-----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, Mi3fN3ZAXXtvnk6lZvJkkZAAcFugz7ZaPff9v1Vh3Yz350vUSTFSBbWRzJv/nbPB U2n8/zVn3KeGM9xP64umlA== 0000950123-02-001511.txt : 20020414 0000950123-02-001511.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950123-02-001511 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RT CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001134797 IRS NUMBER: 134006978 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06259 FILM NUMBER: 02544307 BUSINESS ADDRESS: STREET 1: 153 EAST 53RD ST STREET 2: 48TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125087050 MAIL ADDRESS: STREET 1: 153 EAST 53RD ST STREET 2: 48TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 y57308e13f-hr.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F-HR Form 13F COVER PAGE Report for the Calendar Year of Quarter Ended: December 31, 2001 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: RT Capital Management, LLC Address: 153 East 53rd Street, 48th Floor New York, New York 10022 Form 13F File Number: 28-6259 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: David Rothschild Title: Managing Director Phone: (212) 508-7050 Signature, Place, and Date of Signing: /s/ David Rothschild New York, New York February 12, 2002 - ------------------------------------ ------------------- ---------------- [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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 13 ----------- Form 13F Information Table Value Total: $71,236 ----------- (thousands) List of Other Included Managers: None
- ------------------------------------------------------------------------------------------------------------------------------------ FORM 13F INFORMATION TABLE - RT CAPITAL MANAGEMENT, LLC (12/31/01) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ NAME OF ISSUER TITLE OF CLASS CUSIP MARKET SHARES SH PUT INVESTMENT MANA- SOLE SHARED NONE VALUE /PRN /PRN /CALL Discretion GERS (x 1000) AMT - ------------------------------------------------------------------------------------------------------------------------------------ CHECK POINT SOFTWARE TECH LTD ORD M22465104 5984 150000 SH SOLE 150000 - ------------------------------------------------------------------------------------------------------------------------------------ COMVERSE TECHNOLOGY INC COMMON PAR $0.10 205862402 2237 100000 SH SOLE 100000 - ------------------------------------------------------------------------------------------------------------------------------------ MERCURY INTERACTIVE CORP COMMON STOCK 589405109 10109 297500 SH SOLE 297500 - ------------------------------------------------------------------------------------------------------------------------------------ MULTILINK TECHNOLOGY CORP CLA 62544T109 5638 870000 SH SOLE 870000 - ------------------------------------------------------------------------------------------------------------------------------------ NEW FOCUS INC COMMON STOCK 644383101 969 254200 SH SOLE 254200 - ------------------------------------------------------------------------------------------------------------------------------------ OPENWAVE SYS INC COMMON STOCK 683718100 8860 905000 SH SOLE 905000 - ------------------------------------------------------------------------------------------------------------------------------------ AMX CORP NEW COMMON STOCK 00180C105 184 78900 SH SOLE 78900 - ------------------------------------------------------------------------------------------------------------------------------------ SIEBEL SYS INC COMMON STOCK 826170102 5596 200000 SH SOLE 200000 - ------------------------------------------------------------------------------------------------------------------------------------ TELLIUM INC COMMON STOCK 87967E107 9348 1500500 SH SOLE 1500500 - ------------------------------------------------------------------------------------------------------------------------------------ VERISIGN INC COMMON STOCK 92343E102 7037 185000 SH SOLE 185000 - ------------------------------------------------------------------------------------------------------------------------------------ VERITAS SOFTWARE CO COMMON STOCK 923436109 10826 241500 SH SOLE 241500 - ------------------------------------------------------------------------------------------------------------------------------------ MERCURY INTERACTIVE CORP SB NT CV144A07 589405AA7 2022 2500000 PRN SOLE 2500000 - ------------------------------------------------------------------------------------------------------------------------------------ MERCURY INTERACTIVE CORP SB NT CV4.75%07 589405AB5 2426 3000000 PRN SOLE 3000000 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
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