0000919574-15-004200.txt : 20150515 0000919574-15-004200.hdr.sgml : 20150515 20150515093144 ACCESSION NUMBER: 0000919574-15-004200 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150515 DATE AS OF CHANGE: 20150515 EFFECTIVENESS DATE: 20150515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DIALECTIC CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001411512 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12674 FILM NUMBER: 15865934 BUSINESS ADDRESS: STREET 1: 17 STATE STREET STREET 2: SUITE 3930 CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212-230-3220 MAIL ADDRESS: STREET 1: 17 STATE STREET STREET 2: SUITE 3930 CITY: NEW YORK STATE: NY ZIP: 10004 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001411512 XXXXXXXX 03-31-2015 03-31-2015 false DIALECTIC CAPITAL MANAGEMENT, LLC

17 State Street Suite 3930 New York NY 10004

13F HOLDINGS REPORT 028-12674 N John Fichthorn 212-230-3220 /s/ John Fichthorn New York NY 05-15-2015 1 418 575126 1 0001268057 028-14791 Dialectic Offshore, Ltd. 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70806A106 421 30000 SH DFND 1 30000 0 0 PENNANTPARK INVT CORP COM 708062104 679 75000 SH SOLE 75000 0 0 PENNANTPARK INVT CORP COM 708062104 1177 130000 SH DFND 1 130000 0 0 PHARMACYCLICS INC COM 716933106 3788 14800 SH Put SOLE 14800 0 0 PHARMACYCLICS INC COM 716933106 3890 15200 SH Put DFND 1 15200 0 0 PIONEER NAT RES CO COM 723787107 2436 14900 SH Call SOLE 14900 0 0 PIONEER NAT RES CO COM 723787107 1651 10100 SH Call DFND 1 10100 0 0 PLUG POWER INC COM NEW 72919P202 129 49900 SH Put SOLE 49900 0 0 PLUG POWER INC COM NEW 72919P202 130 50100 SH Put DFND 1 50100 0 0 POTASH CORP SASK INC COM 73755L107 404 12539 SH SOLE 12539 0 0 POTASH CORP SASK INC COM 73755L107 1151 35700 SH Call SOLE 35700 0 0 POTASH CORP SASK INC COM 73755L107 1055 32717 SH DFND 1 32717 0 0 POTASH CORP SASK INC COM 73755L107 784 24300 SH Call DFND 1 24300 0 0 PROLOGIS INC COM 74340W103 1612 37008 SH SOLE 37008 0 0 PROLOGIS INC COM 74340W103 1117 25645 SH DFND 1 25645 0 0 PUMA BIOTECHNOLOGY INC COM 74587V107 897 3800 SH Put SOLE 3800 0 0 PUMA BIOTECHNOLOGY INC COM 74587V107 874 3700 SH Put DFND 1 3700 0 0 QLOGIC CORP COM 747277101 478 32462 SH SOLE 32462 0 0 QLOGIC CORP COM 747277101 1416 96045 SH DFND 1 96045 0 0 QUANTUM CORP COM DSSG 747906204 209 130542 SH SOLE 130542 0 0 QUANTUM CORP COM DSSG 747906204 799 499406 SH DFND 1 499406 0 0 REALNETWORKS INC COM NEW 75605L708 287 42667 SH SOLE 42667 0 0 REALNETWORKS INC COM NEW 75605L708 852 126605 SH DFND 1 126605 0 0 RESOURCE AMERICA INC CL A 761195205 860 94500 SH SOLE 94500 0 0 RESOURCE AMERICA INC CL A 761195205 1274 140000 SH DFND 1 140000 0 0 RESOURCE CAP CORP COM 76120W302 917 202000 SH SOLE 202000 0 0 RESOURCE CAP CORP COM 76120W302 1703 375000 SH DFND 1 375000 0 0 REXFORD INDL RLTY INC COM 76169C100 350 22110 SH SOLE 22110 0 0 REXFORD INDL RLTY INC COM 76169C100 937 59236 SH DFND 1 59236 0 0 REYNOLDS AMERICAN INC COM 761713106 136 1971 SH SOLE 1971 0 0 REYNOLDS AMERICAN INC COM 761713106 193 2800 SH Call SOLE 2800 0 0 REYNOLDS AMERICAN INC COM 761713106 353 5119 SH DFND 1 5119 0 0 REYNOLDS AMERICAN INC COM 761713106 496 7200 SH Call DFND 1 7200 0 0 RIVERBED TECHNOLOGY INC COM 768573107 1211 57913 SH SOLE 57913 0 0 RIVERBED TECHNOLOGY INC COM 768573107 1440 68867 SH DFND 1 68867 0 0 ROCK-TENN CO CL A 772739207 2664 41300 SH Call SOLE 41300 0 0 ROCK-TENN CO CL A 772739207 1851 28700 SH Call DFND 1 28700 0 0 ROCKWELL COLLINS INC COM 774341101 369 3820 SH SOLE 3820 0 0 ROCKWELL COLLINS INC COM 774341101 958 9926 SH DFND 1 9926 0 0 SALESFORCE COM INC COM 79466L302 168 2520 SH SOLE 2520 0 0 SALESFORCE COM INC COM 79466L302 626 9377 SH DFND 1 9377 0 0 SARATOGA INVT CORP COM NEW 80349A208 740 46700 SH SOLE 46700 0 0 SARATOGA INVT CORP COM NEW 80349A208 1635 103166 SH DFND 1 103166 0 0 SBA COMMUNICATIONS CORP COM 78388J106 2488 21247 SH SOLE 21247 0 0 SBA COMMUNICATIONS CORP COM 78388J106 2396 20458 SH DFND 1 20458 0 0 SEATTLE GENETICS INC COM 812578102 442 12500 SH Put SOLE 12500 0 0 SEATTLE GENETICS INC COM 812578102 442 12500 SH Put DFND 1 12500 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 4632 59700 SH Call SOLE 59700 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 3126 40300 SH Call DFND 1 40300 0 0 SIMON PPTY GROUP INC NEW COM 828806109 148 756 SH SOLE 756 0 0 SIMON PPTY GROUP INC NEW COM 828806109 386 1973 SH DFND 1 1973 0 0 SOLAR CAP LTD COM 83413U100 992 49000 SH SOLE 49000 0 0 SOLAR CAP LTD COM 83413U100 2226 110000 SH DFND 1 110000 0 0 SOLAR SR CAP LTD COM 83416M105 309 19200 SH SOLE 19200 0 0 SOLAR SR CAP LTD COM 83416M105 757 47000 SH DFND 1 47000 0 0 SOLARWINDS INC COM 83416B109 200 3902 SH SOLE 3902 0 0 SOLARWINDS INC COM 83416B109 744 14516 SH DFND 1 14516 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 5183 45600 SH Call SOLE 45600 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 5376 47300 SH Call DFND 1 47300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 32141 155700 SH Call SOLE 155700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 21861 105900 SH Put SOLE 105900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 30923 149800 SH Call DFND 1 149800 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 15916 77100 SH Put DFND 1 77100 0 0 STERLING BANCORP DEL COM 85917A100 127 9500 SH SOLE 9500 0 0 STERLING BANCORP DEL COM 85917A100 282 21000 SH DFND 1 21000 0 0 STRATASYS LTD SHS M85548101 892 16900 SH Put SOLE 16900 0 0 STRATASYS LTD SHS M85548101 1562 29600 SH Put DFND 1 29600 0 0 TESLA MTRS INC COM 88160R101 4700 24900 SH Put SOLE 24900 0 0 TESLA MTRS INC COM 88160R101 4738 25100 SH Put DFND 1 25100 0 0 THL CR INC COM 872438106 860 70000 SH SOLE 70000 0 0 THL CR INC COM 872438106 1598 130000 SH DFND 1 130000 0 0 TIME INC NEW COM 887228104 268 11928 SH SOLE 11928 0 0 TIME INC NEW COM 887228104 312 13900 SH Call SOLE 13900 0 0 TIME INC NEW COM 887228104 695 30953 SH DFND 1 30953 0 0 TIME INC NEW COM 887228104 810 36100 SH Call DFND 1 36100 0 0 TIME WARNER INC COM NEW 887317303 565 6697 SH SOLE 6697 0 0 TIME WARNER INC COM NEW 887317303 1525 18060 SH DFND 1 18060 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 783 46139 SH SOLE 46139 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 1419 83550 SH DFND 1 83550 0 0 TRIPLEPOINT VENTR GRW BDC CO COM 89677Y100 988 70000 SH SOLE 70000 0 0 TRIPLEPOINT VENTR GRW BDC CO COM 89677Y100 1764 125000 SH DFND 1 125000 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 355 22200 SH Call SOLE 22200 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 925 57800 SH Call DFND 1 57800 0 0 TWO HBRS INVT CORP COM 90187B101 202 19000 SH SOLE 19000 0 0 TWO HBRS INVT CORP COM 90187B101 478 45000 SH DFND 1 45000 0 0 TYSON FOODS INC CL A 902494103 2275 59400 SH Put SOLE 59400 0 0 TYSON FOODS INC CL A 902494103 1555 40600 SH Put DFND 1 40600 0 0 VIACOM INC NEW CL B 92553P201 1509 22087 SH SOLE 22087 0 0 VIACOM INC NEW CL B 92553P201 1873 27427 SH DFND 1 27427 0 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 913 31000 SH Put SOLE 31000 0 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 824 28000 SH Put DFND 1 28000 0 0 VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 92857W308 1621 49600 SH Call SOLE 49600 0 0 VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 92857W308 1974 60400 SH Call DFND 1 60400 0 0 VONAGE HLDGS CORP COM 92886T201 745 151698 SH SOLE 151698 0 0 VONAGE HLDGS CORP COM 92886T201 1136 231421 SH DFND 1 231421 0 0 VOXELJET AG ADS 92912L107 458 57900 SH Put SOLE 57900 0 0 VOXELJET AG ADS 92912L107 468 59200 SH Put DFND 1 59200 0 0 WESTERN DIGITAL CORP COM 958102105 2266 24900 SH Put SOLE 24900 0 0 WESTERN DIGITAL CORP COM 958102105 2284 25100 SH Put DFND 1 25100 0 0 WHITEWAVE FOODS CO COM 966244105 277 6240 SH SOLE 6240 0 0 WHITEWAVE FOODS CO COM 966244105 1840 41500 SH Call SOLE 41500 0 0 WHITEWAVE FOODS CO COM 966244105 718 16183 SH DFND 1 16183 0 0 WHITEWAVE FOODS CO COM 966244105 1707 38500 SH Call DFND 1 38500 0 0 WIDEPOINT CORP COM 967590100 384 291255 SH SOLE 291255 0 0 WIDEPOINT CORP COM 967590100 973 736792 SH DFND 1 736792 0 0 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 130 70059 SH SOLE 70059 0 0 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 131 70804 SH DFND 1 70804 0 0 ZILLOW GROUP INC CL A 98954M101 3300 32900 SH Put SOLE 32900 0 0 ZILLOW GROUP INC CL A 98954M101 3290 32800 SH Put DFND 1 32800 0 0 ZYNGA INC CL A 98986T108 88 31045 SH SOLE 31045 0 0 ZYNGA INC CL A 98986T108 347 121723 SH DFND 1 121723 0 0