0001047469-12-000882.txt : 20120213
0001047469-12-000882.hdr.sgml : 20120213
20120213090827
ACCESSION NUMBER: 0001047469-12-000882
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120213
DATE AS OF CHANGE: 20120213
EFFECTIVENESS DATE: 20120213
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: 12595451
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
a2207163z13f-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: 12.31.2011
-----------------------
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: 28-14424
---------------------
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 2/13/2012
------------------------------- ----------------- ------------
[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).)
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: 21
--------------------
Form 13F Information Table Value Total: 975519
--------------------
(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.
inftable - 12-31-11 CD
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
------------------------------ -------------- --------- -------- -------- --- ---- ------- -------- ------- -------- --------
CURRENCYSHARES EURO TR EURO SH Equity 23130C108 22756 176500 SH CALL Sole 176500
ENERGY SELECT SECTOR SPDR Equity 81369Y506 5876 85000 SH CALL Sole 85000
ISHARES SILVER TRUST ISHARES Equity 46428Q109 26935 1000000 SH CALL Sole 1000000
ISHARES SILVER TRUST ISHARES Equity 46428Q109 12255 455000 SH CALL Sole 455000
ISHARES TR MSCI EMERG MKT Equity 464287234 59566 1570000 SH CALL Sole 1570000
ISHARES TR MSCI EMERG MKT Equity 464287234 4553 120000 SH CALL Sole 120000
MARKET VECTORS GOLD MINERS ETF Equity 57060U100 10280 200000 SH CALL Sole 200000
POWERSHARES QQQ TRUST UNIT SER Equity 73935A104 42427 760000 SH CALL Sole 760000
POWERSHARES QQQ TRUST UNIT SER Equity 73935A104 61408 1100000 SH CALL Sole 1100000
POWERSHARES QQQ TRUST UNIT SER Equity 73935A104 14515 260000 SH CALL Sole 260000
PROSHARES TR PSHS ULTSH 20YRS Equity 74347R297 903 50000 SH CALL Sole 50000
PROSHARES TR PSHS ULTSH 20YRS Equity 74347R297 9061 502000 SH CALL Sole 502000
SELECT SECTOR SPDR TR SBI INT- Equity 81369Y704 25511 755000 SH CALL Sole 755000
SELECT SECTOR SPDR TR SBI INT- Equity 81369Y704 27032 800000 SH CALL Sole 800000
SPDR S&P 500 ETF TR TR UNIT Equity 78462F103 51793 412000 SH CALL Sole 175000 237000
SPDR S&P 500 ETF TR TR UNIT Equity 78462F103 163423 1300000 SH CALL Sole 1300000
SPDR S&P 500 ETF TR TR UNIT Equity 78462F103 179765 1430000 SH CALL Sole 1430000
SPDR S&P 500 ETF TR TR UNIT Equity 78462F103 226278 1800000 SH CALL Sole 1800000
UNITED STATES OIL FUND LP UNIT Equity 91232N108 10030 263000 SH CALL Sole 263000
UNITED STATES OIL FUND LP UNIT Equity 91232N108 6750 177000 SH CALL Sole 177000
UTILITIES SELECT SECTOR SPDR Equity 81369Y886 14404 400000 SH CALL Sole 400000
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