0001315863-11-000210.txt : 20111114 0001315863-11-000210.hdr.sgml : 20111111 20111114161507 ACCESSION NUMBER: 0001315863-11-000210 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 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: 111202689 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 ucapital31.txt U CAPITAL GROUP, LP 13F 3Q 2011 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, 2011 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: 527 Madison Avenue 7th Floor New York, New York 10022 13F File Number: 028-13353 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: /s/ Eric Alper New York, New York/USA November 14, 2011 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 Form 13F Information Table Entry Total: 17 Form 13F Information Table Value Total: $45,253 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ACCURIDE CORP NEW COM NEW 00439T206 2816 550000 SH SOLE 550000 AMERIGON INC COM 03070L300 955 75000 SH SOLE 75000 BARRICK GOLD CORP COM 067901108 933 20000 SH SOLE 20000 CHEMTURA CORP COM NEW 163893209 4413 440000 SH SOLE 440000 CIT GROUP INC COM NEW 125581801 3037 100000 SH SOLE 100000 GRAPHIC PACKAGING HLDG CO COM 388689101 2415 700000 SH SOLE 700000 HOLLYFRONTIER CORP COM 436106108 1442 55000 SH SOLE 55000 LIBERTY MEDIA CORP NEW LIB STAR COM A 53071M708 4767 75000 SH SOLE 75000 LIFE TECHNOLOGIES CORP COM 53217V109 5765 150000 SH SOLE 150000 MACQUARIE INFRASTR CO LLC MEMBERSHIP INT 55608B105 7854 350000 SH SOLE 350000 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 828 15000 SH SOLE 15000 ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 236 20800 SH SOLE 20800 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF S 780097739 222 20000 SH SOLE 20000 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF T 780097713 2410 200000 SH SOLE 200000 SEASPAN CORP SHS Y75638109 6017 525000 SH SOLE 525000 VERMILLION INC COM NEW 92407M206 92 35000 SH SOLE 35000 VIASAT INC COM 92552V100 1051 31546 SH SOLE 31546