0001047469-11-006364.txt : 20110715
0001047469-11-006364.hdr.sgml : 20110715
20110715163239
ACCESSION NUMBER: 0001047469-11-006364
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110715
DATE AS OF CHANGE: 20110715
EFFECTIVENESS DATE: 20110715
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Cain Brothers Asset Management, LLC
CENTRAL INDEX KEY: 0001513702
IRS NUMBER: 271150449
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14424
FILM NUMBER: 11970915
BUSINESS ADDRESS:
STREET 1: 360 MADISON AVENUE
STREET 2: 5TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-869-5600
MAIL ADDRESS:
STREET 1: 360 MADISON AVENUE
STREET 2: 5TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
13F-HR
1
a2204798z13f-hr.txt
13F-HR
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 6/30/2011
-----------------------
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: Cain Brothers Asset Management, LLC
-----------------------------------
Address: 360 Madison Ave., 5th Floor
-----------------------------------
New York, NY 10017
-----------------------------------
Form 13F File Number: 028-14424
---------------------
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: Charity A. Davidenko
-------------------------------
Title: CCO
-------------------------------
Phone: 212-981-6937
-------------------------------
Signature, Place, and Date of Signing:
/s/ Charity A. Davidenko New York, NY 7/11/2011
------------------------------- ----------------- -------------
[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: N/A
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
--------------------
Form 13F Information Table Entry Total: 2
--------------------
Form 13F Information Table Value Total: 533264
--------------------
(thousands)
List of Other Included Managers: NONE
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.
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
POWERSHARES QQQ TRUST Equity 73935A104 29666 520000 SH Sole 520000
29666 520000 SH PUT Sole 520000
SPDR S&P 500 ETF TR TR UNIT Equity 78462F103 503598 3816000 SH Sole 695000 3121000
81491 617500 SH PUT Sole 166500 451000
54438 412500 SH PUT Sole 362500 50000
28506 216000 SH PUT Sole 166000 50000
65985 500000 SH PUT Sole 500000
197955 1500000 SH PUT Sole 1500000
65985 500000 SH PUT Sole 500000
1320 10000 SH PUT Sole 10000
6599 50000 SH PUT Sole 50000
1320 10000 SH PUT Sole 10000