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