0000905148-12-001604.txt : 20120814 0000905148-12-001604.hdr.sgml : 20120814 20120814164256 ACCESSION NUMBER: 0000905148-12-001604 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120814 DATE AS OF CHANGE: 20120814 EFFECTIVENESS DATE: 20120814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Algebris Investments (UK) LLP CENTRAL INDEX KEY: 0001426665 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12922 FILM NUMBER: 121033695 BUSINESS ADDRESS: STREET 1: 7 CLIFFORD STREET CITY: LONDON STATE: X0 ZIP: W1S 2FT BUSINESS PHONE: 44-0-207-851-1740 MAIL ADDRESS: STREET 1: 7 CLIFFORD STREET CITY: LONDON STATE: X0 ZIP: W1S 2FT 13F-HR 1 efc12-619_fm13fhr.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: June 30, 2012 ------------- 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: Algebris Investments (UK) LLP Address: 7 Clifford Street London, W1S 2FT, United Kingdom Form 13F File Number: 028-12922 --------- 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: Angus Milne Title: Head of Compliance Phone: +44 20 7440 2330 Signature, Place and Date of Signing: /s/ Angus Milne London, United Kingdom August 14, 2012 ---------------------- ---------------------- --------------- [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: 0 --------------------- Form 13F Information Table Entry Total: 18 --------------------- Form 13F Information Table Value Total: $33,307 --------------------- (in 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
ALGEBRIS INVESTMENTS (UK) LLP FORM 13F INFORMATION TABLE Quarter Ended June 30, 2012 ------------------------------------------------------------------------------------------------------------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------ AMERICAN EXPRESS CO COM 025816109 3,609 62,000 SH PUT SOLE 62,000 APOLLO GLOBAL MGMT LLC CL A SHS 037612306 135 10,900 SH SOLE 10,900 BANK OF AMERICA CORPORATION COM 060505104 195 23,875 SH SOLE 23,875 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 2,401 183,700 SH SOLE 183,700 CITIGROUP INC COM NEW 172967424 7,004 255,533 SH SOLE 255,533 GOLDMAN SACHS GROUP INC COM 38141G104 212 2,215 SH SOLE 2,215 HARTFORD FINL SVCS GROUP INC COM 416515104 2,750 155,966 SH SOLE 155,966 HARTFORD FINL SVCS GROUP INC COM 416515104 3,526 200,000 SH CALL SOLE 200,000 JPMORGAN CHASE & CO COM 46625H100 407 11,400 SH SOLE 11,400 MASTERCARD INC CL A 57636Q104 2,624 6,100 SH PUT SOLE 6,100 METLIFE INC COM 59156R108 5,405 175,200 SH SOLE 175,200 PRUDENTIAL FINL INC COM 744320102 305 6,300 SH SOLE 6,300 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF M 780097796 2,628 150,000 SH SOLE 150,000 ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS R 780097747 436 25,000 SH SOLE 25,000 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF T 780097713 983 50,000 SH SOLE 50,000 SEACOAST BKG CORP FLA COM 811707306 116 77,800 SH SOLE 77,800 VIRGINIA COMM BANCORP INC COM 92778Q109 130 15,400 SH SOLE 15,400 WELLS FARGO & CO NEW COM 949746101 441 13,200 SH SOLE 13,200