-----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, JMQiuD2GNnvdf5GvU8NvmN/v+Cs8tsTdzO80zqlJ6Q1q6dh3ZNgmI5Vh+ns7ZIM0 VuYhLArkk3nKDzda7f4zgw== 0001011438-09-000179.txt : 20090217 0001011438-09-000179.hdr.sgml : 20090216 20090217165456 ACCESSION NUMBER: 0001011438-09-000179 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090217 EFFECTIVENESS DATE: 20090217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PEQUOT CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001071955 IRS NUMBER: 061524885 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04495 FILM NUMBER: 09615003 BUSINESS ADDRESS: STREET 1: 500 NYALA FARM ROAD CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2034292200 MAIL ADDRESS: STREET 1: 500 NYALA FARM ROAD CITY: WESTPORT STATE: CT ZIP: 06880 FORMER COMPANY: FORMER CONFORMED NAME: PEQUOT CAPITAL MANAGEMENT INC/CT/ DATE OF NAME CHANGE: 19981118 13F-HR 1 form_13f-pequotcap.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2008 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: PEQUOT CAPITAL MANAGEMENT, INC. Address: 500 NYALA FARM ROAD WESTPORT, CT 06880 13F File Number: 28-04495 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: ARYEH DAVIS Title: COO, GENERAL COUNSEL & SECRETARY Phone: (203) 429-2200 Signature, Place, and Date of Signing: /s/ Aryeh Davis Westport, CT/USA February 17, 2009 - ------------------- ----------------- ------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 195 Form13F Information Table Value Total: $1,265,935 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE 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 - ------------------------------------------------------------------------------------------------------------------------------------ 3COM CORP COM 885535104 476 208733 SH SOLE 208733 99 CENTS ONLY STORES COM 65440K106 2186 200000 SH SOLE 200000 ABB LTD SPONSORED ADR 000375204 1902 126700 SH SOLE 126700 ADAPTEC INC COM 00651F108 247 74800 SH SOLE 74800 AETNA INC NEW COM 00817Y108 422 14800 SH SOLE 14800 AKORN INC COM 009728106 39776 17293857 SH SOLE 17293857 ALEXION PHARMACEUTICALS INC COM 015351109 14809 409200 SH SOLE 409200 ALLIED CAP CORP NEW COM 01903Q108 1345 500000 SH SOLE 500000 AMAZON COM INC COM 023135106 7015 136800 SH SOLE 136800 AMEDISYS INC COM 023436108 2567 62100 SH SOLE 62100 AMERICAN ITALIAN PASTA CO CL A 027070101 9217 412600 SH SOLE 412600 AMERICAN PUBLIC EDUCATION IN COM 02913V103 1428 38400 SH SOLE 38400 AMERICAS CAR MART INC COM 03062T105 3703 268130 SH SOLE 268130 AMGEN INC COM 031162100 3176 55000 SH SOLE 55000 AMR CORP COM 001765106 3201 300000 SH SOLE 300000 ANWORTH MORTGAGE ASSET CP COM 037347101 1152 179150 SH SOLE 179150 APOLLO GROUP INC CL A 037604105 20350 265600 SH SOLE 265600 APPLE INC COM 037833100 5428 63600 SH SOLE 63600 APPLE INC COM 037833100 22319 261500 SH CALL SOLE 261500 ARCH CAP GROUP LTD ORD G0450A105 13298 189700 SH SOLE 189700 ART TECHNOLOGY GROUP INC COM 04289L107 2590 1342100 SH SOLE 1342100 ATMEL CORP COM 049513104 130 41600 SH SOLE 41600 BAKERS FOOTWEAR GROUP INC COM 057465106 125 219500 SH SOLE 219500 BALLANTYNE OMAHA INC COM 058516105 1849 1503200 SH SOLE 1503200 BANK OF AMERICA CORPORATION COM 060505104 5798 411778 SH SOLE 411778 BAUER EDDIE HLDGS INC COM 071625107 69 135000 SH SOLE 135000 BEACON ROOFING SUPPLY INC COM 073685109 1388 100000 SH SOLE 100000 BLACKROCK GLOBAL FLG INC TR COM 091941104 2009 254365 SH SOLE 254365 BLUEPHOENIX SOLUTIONS LTD SHS M20157109 46 25000 SH SOLE 25000 BOOKHAM INC COM 09856E105 49 108800 SH SOLE 108800 BOSTON BEER INC CL A 100557107 1988 70000 SH SOLE 70000 BOSTON PRIVATE FINL HLDGS IN COM 101119105 247 36100 SH SOLE 36100 BOSTON SCIENTIFIC CORP COM 101137107 2421 312738 SH SOLE 312738 BRINKER INTL INC COM 109641100 2456 233000 SH SOLE 233000 BRINKS HOME SEC HLDGS INC COM 109699108 16883 770200 SH SOLE 770200 C D I CORP COM 125071100 647 50000 SH SOLE 50000 CA INC COM 12673P105 4238 228700 SH SOLE 228700 CADENCE DESIGN SYSTEM INC COM 127387108 280 76500 SH SOLE 76500 CANADIAN NAT RES LTD COM 136385101 1219 30500 SH SOLE 30500 CAPE BANCORP INC COM 139209100 350 37828 SH SOLE 37828 CAPSTEAD MTG CORP COM NO PAR 14067E506 816 75802 SH SOLE 75802 CHECKPOINT SYS INC COM 162825103 344 35000 SH SOLE 35000 CHESAPEAKE ENERGY CORP COM 165167107 1154 25100 SH SOLE 25100 CHIPOTLE MEXICAN GRILL INC CL B 169656204 60057 1048300 SH SOLE 1048300 CHIPOTLE MEXICAN GRILL INC CL A 169656105 2386 38500 SH SOLE 38500 CIENA CORP NOTE 0.875% 6/1 171779AE1 340 1000000 SH SOLE 1000000 CIENA CORP COM NEW 171779309 274 40900 SH SOLE 40900 CIENA CORP NOTE 0.250% 5/0 171779AB7 530 1000000 SH SOLE 1000000 CIGNA CORP COM 125509109 270 16000 SH SOLE 16000 CISCO SYS INC COM 17275R102 18289 1122000 SH CALL SOLE 1122000 CLINICAL DATA INC NEW COM 18725U109 332 37250 SH SOLE 37250 COHERENT INC COM 192479103 5322 248000 SH SOLE 248000 COMMERCE BANCSHARES INC COM 200525103 283 6435 SH SOLE 6435 COMPANHIA VALE DO RIO DOCE SPONSORED ADR 204412209 983 81200 SH SOLE 81200 COMPUCREDIT CORP COM 20478N100 291 52700 SH SOLE 52700
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 - ------------------------------------------------------------------------------------------------------------------------------------ CONTINENTAL AIRLS INC CL B 210795308 4515 250000 SH SOLE 250000 CRACKER BARREL OLD CTRY STOR COM 22410J106 2075 100800 SH SOLE 100800 CRAFT BREWERS ALLIANCE INC COM 224122101 86 72000 SH SOLE 72000 CYBERSOURCE CORP COM 23251J106 602 121314 SH SOLE 121314 DECKERS OUTDOOR CORP COM 243537107 14520 181800 SH SOLE 181800 DELTA AIR LINES INC DEL COM NEW 247361702 1719 150000 SH SOLE 150000 DOLLAR FINL CORP COM 256664103 2674 259650 SH SOLE 259650 EATON VANCE SR INCOME TR SH BEN INT 27826S103 2280 668648 SH SOLE 668648 ECLIPSYS CORP COM 278856109 1187 83625 SH SOLE 83625 ELECTRO SCIENTIFIC INDS COM 285229100 449 66200 SH SOLE 66200 ENDEAVOUR INTL CORP COM 29259G101 100 200000 SH SOLE 200000 ENERGY XXI (BERMUDA) LTD COM SHS G10082108 4363 1641400 SH SOLE 1641400 ENSCO INTL INC COM 26874Q100 1079 38000 SH SOLE 38000 ESSA BANCORP INC COM 29667D104 161 11400 SH SOLE 11400 EVEREST RE GROUP LTD COM G3223R108 47740 627000 SH SOLE 627000 EXXON MOBIL CORP COM 30231G102 1014 12700 SH SOLE 12700 EXXON MOBIL CORP COM 30231G102 20037 251000 SH CALL SOLE 251000 EZCORP INC CL A NON VTG 302301106 456 30000 SH SOLE 30000 FALCONSTOR SOFTWARE INC COM 306137100 77 27600 SH SOLE 27600 FCSTONE GROUP INC COM 31308T100 136 30700 SH SOLE 30700 FIBERTOWER CORP COM 31567R100 474 2965402 SH SOLE 2965402 GAFISA S A SPONS ADR 362607301 911 29000 SH SOLE 29000 GANNETT INC COM 364730101 514 64300 SH SOLE 64300 GFI GROUP INC COM 361652209 117 33000 SH SOLE 33000 GOLDCORP INC NEW COM 380956409 25126 797681 SH SOLE 797681 GOOGLE INC CL A 38259P508 3107 10100 SH SOLE 10100 GOOGLE INC CL A 38259P508 2154 7000 SH CALL SOLE 7000 GP STRATEGIES CORP COM 36225V104 7252 1607970 SH SOLE 1607970 HATTERAS FINL CORP COM 41902R103 822 30900 SH SOLE 30900 HEALTH FITNESS CORP COM NEW 42217V201 1192 546700 SH SOLE 546700 HERITAGE CRYSTAL CLEAN INC COM 42726M106 1740 150000 SH SOLE 150000 HERITAGE FINL CORP WASH COM 42722X106 851 69432 SH SOLE 69432 HEWITT ASSOCS INC COM 42822Q100 2838 100000 SH SOLE 100000 HMS HLDGS CORP COM 40425J101 2509 79600 SH SOLE 79600 HOT TOPIC INC COM 441339108 1854 200000 SH SOLE 200000 HSBC HLDGS PLC SPON ADR NEW 404280406 5017 103081 SH SOLE 103081 HURON CONSULTING GROUP INC COM 447462102 10790 188400 SH SOLE 188400 IHS INC CL A 451734107 1235 33000 SH SOLE 33000 IMAX CORP COM 45245E109 11151 2500298 SH SOLE 2500298 ING PRIME RATE TR SH BEN INT 44977W106 892 271850 SH SOLE 271850 INTEGRATED DEVICE TECHNOLOGY COM 458118106 234 41700 SH SOLE 41700 INTERFACE INC CL A 458665106 464 100000 SH SOLE 100000 INTEROIL CORP COM 460951106 1653 120200 SH SOLE 120200 ISHARES INC MSCI JAPAN 464286848 2113 220600 SH SOLE 220600 ISHARES SILVER TRUST ISHARES 46428Q109 2240 200000 SH SOLE 200000 ISHARES TR RUSSELL 2000 464287655 6697 136000 SH SOLE 136000 ISHARES TR MSCI EMERG MKT 464287234 2652 106200 SH SOLE 106200 JACK IN THE BOX INC COM 466367109 18653 844400 SH SOLE 844400 JAZZ PHARMACEUTICALS INC COM 472147107 188 97200 SH SOLE 97200 JMP GROUP INC COM 46629U107 250 45000 SH SOLE 45000 JO-ANN STORES INC COM 47758P307 1549 100000 SH SOLE 100000 KEYCORP NEW COM 493267108 222 26000 SH SOLE 26000 LAS VEGAS SANDS CORP COM 517834107 492 82900 SH SOLE 82900 LEE ENTERPRISES INC COM 523768109 24 57600 SH SOLE 57600 LENDER PROCESSING SVCS INC COM 52602E102 19555 664000 SH SOLE 664000 LIFE TIME FITNESS INC COM 53217R207 6035 466000 SH SOLE 466000 LIVEPERSON INC COM 538146101 400 220000 SH SOLE 220000 LMP CORPORATE LN FD INC COM 50208B100 2609 426953 SH SOLE 426953 MARATHON OIL CORP COM 565849106 12367 452006 SH SOLE 452006
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 - ------------------------------------------------------------------------------------------------------------------------------------ MARSH & MCLENNAN COS INC COM 571748102 2672 110100 SH SOLE 110100 MCDONALDS CORP COM 580135101 55100 886000 SH SOLE 886000 MEDAREX INC COM 583916101 2232 400000 SH SOLE 400000 MERIT MED SYS INC COM 589889104 1793 100000 SH SOLE 100000 MF GLOBAL LTD SHS G60642108 147 72100 SH SOLE 72100 MFA MTG INVTS INC COM 55272X102 1534 260400 SH SOLE 260400 MGM MIRAGE COM 552953101 5504 400000 SH SOLE 400000 MICROSOFT CORP COM 594918104 15659 805500 SH CALL SOLE 805500 MODUSLINK GLOBAL SOLUTIONS I COM 60786L107 353 122020 SH SOLE 122020 MONSANTO CO NEW COM 61166W101 25220 358500 SH CALL SOLE 358500 MONTEREY GOURMET FOODS INC COM 612570101 21 20000 SH SOLE 20000 MORGAN STANLEY COM NEW 617446448 1862 116100 SH SOLE 116100 MOTORCAR PTS AMER INC COM 620071100 1560 400000 SH SOLE 400000 MSCI INC CL A 55354G100 242 13600 SH SOLE 13600 NABORS INDUSTRIES LTD SHS G6359F103 1250 104400 SH SOLE 104400 NATIONAL DENTEX CORP COM 63563H109 994 218512 SH SOLE 218512 NATIONAL OILWELL VARCO INC COM 637071101 10612 434200 SH SOLE 434200 NCI INC CL A 62886K104 4059 134700 SH SOLE 134700 NEWMONT MINING CORP COM 651639106 3053 75000 SH SOLE 75000 NOKIA CORP SPONSORED ADR 654902204 1164 74600 SH SOLE 74600 NUVEEN FLOATING RATE INCOME COM 67072T108 2400 397386 SH SOLE 397386 OCCIDENTAL PETE CORP DEL COM 674599105 19725 328800 SH SOLE 328800 ONYX PHARMACEUTICALS INC COM 683399109 38837 1136900 SH SOLE 1136900 ONYX PHARMACEUTICALS INC COM 683399109 6490 190000 SH CALL SOLE 190000 ORASURE TECHNOLOGIES INC COM 68554V108 110 30000 SH SOLE 30000 PALOMAR MED TECHNOLOGIES INC COM NEW 697529303 296 25714 SH SOLE 25714 PANERA BREAD CO CL A 69840W108 4545 87000 SH SOLE 87000 PARK ELECTROCHEMICAL CORP COM 700416209 1422 75000 SH SOLE 75000 PARTNERRE LTD COM G6852T105 2673 37500 SH SOLE 37500 PERDIGAO S A SPONSORED ADR 71361V303 852 32300 SH SOLE 32300 PETROHAWK ENERGY CORP COM 716495106 3239 207220 SH SOLE 207220 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1379 56300 SH SOLE 56300 POTASH CORP SASK INC COM 73755L107 886 12100 SH SOLE 12100 PROVIDENT FINL HLDGS INC COM 743868101 1225 270932 SH SOLE 270932 QUALCOMM INC COM 747525103 35113 980000 SH CALL SOLE 980000 QUALCOMM INC COM 747525103 46606 1300764 SH SOLE 1300764 QUICKSILVER RESOURCES INC COM 74837R104 177 31700 SH SOLE 31700 RANGE RES CORP COM 75281A109 994 28900 SH SOLE 28900 REGAL ENTMT GROUP CL A 758766109 2912 285200 SH SOLE 285200 RENAISSANCERE HOLDINGS LTD COM G7496G103 4403 85400 SH SOLE 85400 RESEARCH IN MOTION LTD COM 760975102 523 12900 SH SOLE 12900 RUBIOS RESTAURANTS INC COM 78116B102 536 150000 SH SOLE 150000 SEAGATE TECHNOLOGY SHS G7945J104 46 10463 SH SOLE 10463 SEARS HLDGS CORP COM 812350106 925 23800 SH SOLE 23800 SERVICE CORP INTL COM 817565104 2237 450000 SH SOLE 450000 SHAW GROUP INC COM 820280105 4049 197800 SH SOLE 197800 SHIRE PLC SPONSORED ADR 82481R106 2493 55677 SH SOLE 55677 SOUTHWESTERN ENERGY CO COM 845467109 9560 330000 SH CALL SOLE 330000 SOUTHWESTERN ENERGY CO COM 845467109 49713 1716004 SH SOLE 1716004 SOVRAN SELF STORAGE INC COM 84610H108 497 13800 SH SOLE 13800 SPDR GOLD TRUST GOLD SHS 78463V107 24658 285000 SH CALL SOLE 285000 SPDR GOLD TRUST GOLD SHS 78463V107 152492 1762500 SH SOLE 1762500 SPDR SERIES TRUST SPDR KBW CAP ETF 78464A771 1045 39700 SH SOLE 39700 SPDR TR UNIT SER 1 78462F103 1218 13500 SH SOLE 13500 STAAR SURGICAL CO COM PAR $0.01 852312305 5011 2105500 SH SOLE 2105500 STERLING FINL CORP WASH COM 859319105 3520 400000 SH SOLE 400000
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 - ------------------------------------------------------------------------------------------------------------------------------------ SUNCOR ENERGY INC COM 867229106 1047 53700 SH SOLE 53700 SUPER MICRO COMPUTER INC COM 86800U104 2501 395078 SH SOLE 395078 SUPERIOR BANCORP COM NEW 86806M205 184 58000 SH SOLE 58000 SYMANTEC CORP COM 871503108 4451 329205 SH SOLE 329205 TALISMAN ENERGY INC COM 87425E103 2552 255400 SH SOLE 255400 TD AMERITRADE HLDG CORP COM 87236Y108 306 21500 SH SOLE 21500 TECHTEAM GLOBAL INC COM 878311109 146 25000 SH SOLE 25000 TENARIS S A SPONSORED ADR 88031M109 1263 60200 SH SOLE 60200 TIME WARNER INC COM 887317105 3612 359000 SH SOLE 359000 TIVO INC COM 888706108 975 235820 SH SOLE 235820 TORONTO DOMINION BK ONT COM NEW 891160509 251 7000 SH SOLE 7000 TRANSCEND SERVICES INC COM NEW 893929208 1157 115823 SH SOLE 115823 TRANSOCEAN INC NEW SHS G90073100 222 4705 SH SOLE 4705 VALIDUS HOLDINGS LTD COM SHS G9319H102 3155 120608 SH SOLE 120608 VAN KAMPEN SENIOR INCOME TR COM 920961109 223 87000 SH SOLE 87000 VERIFONE HLDGS INC COM 92342Y109 3430 700000 SH SOLE 700000 VICOR CORP COM 925815102 17259 2611000 SH SOLE 2611000 VISTAPRINT LIMITED SHS G93762204 527 28300 SH SOLE 28300 VIVUS INC COM 928551100 1058 198900 SH SOLE 198900 VONAGE HLDGS CORP COM 92886T201 128 193700 SH SOLE 193700 WACHOVIA CORP NEW COM 929903102 320 57800 SH SOLE 57800 WAL MART STORES INC COM 931142103 38126 680100 SH SOLE 680100 WENDYS ARBYS GROUP INC COM 950587105 847 171400 SH SOLE 171400 WESCO INTL INC COM 95082P105 1286 66900 SH SOLE 66900 XTO ENERGY INC COM 98385X106 58388 1655450 SH SOLE 1655450
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