0001047469-11-004310.txt : 20110502 0001047469-11-004310.hdr.sgml : 20110502 20110429182907 ACCESSION NUMBER: 0001047469-11-004310 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110502 DATE AS OF CHANGE: 20110429 EFFECTIVENESS DATE: 20110502 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: 11796918 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 a2203562z13f-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: 3/31/2011 ----------------------- 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- 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 4/28/11 ------------------------------- ----------------- ------------- [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. CAIN BOTHERS ASSET MANAGEMENT FORM 13F MARCH 31, 2011
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 37330 650000 SH SOLE 650000 37330 650000 SH PUT SOLE 650000 SPDR S&P 500 ETF TR TR UNIT EQUITY 78462F103 495356 3736000 SH SOLE 665000 3071000 93940 708500 SH PUT SOLE 332500 376000 60660 457500 SH PUT SOLE 332500 125000 132590 1000000 SH PUT SOLE 1000000 16574 125000 SH PUT SOLE 125000 182311 1375000 SH PUT SOLE 1375000 2652 20000 SH PUT SOLE 20000 6630 50000 SH PUT SOLE 50000 REPORT SUMMARY 10 DATA RECORDS 1065371 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
DO NOT SAVE THIS SCREEN AS A TEXT FILE. THIS REPORT AUTOMATICALLY CREATES THE TEXT FILE INFTABLE.TXT, WHICH MEETS ALL SEC FILING REQUIREMENTS. FOR DETAILS ON THE LOCATION OF THIS TEXT FILE, SEE YOUR FORM 13F REPORT DOCUMENTATION.