-----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, L/DH+XdQGEHW9H5NiZKqZvcAZxU1WRGRc24VmgLcKGNFp5Td79vftosxi3G7PIm5 F1a+GJLctloGZgGS4ZKWFg== 0000897423-09-000298.txt : 20091112 0000897423-09-000298.hdr.sgml : 20091111 20091112140924 ACCESSION NUMBER: 0000897423-09-000298 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BBT Capital Management, Inc. CENTRAL INDEX KEY: 0001423900 IRS NUMBER: 261642533 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12712 FILM NUMBER: 091176293 BUSINESS ADDRESS: STREET 1: 201 MAIN STREET, SUITE 3200 CITY: FORT WORTH STATE: TX ZIP: 76102 BUSINESS PHONE: 817-390-8400 MAIL ADDRESS: STREET 1: 201 MAIN STREET, SUITE 3200 CITY: FORT WORTH STATE: TX ZIP: 76102 13F-HR 1 bbtcapitalmgt13f.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Quarter Ended: September 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: BBT Capital Management, Inc. Address: 201 Main Street, Suite 3200 Fort Worth, Texas 76102 Form 13F File Number: 28-12712 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 Report Manager: Name: William O. Reimann Title: Vice President Phone: 817/390-8400 Signature, Place, and Date of Signing: /s/ William O. Reimann Fort Worth, Texas November 12, 2009 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 3 Form 13F Information Table Entry Total: 300 Form 13F Information Table Value Total: $2,937,009 (thousands) List of Other Included Managers:
No. Form 13F File Number Name 1 28-5275 BBT Fund, L. P. 2 28-10369 CAP Fund, L.P. 3 28-12147 SRI Fund, L.P.
FORM 13F INFORMATION TABLE
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMNT OTHR VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CLL DISCRETN MGRS SOLE SHRD NONE AMAG PHARMACEUTICALS INC COM 00163U106 3058 70000 SH Defined 1,2,3 70000 AT&T INC COM 00206R102 1080 40000 SH Defined 1,2,3 40000 AT&T INC COM 00206R102 1351 50000 SH CALL Defined 1,2,3 ATP OIL & GAS CORP COM 00208J108 1968 110000 SH Defined 1,2,3 110000 ATP OIL & GAS CORP COM 00208J108 5367 300000 SH PUT Defined 1,2,3 ABBOTT LABS COM 002824100 6184 125000 SH Defined 1,2,3 125000 ABRAXIS BIOSCIENCE INC NEW COM 00383Y102 2729 75000 SH Defined 1,2,3 75000 ACTIVISION BLIZZARD INC COM 00507V109 8675 700150 SH Defined 1,2,3 700150 ACTIVISION BLIZZARD INC COM 00507V109 5885 475000 SH PUT Defined 1,2,3 AFFILIATED COMPUTER SERVICES CL A 008190100 4063 75000 SH Defined 1,2,3 75000 AFFYMAX INC COM 00826A109 597 25000 SH Defined 1,2,3 25000 ALEXION PHARMACEUTICALS INC COM 015351109 9353 210000 SH Defined 1,2,3 210000 ALIGN TECHNOLOGY INC COM 016255101 2133 150000 SH Defined 1,2,3 150000 ALKERMES INC COM 01642T108 919 100000 SH Defined 1,2,3 100000 ALLEGHENY ENERGY INC COM 017361106 18601 701397 SH Defined 1,2,3 701397 ALLIANCE HEALTHCARE SRVCSCOM NEW 018606202 2792 493200 SH Defined 1,2,3 493200 ALLIANT ENERGY CORP COM 018802108 2709 97271 SH Defined 1,2,3 97271 ALMOST FAMILY INC COM 020409108 1975 66400 SH Defined 1,2,3 66400 ALPHA NATURAL RESOURCES INC COM 02076X102 12395 353148 SH Defined 1,2,3 353148 AMEREN CORP COM 023608102 2022 80000 SH Defined 1,2,3 80000 AMERICAN ELEC PWR INC COM 025537101 26943 869420 SH Defined 1,2,3 869420 AMERICAN INTL GROUP INC COM 026874784 901 20425 SH PUT Defined 1,2,3 AMERISOURCEBERGEN CORP COM 03073E105 508 22700 SH Defined 1,2,3 22700 ANADARKO PETE CORP COM 032511107 438 6988 SH Defined 1,2,3 6988 ANADARKO PETE CORP COM 032511107 18819 300000 SH CALL Defined 1,2,3 ANADYS PHARMACEUTICALS INC COM 03252Q408 1447 550000 SH Defined 1,2,3 550000 APACHE CORP COM 037411105 34577 376536 SH Defined 1,2,3 376536 APACHE CORP COM 037411105 36732 400000 SH PUT Defined 1,2,3 ARCH COAL INC COM 039380100 8852 400000 SH CALL Defined 1,2,3 ARCH COAL INC COM 039380100 11065 500000 SH PUT Defined 1,2,3 ARDEA BIOSCIENCES INC COM 03969P107 1649 90000 SH Defined 1,2,3 90000 ARMSTRONG WORLD INDS INC NEW COM 04247X102 9626 279346 SH Defined 1,2,3 279346 ATLAS AIR WORLDWIDE HLDGS COM NEW 049164205 1119 35000 SH Defined 1,2,3 35000 ATWOOD OCEANICS INC COM 050095108 35270 1000000 SH PUT Defined 1,2,3 AUXILIUM PHARMACEUTICALS INC COM 05334D107 8210 240000 SH Defined 1,2,3 240000 AVANIR PHARMACEUTICALSCLNA NEW 05348P401 1248 600000 SH Defined 1,2,3 600000 BJ SVCS CO COM 055482103 22647 1165550 SH Defined 1,2,3 1165550 BJ SVCS CO COM 055482103 7772 400000 SH CALL Defined 1,2,3 BAKER HUGHES INC COM 057224107 7719 180938 SH Defined 1,2,3 180938 BAKER HUGHES INC COM 057224107 12798 300000 SH CALL Defined 1,2,3 BARRETT BILL CORP NOTE 5.00 06846NAA2 1930 2000000 PRN Defined 1,2,3 BAXTER INTL INC COM 071813109 5131 90000 SH Defined 1,2,3 90000 BECTON DICKINSON & CO COM 075887109 6975 100000 SH Defined 1,2,3 100000 BON-TON STORES INC COM 09776J101 171 23553 SH Defined 1,2,3 23553 BURLINGTON NORTHN SANTA FE C COM 12189T104 23949 300000 SH CALL Defined 1,2,3 CBS CORP NEW COM 124857202 3254 270000 SH CALL Defined 1,2,3 CIGNA CORP COM 125509109 2247 80000 SH Defined 1,2,3 80000 CIT GROUP INC COM 125581108 231 191300 SH PUT Defined 1,2,3 CNX GAS CORP COM 12618H309 9618 313281 SH Defined 1,2,3 313281 CSX CORP COM 126408103 5979 142827 SH Defined 1,2,3 142827 CSX CORP COM 126408103 12558 300000 SH PUT Defined 1,2,3 CVS CAREMARK CORPORATION COM 126650100 6158 172300 SH Defined 1,2,3 172300 CAMERON INTERNATIONAL CORP COM 13342B105 7031 185900 SH Defined 1,2,3 185900 CANADIAN NATL RY CO COM 136375102 21559 440063 SH Defined 1,2,3 440063 CHESAPEAKE ENERGY CORP COM 165167107 1065 37500 SH Defined 1,2,3 37500 CHESAPEAKE ENERGY CORP COM 165167107 42600 1500000 SH CALL Defined 1,2,3 CHEVRON CORP NEW COM 166764100 22115 314000 SH Defined 1,2,3 314000 CHINA DIGITAL TV HLDG CO LTD SPONSORED 16938G107 720 100000 SH Defined 1,2,3 100000 CHIQUITA BRANDS INTL INC NOTE 4.25 170032AT3 9814 10000000 PRN Defined 1,2,3 CIMAREX ENERGY CO COM 171798101 17328 400000 SH PUT Defined 1,2,3 COMMUNITY HEALTH SYS INC NEW COM 203668108 1935 60600 SH Defined 1,2 60600 CONCEPTUS INC COM 206016107 5562 300000 SH Defined 1,2,3 300000 CONSOL ENERGY INC COM 20854P109 24501 543135 SH Defined 1,2,3 543135 CONSOL ENERGY INC COM 20854P109 13533 300000 SH CALL Defined 1,2,3 CONSOL ENERGY INC COM 20854P109 29322 650000 SH PUT Defined 1,2,3 CONSTELLATION ENERGY GROUP I COM 210371100 5633 174008 SH Defined 1,2,3 174008 CONSTELLATION ENERGY PRTNR COM UNIT L 21038E101 3106 778488 SH Defined 1 778488 CONTINENTAL AIRLS INC CL B 210795308 5187 315500 SH Defined 1,2,3 315500 CORNERSTONE THERAPEUTICS INC COM 21924P103 1703 260000 SH Defined 1,2,3 260000 CROWN HOLDINGS INC COM 228368106 1461 53700 SH Defined 1,2,3 53700 CUMMINS INC COM 231021106 1586 35400 SH Defined 1,2,3 35400 D R HORTON INC NOTE 2.00 23331ABB4 7116 6250000 PRN Defined 1,2,3 DAVITA INC COM 23918K108 4089 72200 SH Defined 1,2,3 72200 DENBURY RES INC COM 247916208 3783 250000 SH CALL Defined 1,2,3 DENBURY RES INC COM NEW 247916208 3844 254076 SH Defined 1,2,3 254076 DENDREON CORP COM 24823Q107 12316 440000 SH Defined 1,2,3 440000 DEVON ENERGY CORP NEW COM 25179M103 17009 252615 SH Defined 1,2,3 252615 DEVON ENERGY CORP NEW COM 25179M103 20199 300000 SH CALL Defined 1,2,3 DIALYSIS CORP AMER COM 252529102 572 95000 SH Defined 1,2,3 95000 DICE HLDGS INC COM 253017107 1351 205984 SH Defined 1,2,3 205984 DISH NETWORK CORP CL A 25470M109 1733 90000 SH Defined 1,2,3 90000 DISH NETWORK CORP COM 25470M109 2022 105000 SH PUT Defined 1,2,3 DOMINION RES INC VA NEW COM 25746U109 14804 429100 SH Defined 1,2,3 429100 DREAMWORKS ANIMATION SKG INC COM 26153C103 889 25000 SH PUT Defined 1,2,3 ENSCO INTL INC COM 26874Q100 8508 200000 SH CALL Defined 1,2,3 EOG 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Defined 1,2,3 FREEPORT-MCMORAN COPPER & GO PFD CONV 35671D782 11617 112784 SH Defined 1,2,3 112784 FRONTIER OIL CORP COM 35914P105 16906 1214502 SH Defined 1,2,3 1214502 FRONTIER OIL CORP COM 35914P105 5568 400000 SH CALL Defined 1,2,3 GSI COMMERCE INC COM 36238G102 11928 617700 SH Defined 1,2,3 617700 GSI COMMERCE INC COM 36238G102 5503 285000 SH PUT Defined 1,2,3 GILEAD SCIENCES INC COM 375558103 3953 85000 SH Defined 1,2,3 85000 GOODYEAR TIRE & RUBR CO COM 382550101 24451 1435750 SH Defined 1,2,3 1435750 GOOGLE INC CL A 38259P508 13884 28000 SH Defined 1,2,3 28000 GOOGLE INC COM 38259P508 6942 14000 SH PUT Defined 1,2,3 GRAPHIC PACKAGING HLDG CO COM 388689101 225 97400 SH Defined 1,2,3 97400 HAEMONETICS CORP COM 405024100 4209 75000 SH Defined 1,2,3 75000 HALLIBURTON CO COM 406216101 13560 500000 SH PUT Defined 1,2,3 HALOZYME THERAPEUTICS INC COM 40637H109 2133 300000 SH Defined 1,2,3 300000 HARTE-HANKS INC COM 416196103 6048 437300 SH Defined 1,2,3 437300 HARTE-HANKS INC COM 416196103 997 72100 SH CALL Defined 1,2,3 HARTE-HANKS INC COM 416196103 4218 305000 SH PUT Defined 1,2,3 HASBRO INC COM 418056107 1804 65000 SH CALL Defined 1,2,3 HEALTHSOUTH CORP COM NEW 421924309 339 21700 SH Defined 1,2,3 21700 HELMERICH & PAYNE INC COM 423452101 12398 313640 SH Defined 1,2,3 313640 HERCULES OFFSHORE INC COM 427093109 2455 500000 SH CALL Defined 1,2,3 HERTZ GLOBAL HOLDINGS INC NOTE 5.25 42805TAA3 30309 19980000 PRN Defined 1,2,3 HESS CORP COM 42809H107 16480 308267 SH Defined 1,2,3 308267 HOLLY CORP COM PAR $0 435758305 3352 130849 SH Defined 1,2,3 130849 HOST HOTELS & RESORTS INC COM 44107P104 1435 121900 SH CALL Defined 1,2,3 HOST HOTELS & RESORTS INC COM 44107P104 294 25000 SH PUT Defined 1,2,3 HUNT J B TRANS SVCS INC COM 445658107 2956 92000 SH Defined 1,2,3 92000 ICON PUB LTD CO SPONSORED 45103T107 1856 75800 SH Defined 1,2,3 75800 ILLUMINA INC COM 452327109 4250 100000 SH Defined 1,2,3 100000 INCYTE CORP COM 45337C102 7425 1100000 SH Defined 1,2,3 1100000 INSULET CORP COM 45784P101 2246 200000 SH Defined 1,2,3 200000 INTERNET HOLDRS TR COM 46059W102 1521 30000 SH PUT Defined 1,2,3 INVERNESS MED INNOVATIONS IN COM 46126P106 4841 125000 SH Defined 1,2,3 125000 INVERNESS MED INNOVATIONS IPFD CONV S 46126P304 47213 181248 SH Defined 1,2,3 181248 KANSAS CITY SOUTHERN COM 485170302 13245 500000 SH PUT Defined 1,2,3 KING PHARMACEUTICALS INC COM 495582108 6193 575000 SH Defined 1,2,3 575000 LABORATORY CORP AMER HLDGS COM NEW 50540R409 5019 76400 SH Defined 1,2,3 76400 LAMAR ADVERTISING CO COM 512815101 274 10000 SH PUT Defined 1,2,3 LIBERTY GLOBAL INC COM 530555101 6545 290000 SH PUT Defined 1,2,3 LIBERTY GLOBAL INC COM SER A 530555101 3724 165000 SH Defined 1,2,3 165000 LIBERTY GLOBAL INC COM SER C 530555309 1123 50000 SH Defined 1,2,3 50000 LIBERTY MEDIA CORP NEW ENT COM SE 53071M500 274 8800 SH Defined 1,2,3 8800 LIFE TECHNOLOGIES CORP COM 53217V109 7913 170000 SH Defined 1,2,3 170000 MAP PHARMACEUTICALS INC COM 56509R108 3661 350000 SH 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1534 75000 SH PUT Defined 1,2,3 MULTIMEDIA GAMES INC COM 625453105 1785 348577 SH Defined 1,2 348577 MYLAN INC COM 628530107 801 50000 SH Defined 1,2,3 50000 NRG ENERGY INC COM 629377508 20015 710000 SH PUT Defined 1,2,3 NRG ENERGY INC COM NEW 629377508 2650 94000 SH Defined 1,2,3 94000 NANOSPHERE INC COM 63009F105 2506 350000 SH Defined 1,2,3 350000 NATIONAL OILWELL VARCO INC COM 637071101 7233 167712 SH Defined 1,2,3 167712 NATIONAL OILWELL VARCO INC COM 637071101 21565 500000 SH CALL Defined 1,2,3 NATIONAL OILWELL VARCO INC COM 637071101 17252 400000 SH PUT Defined 1,2,3 NATUS MEDICAL INC DEL COM 639050103 772 50000 SH Defined 1,2,3 50000 NAVISTAR INTL CORP NEW COM 63934E108 5863 156692 SH Defined 1,2,3 156692 NEW YORK TIMES CO COM 650111107 609 75000 SH CALL Defined 1,2,3 NEWS CORP CL A 65248E104 2425 202735 SH Defined 1,2,3 202735 NEWS CORP COM 65248E104 1196 100000 SH CALL Defined 1,2,3 NEWS CORP COM 65248E104 1734 145000 SH PUT Defined 1,2,3 NEWS CORP COM 65248E203 1637 117000 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