-----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, Cw+SqOfERJWW2xS9UmuV3crfArdEPvV5gjqcpqTgMpnlKaKk7yQ6oZpcOo19S2Iv nwWVwl5QJIqo3sklwl63Uw== 0001315863-09-000215.txt : 20091116 0001315863-09-000215.hdr.sgml : 20091116 20091116160856 ACCESSION NUMBER: 0001315863-09-000215 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: U Capital Group, LP CENTRAL INDEX KEY: 0001455938 IRS NUMBER: 204448597 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13353 FILM NUMBER: 091186895 BUSINESS ADDRESS: STREET 1: 800 THIRD AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212.980.4000 MAIL ADDRESS: STREET 1: 800 THIRD AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 ucap39.txt U CAPITAL GROUP, LP 13F 3Q 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or 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: U Capital Group, LP Address: 800 Third Avenue 9th Floor New York, New York 10022 13F File Number: 28-13353 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: Eric Alper Title: Chief Financial Officer/Chief Operating Officer Phone: 212.980.4000 Signature, Place, and Date of Signing: Eric Alper New York, New York/USA November 16, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 39 Form13F Information Table Value Total: $51,294 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ANGLOGOLD ASHANTI LTD SPONSORED ADR 035128206 408 10000 SH SOLE 10000 AVIS BUDGET GROUP COM 053774105 668 50000 SH SOLE 50000 BANCORP INC DEL COM 05969A105 90 15700 SH SOLE 15700 BANK OF AMERICA CORPORATION COM 060505104 1100 65000 SH SOLE 65000 BARRICK GOLD CORP COM 067901108 2274 60000 SH SOLE 60000 CAPSTONE TURBINE CORP COM 14067D102 528 400000 SH SOLE 400000 CARDINAL HEALTH INC COM 14149Y108 1930 72000 SH SOLE 72000 CAREFUSION CORP COM 14170T101 785 36000 SH SOLE 36000 CHIMERA INVT CORP COM 16934Q109 1146 300000 SH SOLE 300000 CONSTELLATION ENERGY GROUP I COM 210371100 1619 50000 SH SOLE 50000 COSAN LTD SHS A G25343107 790 100000 SH SOLE 100000 COVANTA HLDG CORP COM 22282E102 1020 60000 SH SOLE 60000 DANA HOLDING CORP COM 235825205 851 125000 SH SOLE 125000 DSW INC CL A 23334L102 672 42100 SH SOLE 42100 EXPRESS SCRIPTS INC COM 302182100 1940 25000 SH SOLE 25000 F M C CORP COM NEW 302491303 399 7100 SH SOLE 7100 FRONTIER OIL CORP COM 35914P105 1058 76025 SH SOLE 76025 GOLDCORP INC NEW COM 380956409 727 18000 SH SOLE 18000 HESS CORP COM 42809H107 642 12000 SH SOLE 12000 ICO GLOBAL COMM HLDGS LTD DE CL A 44930K108 1321 1536090 SH SOLE 1536090 LAMAR ADVERTISING CO CL A 512815101 960 35000 SH SOLE 35000 LENDER PROCESSING SVCS INC COM 52602E102 1260 33000 SH SOLE 33000 LIFE TECHNOLOGIES CORP COM 53217V109 3491 75000 SH SOLE 75000 MACQUARIE INFRASTR CO LLC MEMBERSHIP INT 55608B105 5406 600000 SH SOLE 600000 MEMC ELECTR MATLS INC COM 552715104 832 50000 SH SOLE 50000 METROPCS COMMUNICATIONS INC COM 591708102 1966 210000 SH SOLE 210000 MI DEVS INC CL A SUB VTG 55304X104 2018 150000 SH SOLE 150000 MICROSOFT CORP COM 594918104 1929 75000 SH SOLE 75000 MOLECULAR INSIGHT PHARM INC COM 60852M104 2212 400000 SH SOLE 400000 MORGAN STANLEY COM NEW 617446448 1451 47000 SH SOLE 47000 PENN VA CORP COM 707882106 2864 125000 SH SOLE 125000 PHH CORP COM NEW 693320202 1984 100000 SH SOLE 100000 POTASH CORP SASK INC COM 73755L107 325 3600 SH SOLE 3600 PROSHARES TR PSHS ULTSHRT QQQ 74347R875 296 12850 SH SOLE 12850 RURAL / METRO CORP COM 781748108 418 100000 SH SOLE 100000 SPDR GOLD TRUST GOLD SHS 78463V107 989 10000 SH SOLE 10000 SUNCOR ENERGY INC NEW COM 867224107 726 21000 SH SOLE 21000 TRANSOCEAN LTD REG SHS H8817H100 984 11500 SH SOLE 11500 WYETH COM 983024100 1215 25000 SH SOLE 25000
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