0001172661-12-001039.txt : 20121024 0001172661-12-001039.hdr.sgml : 20121024 20121024123956 ACCESSION NUMBER: 0001172661-12-001039 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121024 DATE AS OF CHANGE: 20121024 EFFECTIVENESS DATE: 20121024 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Regiment Capital Management LLC CENTRAL INDEX KEY: 0001344703 IRS NUMBER: 043411614 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11560 FILM NUMBER: 121157987 BUSINESS ADDRESS: STREET 1: 222 BERKELEY STREET STREET 2: 12TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-488-1600 MAIL ADDRESS: STREET 1: 222 BERKELEY STREET STREET 2: 12TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 13F-HR 1 regiment3q12.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 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: Regiment Capital Management, LLC Address: 222 Berkeley Street 12th Floor Boston, MA 02116 13F File Number: 028-11560 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: Marc Volpe Title: Chief Compliance Officer Phone: 617-488-1600 Signature, Place, and Date of Signing: /s/ Marc Volpe Boston, MA October 24, 2012 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 Form 13F Information Table Entry Total: 18 Form 13F Information Table Value Total: $458,913 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- BP PLC SPONSORED ADR 055622104 63540 1500000 SH CALL SOLE 1500000 0 0 DISH NETWORK CORP CL A 25470M109 24085 786833 SH SOLE 786833 0 0 DISH NETWORK CORP CL A 25470M109 116153 3794600 SH CALL SOLE 3794600 0 0 ECHOSTAR CORP CL A 278768106 4511 157386 SH SOLE 157386 0 0 EXCO RESOURCES INC COM 269279402 3979 496693 SH SOLE 496693 0 0 FASTENAL CO COM 311900104 64201 1493400 SH PUT SOLE 1493400 0 0 FLAGSTAR BANCORP INC COM NEW 337930507 20477 1861544 SH SOLE 1861544 0 0 FOSTER WHEELER AG COM H27178104 20186 842500 SH CALL SOLE 842500 0 0 FTI CONSULTING INC COM 302941109 4273 160147 SH SOLE 160147 0 0 GENERAL MTRS CO COM 37045V100 18200 800000 SH SOLE 800000 0 0 HUNTSMAN CORP COM 447011107 23888 1600000 SH CALL SOLE 1600000 0 0 LIVE NATION ENTERTAINMENT IN NOTE 2.875% 7/1 538034AB5 981 1000000 PRN SOLE 1000000 0 0 MUELLER WTR PRODS INC COM SER A 624758108 12250 2500000 SH SOLE 2500000 0 0 NAVIOS MARITIME HOLDINGS INC COM Y62196103 12931 3591981 SH SOLE 3591981 0 0 NRG ENERGY INC COM NEW 629377508 2727 127500 SH SOLE 127500 0 0 PROSHARES TR REAL EST NEW 11 74348A871 2032 79666 SH SOLE 79666 0 0 VALERO ENERGY CORP NEW COM 91913Y100 24641 777800 SH CALL SOLE 7778 0 0 WALGREEN CO COM 931422109 39858 1093800 SH CALL SOLE 1093800 0 0