-----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, NA76lcgPYn67lIKdt4CwS361kv7986HY97TcjZBLG4CvsrMiJ7KGEFUshB/Zny7i WUGFierbBsU23Q8v6OOv3g== 0001362310-09-002197.txt : 20090217 0001362310-09-002197.hdr.sgml : 20090216 20090217132901 ACCESSION NUMBER: 0001362310-09-002197 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090217 EFFECTIVENESS DATE: 20090217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Falcon Investment Management LLC CENTRAL INDEX KEY: 0001425649 IRS NUMBER: 200574542 STATE OF INCORPORATION: DE FISCAL YEAR END: 0811 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12667 FILM NUMBER: 09609328 BUSINESS ADDRESS: STREET 1: 4350 VON KARMEN AVENUE STREET 2: 4TH FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-474-5824 MAIL ADDRESS: STREET 1: 4350 VON KARMEN AVENUE STREET 2: 4TH FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 c81185e13fvhr.txt 13F-HR ------------------------ OMB APPROVAL ------------------------ 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 holdings entries. Institutional Investment Manager Filing this Report: Name: Falcon Investment Management LLC Address: 4350 Von Karman Avenue, 4th Floor Newport Beach, California 92660 Form 13F File Number: 28 - 12667 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: Richard Merage Title: President Phone: (949) 474-5804 Signature, Place, and Date of Signing: /s/ Richard Merage Newport Beach, CA 02/12/09 - ------------------------- --------------------- --------------- [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).) List of Other Managers Reporting for this Manager: [None] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 87 Form 13F Information Table Value Total: $ 137,448 ----------------- (thousands) 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. NONE 2 FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- ------------------- --------- -------- ------------------ ---------- -------- ---------------------- VOTING AUTHORITY TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ---------------------- NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE - ---------------------------- ------------------- --------- -------- --------- --- ---- ---------- -------- --------- ------- ---- A.D.A.M., INC. COM 00088U108 1,499 374,702 SH SOLE 374,702 ADMINISTAFF INC COM 007094105 1,644 75,840 SH SOLE 75,840 AMERICREDIT CORP COM 03060R101 1,955 255,929 SH SOLE 255,929 APPLE, INC. COM 037833100 4,097 48,000 SH SOLE 48,000 AVIS BUDGET GROUP INC COM 053774105 42 60,000 SH SOLE 60,000 BAIDU.COM, INC. SPONSORED ADR REP A 56752108 392 3,000 SH SOLE 3,000 THE BANCORP INC COM 05969A105 805 214,722 SH SOLE 214,722 BARNES & NOBLE, INC COM 067774109 30 2,000 SH SOLE 2,000 BLACKSTONE GROUP LP/THE COM 09253U108 786 120,400 SH SOLE 120,400 BEBE STORES INC COM 075571109 1,881 251,812 SH SOLE 251,812 BJS RESTAURANTS INC COM 09180C106 4,590 426,141 SH SOLE 426,141 BLOCKBUSTER INC CLASS A 93679108 27 21,400 SH SOLE 21,400 BLUE NILE, INC. COM 09578R103 490 20,000 SH SOLE 20,000 BRUSH ENGINEERED MATLS INC COM 117421107 74 5,786 SH SOLE 5,786 BUFFALO WILD WINGS, INC. COM 119848109 308 12,000 SH SOLE 12,000 CARMIKE CINEMAS INC COM 143436400 26 7,200 SH SOLE 7,200 CASUAL MALE RETAIL GRP INC COM 148711104 8 14,700 SH SOLE 14,700 CHEESECAKE FACTORY INCORPORATED (THE) COM 163072101 3,566 353,118 SH SOLE 353,118 CITI TRENDS, INC. COM 17306X102 6,076 412,750 SH SOLE 412,750 COOPER TIRE & RUBBER CO. COM 216831107 1,386 225,000 SH SOLE 225,000 CRACKER BARREL OLD COUNTRY STORE INC COM 22410J106 1,750 85,016 SH SOLE 85,016 CTRIP.COM INTERNATIONAL, LTD. ADR 22943F100 1,399 58,800 SH SOLE 58,800 CUMULUS MEDIA INC CLASS A 231082108 29 11,500 SH SOLE 11,500 DESIGN WITHIN REACH COM 250557105 205 301,800 SH SOLE 301,800 DOVER MOTORSPORTS INC COM 260174107 13 10,200 SH SOLE 10,200 DRESS BARN INC COM 261570105 2,820 262,545 SH SOLE 262,545 EOG RESOURCES INC COM 26875P101 1,864 28,000 SH SOLE 28,000 ECLIPSYS CORP COM 278856109 851 60,000 SH SOLE 60,000 ENTERPRISE GP HOLDINGS L.P. COM 293716106 1,537 88,190 SH SOLE 88,190 FLIR SYSTEMS INC COM 302445101 1,921 62,620 SH SOLE 62,620 FMC TECHNOLOGIES INC COM 30249U101 953 40,000 SH SOLE 40,000 FLUOR CORPORATION COM 343412102 3,603 80,300 SH SOLE 80,300 4 KIDS ENTERTAINMENT INC COM 350865101 113 57,600 SH SOLE 57,600 GENESCO INC. COM 371532102 179 10,601 SH SOLE 10,601 GMARKET INC. SPONSORED ADR 38012G100 762 44,197 SH SOLE 44,197 GOLDMAN SACHS GROUP, INC.(THE) COM 38141G104 4,207 49,850 SH SOLE 49,850 GOOGLE, INC. CLASS A 38259P508 2,184 7,100 SH SOLE 7,100 GYMBOREE CORP. COM 403777105 37 1,400 SH SOLE 1,400 HQ SUSTAINABLE MARITIME IND, INC COM 40426A208 3,229 412,410 SH SOLE 412,410 HANSEN NATURAL CORP COM 411310105 10,168 303,250 SH SOLE 303,250 HEELYS, INC. COM 42279M107 58 25,368 SH SOLE 25,368 THE HERSHEY COMPANY COM 427866108 174 5,000 SH SOLE 5,000 HOOKER FURNITURE CORP COM 439038100 928 121,088 SH SOLE 121,088 HOVNANIAN K ENTERPRISES INC CLASS A 442487203 13 7,600 SH SOLE 7,600 ITT EDUCATIONAL SERVICES INC COM 45068B109 5,873 61,835 SH SOLE 61,835 ITT CORPORATION COM 450911102 1,725 37,500 SH SOLE 37,500 ISHARES INDEX MSCI JAPAN 464286848 2,682 280,000 SH SOLE 280,000 ISHARES INDEX MSCI HONG KONG 464286871 146 14,100 SH SOLE 14,100 JACK IN THE BOX INC. COM 466367109 2,798 126,672 SH SOLE 126,672 JEFFERIES GROUP INC (NEW) COM 472319102 2,549 181,313 SH SOLE 181,313 KB HOME COM 48666K109 2,424 178,000 SH SOLE 178,000 KONA GRILL, INC. COM 50047H201 110 50,000 SH SOLE 50,000 LAMAR ADVERTISING CO CLASS A 512815101 1,256 100,000 SH SOLE 100,000 LANDRYS RESTAURANTS INC COM 51508L103 56 4,832 SH SOLE 4,832 LAYNE CHRISTENSEN COMPANY COM 521050104 2,354 98,025 SH SOLE 98,025 LIFEWAY FOODS INC COM 531914109 43 4,800 SH SOLE 4,800 MASSEY ENERGY COMPANY COM 576206106 1,520 110,200 SH SOLE 110,200 MATRIX SERVICE COMPANY COM 576853105 1,150 149,945 SH SOLE 149,945 MEDIFAST, INC. COM 58470H101 387 70,171 SH SOLE 70,171 MIDAS INC COM 595626102 42 4,000 SH SOLE 4,000 MORGAN STANLEY COM 617446448 2,294 143,000 SH SOLE 143,000 NAUTILUS INC COM 63910B102 25 11,100 SH SOLE 11,100
3 OFFICE DEPOT INC COM 676220106 4,427 1,485,452 SH SOLE 1,485,452 PATRIOT COAL CORPORATION COM 70336T104 215 34,400 SH SOLE 34,400 PERICOM SEMICONDUCTOR CORP COM 713831105 632 115,305 SH SOLE 115,305 POWERSHARES ETF TRUST WATER RESOURCES 73935X575 288 20,000 SH SOLE 20,000 PRE PAID LEGAL SERVICES INC COM 740065107 773 20,731 SH SOLE 20,731 ROSS STORES,INC COM 778296103 6,914 232,552 SH SOLE 232,552 RUSS BERRIE AND COMPANY INC COM 782233100 115 38,721 SH SOLE 38,721 SEMICONDUCTOR HOLDERS TRUST DEPOSITORY RECEIPTS 816636203 247 14,000 SH SOLE 14,000 SOHU.COM INC COM 83408W103 1,649 34,831 SH SOLE 34,831 SUN BANCORP INC (N.J.) COM 86663B102 36 4,865 SH SOLE 4,865 SURMODICS INC COM 868873100 549 21,738 SH SOLE 21,738 TAKE TWO INTERACTIVE SOFTWARE INC COM 874054109 384 50,852 SH SOLE 50,852 TERRA INDUSTRIES INC COM 880915103 1,280 76,800 SH SOLE 76,800 TEXAS ROADHOUSE, INC. CLASS A 882681109 3,086 398,188 SH SOLE 398,188 TRINITY INDUSTRIES INC (DEL) COM 896522109 4,164 264,195 SH SOLE 264,195 TWEEN BRANDS INC COM 901166108 328 76,036 SH SOLE 76,036 UAL CORPORATION COM 902549807 4,165 377,937 SH SOLE 377,937 US AIRWAYS GROUP INC COM 90341W108 982 127,000 SH SOLE 127,000 UNITED ONLINE INC COM 911268100 468 77,170 SH SOLE 77,170 UNITED RENTALS, INC. COM 911363109 456 50,000 SH SOLE 50,000 UNITED STATES OIL FUND LP UNITS 91232N108 2,582 78,000 SH SOLE 78,000 VISA INC. COM CLASS A 92826C839 3,409 65,000 SH SOLE 65,000 VOLCOM, INC. COM 92864N101 2,493 228,724 SH SOLE 228,724 WILLDAN GROUP INC COM 96924N100 419 210,733 SH SOLE 210,733 TYCO INTERNATIONAL LTD. COM G9143X208 1,274 59,000 SH SOLE 59,000
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