-----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, R1NtphwcWxeceSNHI643lLqR6aI8XCs2kYf12tnRQVX/jCzVqjGpI+S9vwVus0WX YJ86YFq41j1INs1ggmor/Q== 0001047469-11-001126.txt : 20110222 0001047469-11-001126.hdr.sgml : 20110221 20110222144428 ACCESSION NUMBER: 0001047469-11-001126 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110222 DATE AS OF CHANGE: 20110222 EFFECTIVENESS DATE: 20110222 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: 11628049 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 a2202110z13f-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: 12.31.2010 ----------------------- 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- N/A, 1st Filing --------------------- 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 2/18/11 ------------------------------- ----------------- ------------- [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: -------------------- Form 13F Information Table Value Total: -------------------- (thousands) List of Other Included Managers: N/A 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 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 - --------------------------- -------------- --------- -------- --------- ----- ------ -------- ---------- ---- ------ ------- ISHARES TR RUSSELL 2000 Equity 464287655 19560 250000 SH Sole 250000 11736 150000 SH PUT Sole 150000 7824 100000 SH PUT Sole 100000 POWERSHARES QQQ TRUST Equity 73935A104 40845 750000 SH Sole 750000 27230 500000 SH PUT Sole 500000 13615 250000 SH PUT Sole 250000 SPDR S&P 500 ETF TR TR UNIT Equity 78462F103 458359 3645000 SH Sole 675000 2970000 40869 325000 SH PUT Sole 200000 125000 59731 475000 SH PUT Sole 200000 275000 66019 525000 SH PUT Sole 275000 250000 125750 1000000 SH PUT Sole 1000000 78594 625000 SH PUT Sole 625000 78594 625000 SH PUT Sole 625000 6288 50000 SH PUT Sole 50000 2515 20000 SH PUT Sole 20000
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