP 50186V102 552 66,726 SH SOLE 66,726 LIMELIGHT NETWORKS INC COM 53261M104 15 6,049 SH SHARED 1 6,049 LIMELIGHT NETWORKS INC COM 53261M104 515 210,176 SH SOLE 210,176 LINEAR TECHNOLOGY CORP COM 535678106 664 30,000 SH SOLE 30,000 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 109 16,358 PRN SHARED 1 16,358 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 413 61,884 PRN SOLE 61,884 MCDONALDS CORP COM 580135101 1,028 16,529 SH SHARED 1 16,529 MCDONALDS CORP COM 580135101 1,361 21,887 SH SOLE 21,887 MCCORMICK & CO INC COM NON VTG 579780206 2,342 73,503 SH SHARED 1 73,503 MCCORMICK & CO INC COM NON VTG 579780206 2,120 66,537 SH SOLE 66,537 MELCO CROWN ENTMT LTD ADR 585464100 676 213,403 PRN SHARED 1 213,403 MELCO CROWN ENTMT LTD ADR 585464100 429 135,178 PRN SOLE 135,178 MICRON TECHNOLOGY INC NOTE 1.875% 6/0 595112AH6 612 1,643,900 SH SHARED 1 1,643,900 MICRON TECHNOLOGY INC NOTE 1.875% 6/0 595112AH6 504 1,356,100 SH SOLE 1,356,100 MONSANTO CO NEW COM 61166W101 1,941 27,589 SH SHARED 1 27,589 MONSANTO CO NEW COM 61166W101 1,756 24,956 SH SOLE 24,956 NETAPP INC COM 64110D104 381 27,264 SH SHARED 1 27,264 NETAPP INC COM 64110D104 1,289 92,270 SH SOLE 92,270 NEWPORT CORP NOTE 2.500% 2/1 651824AB0 462 790,000 PRN SHARED 1 790,000 NEWPORT CORP NOTE 2.500% 2/1 651824AB0 380 650,000 PRN SOLE 650,000 NEWS CORP CL A 65248E104 495 54,447 SH SHARED 1 54,447 NEWS CORP CL A 65248E104 313 34,489 SH SOLE 34,489 NICHOLAS-APPLEGATE CV & INC COM 65370F101 812 175,000 SH SOLE 175,000 OLIN CORP COM PAR $1 680665205 1,383 76,525 PRN SHARED 1 76,525 OLIN CORP COM PAR $1 680665205 1,715 94,852 PRN SOLE 94,852 ON SEMICONDUCTOR CORP NOTE 4/1 682189AE5 914 1,096,000 SH SHARED 1 1,096,000 ON SEMICONDUCTOR CORP NOTE 4/1 682189AE5 754 904,000 SH SOLE 904,000 ORACLE CORP COM 68389X105 355 20,000 SH SOLE 20,000 OWENS ILL INC COM NEW 690768403 3,682 134,742 SH SHARED 1 134,742 OWENS ILL INC COM NEW 690768403 3,150 115,258 SH SOLE 115,258 PACTIV CORP COM 695257105 2,330 93,665 SH SHARED 1 93,665 PACTIV CORP COM 695257105 1,742 69,996 SH SOLE 69,996 PATNI COMPUTER SYS SPONS ADR 703248203 1,178 200,000 SH SOLE 200,000 PATRIOT TRANSN HLDG INC COM 70337B102 774 11,049 SH SHARED 1 11,049 PATRIOT TRANSN HLDG INC COM 70337B102 1,076 15,351 SH SOLE 15,351 PENN NATL GAMING INC COM 707569109 3,932 183,912 SH SHARED 1 183,912 PENN NATL GAMING INC COM 707569109 4,086 191,088 SH SOLE 191,088 PERVASIVE SOFTWARE INC COM 715710109 2,126 502,534 SH SHARED 1 502,534 PERVASIVE SOFTWARE INC COM 715710109 2,547 602,133 SH SOLE 602,133 PHILIP MORRIS INTL INC COM 718172109 2,999 68,932 SH SHARED 1 68,932 PHILIP MORRIS INTL INC COM 718172109 2,622 60,263 SH SOLE 60,263 PMC-SIERRA INC NOTE 2.250%10/1 69344FAD8 2,494 2,750,000 SH SHARED 1 2,750,000 PMC-SIERRA INC NOTE 2.250%10/1 69344FAD8 2,040 2,250,000 SH SOLE 2,250,000 PPG INDS INC COM 693506107 1,605 37,824 SH SHARED 1 37,824 PPG INDS INC COM 693506107 1,410 33,227 SH SOLE 33,227 PROCTER & GAMBLE CO COM 742718109 2,907 47,032 SH SHARED 1 47,032 PROCTER & GAMBLE CO COM 742718109 2,574 41,636 SH SOLE 41,636 PROSHARES TR PSHS ULTSH 20YRS 74347R297 9,005 238,664 SH SHARED 1 238,664 PROSHARES TR PSHS ULTSH 20YRS 74347R297 8,234 218,236 SH SOLE 218,236 QUANTUM CORP COM DSSG 747906204 1,080 3,000,136 SH SHARED 1 3,000,136 QUANTUM CORP COM DSSG 747906204 1,134 3,149,864 SH SOLE 3,149,864 QUEST SOFTWARE INC COM 74834T103 509 40,393 SH SHARED 1 40,393 QUEST SOFTWARE INC COM 74834T103 1,313 104,315 SH SOLE 104,315 QWEST COMMUNICATIONS INTL IN COM 749121109 1,208 331,794 SH SHARED 1 331,794 QWEST COMMUNICATIONS INTL IN COM 749121109 933 256,433 SH SOLE 256,433 REALNETWORKS INC COM 75605L104 101 28,636 SH CALL SOLE 28,636 REGAL ENTMT GROUP CL A 758766109 4,713 461,609 SH SHARED 1 461,609 REGAL ENTMT GROUP CL A 758766109 5,027 492,397 SH SOLE 492,397 RENESOLA LTD SPONS ADS 75971T103 331 75,019 SH SHARED 1 75,019 RENESOLA LTD SPONS ADS 75971T103 209 47,520 SH SOLE 47,520 REPUBLIC AWYS HLDGS INC COM 760276105 2,203 206,410 SH SHARED 1 206,410 REPUBLIC AWYS HLDGS INC COM 760276105 2,350 220,258 SH SOLE 220,258 RESEARCH IN MOTION LTD COM 760975102 487 12,004 SH SOLE 12,004 RIVERBED TECHNOLOGY INC COM 768573107 187 16,437 SH SHARED 1 16,437 RIVERBED TECHNOLOGY INC COM 768573107 383 33,563 SH SOLE 33,563 SABA SOFTWARE INC COM NEW 784932600 329 212,126 SH SHARED 1 212,126 SABA SOFTWARE INC COM NEW 784932600 669 431,790 SH SOLE 431,790 SAFEWAY INC COM NEW 786514208 2,222 93,505 SH SHARED 1 93,505 SAFEWAY INC COM NEW 786514208 2,143 90,148 SH SOLE 90,148 SAPIENT CORP COM 803062108 888 200,000 SH SOLE 200,000 SEMICONDUCTOR HLDRS TR DEP RCPT 816636203 483 27,395 SH SHARED 1 27,395 SEMICONDUCTOR HLDRS TR DEP RCPT 816636203 398 22,605 SH SOLE 22,605 SMITH & WESSON HLDG CORP COM 831756101 375 165,119 SH SHARED 1 165,119 SMITH & WESSON HLDG CORP COM 831756101 237 104,593 SH SOLE 104,593 SMITHFIELD FOODS INC COM 832248108 775 55,098 SH SHARED 1 55,098 SMITHFIELD FOODS INC COM 832248108 801 56,902 SH SOLE 56,902 SONOCO PRODS CO COM 835495102 2,818 121,681 SH SHARED 1 121,681 SONOCO PRODS CO COM 835495102 1,785 77,077 SH SOLE 77,077 SPDR GOLD TRUST GOLD SHS 78463V107 19,308 223,167 SH SHARED 1 223,167 SPDR GOLD TRUST GOLD SHS 78463V107 16,719 193,232 SH SOLE 193,232 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 1,247 61,240 SH SHARED 1 61,240 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 1,400 68,760 SH SOLE 68,760 SRS LABS INC COM 78464M106 3,089 647,593 PRN SHARED 1 647,593 SRS LABS INC COM 78464M106 3,292 690,218 PRN SOLE 690,218 SPDR TR UNIT SER 1 78462F103 2,763 30,620 SH SHARED 1 30,620 SPDR TR UNIT SER 1 78462F103 1,749 19,380 SH SOLE 19,380 STEC INC COM 784774101 141 33,192 SH SHARED 1 33,192 STEC INC COM 784774101 1,173 275,208 SH SOLE 275,208 SUNPOWER CORP DBCV 0.750% 8/0 867652AB5 2,431 3,147,000 SH SHARED 1 3,147,000 SUNPOWER CORP DBCV 0.750% 8/0 867652AB5 2,766 3,581,000 SH SOLE 3,581,000 TCW STRATEGIC INCOME FUND IN COM 872340104 460 150,000 SH SOLE 150,000 TELLABS INC COM 879664100 1,930 468,370 SH SHARED 1 468,370 TELLABS INC COM 879664100 2,338 567,618 SH SOLE 567,618 TEXAS INSTRS INC COM 882508104 562 36,194 SH PUT SHARED 1 36,194 TEXAS INSTRS INC COM 882508104 788 50,792 SH PUT SOLE 50,792 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 343 27,395 SH SHARED 1 27,395 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 311 24,835 SH SOLE 24,835 THQ INC COM 872443403 625 149,158 SH SOLE 149,158 TRIDENT MICROSYSTEMS INC COM 895919108 579 306,100 SH SHARED 1 306,100 TRIDENT MICROSYSTEMS INC COM 895919108 366 193,900 SH SOLE 193,900
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