0000919574-11-006353.txt : 20111114 0000919574-11-006353.hdr.sgml : 20111111 20111114161525 ACCESSION NUMBER: 0000919574-11-006353 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AXIAL CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001351143 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11699 FILM NUMBER: 111202698 BUSINESS ADDRESS: STREET 1: 101 PARK AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10178 BUSINESS PHONE: 212-984-2100 MAIL ADDRESS: STREET 1: 101 PARK AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10178 13F-HR 1 d1241938_13f-hr.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: September 30, 2011 Check here if Amendment: |_|; Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Axial Capital Management LLC Address: 101 Park Avenue, 20th Floor New York, New York 10178 13F File Number: 28-11699 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: Eliav Assouline Title: Managing Member Phone: (212) 984-2100 Signature, Place and Date of Signing: /s/ Eliav Assouline New York, New York November 14, 2011 -------------------- ------------------------ ------------------- [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 managers(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: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 60 Form 13F Information Table Value Total: $1,482,635 (thousands) List of Other Included Managers: Form 13F File Number Name (1) 28-11700 Axial Capital, LP (2) 28-14501 Axial Capital Master, L.P. FORM 13F INFORMATION TABLE Axial Capital Management LLC September 30, 2011
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MNGRS SOLE SHARED NONE APOLLO GROUP INC CL A 037604105 26,198 661,400 PUT SHARED/DEFINED 1,2 661,400 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 15,394 231,700 PUT SHARED/DEFINED 1,2 231,700 0 0 BRIDGEPOINT ED INC COM 10807M105 637 36,505 SH SHARED/DEFINED 1,2 36,505 0 0 BRIDGEPOINT ED INC COM 10807M105 7,140 409,400 PUT SHARED/DEFINED 1,2 409,400 0 0 CAPELLA EDUCATION COMPANY COM 139594105 1,022 36,000 PUT SHARED/DEFINED 1,2 36,000 0 0 CAREER EDUCATION CORP COM 141665109 7,178 550,000 PUT SHARED/DEFINED 1,2 550,000 0 0 CATERPILLAR INC DEL COM 149123101 16,178 219,100 PUT SHARED/DEFINED 1,2 219,100 0 0 COMCAST CORP NEW CL A SPL 20030N200 62,278 3,005,718 SH SHARED/DEFINED 1,2 3,005,718 0 0 COVANTA HLDG CORP COM 22282E102 63,679 4,192,170 SH SHARED/DEFINED 1,2 4,192,170 0 0 CUMMINS INC COM 231021106 20,203 247,400 PUT SHARED/DEFINED 1,2 247,400 0 0 DIGITAL RLTY TR INC COM 253868103 9,785 177,400 PUT SHARED/DEFINED 1,2 177,400 0 0 EDUCATION MGMT CORP NEW COM 28140M103 283 19,100 PUT SHARED/DEFINED 1,2 19,100 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 6,089 452,021 SH SHARED/DEFINED 1,2 452,021 0 0 FASTENAL CO COM 311900104 14,587 438,300 PUT SHARED/DEFINED 1,2 438,300 0 0 FIRST SOLAR INC COM 336433107 588 9,302 SH SHARED/DEFINED 1,2 9,302 0 0 GOOGLE INC CL A 38259P508 15,080 29,279 SH SHARED/DEFINED 1,2 29,279 0 0 GRAINGER W W INC COM 384802104 27,575 184,400 PUT SHARED/DEFINED 1,2 184,400 0 0 HCP INC COM 40414L109 17,867 509,600 PUT SHARED/DEFINED 1,2 509,600 0 0 HEALTH CARE REIT INC COM 42217K106 21,472 458,800 PUT SHARED/DEFINED 1,2 458,800 0 0 ISHARES TR DJ US REAL EST 464287739 14,160 280,000 SH SHARED/DEFINED 1,2 280,000 0 0 ISHARES TR MSCI GERMAN 464286806 14,413 788,915 SH SHARED/DEFINED 1,2 788,915 0 0 ISHARES TR MSCI HONG KONG 464286871 143 9,945 SH SHARED/DEFINED 1,2 9,945 0 0 ISHARES TR MSCI JAPAN 464286848 19,990 2,113,157 SH SHARED/DEFINED 1,2 2,113,157 0 0 ISHARES TR MSCI S KOREA 464286772 10,912 234,313 SH SHARED/DEFINED 1,2 234,313 0 0 ISHARES TR MSCI TAIWAN 464286731 11,487 972,667 SH SHARED/DEFINED 1,2 972,667 0 0 ISHARES TR MSCI UTD KINGD 464286699 2,464 166,812 SH SHARED/DEFINED 1,2 166,812 0 0 ISHARES TR RUSSELL 2000 464287655 150,012 2,333,002 SH SHARED/DEFINED 1,2 2,333,002 0 0 ITT EDUCATIONAL SERVICES INC COM 45068B109 2,209 38,360 SH SHARED/DEFINED 1,2 38,360 0 0 ITT EDUCATIONAL SERVICES INC COM 45068B109 16,773 291,300 PUT SHARED/DEFINED 1,2 291,300 0 0 JOY GLOBAL INC COM 481165108 22,089 354,100 PUT SHARED/DEFINED 1,2 354,100 0 0 LAS VEGAS SANDS CORP COM 517834107 44,402 1,158,100 PUT SHARED/DEFINED 1,2 1,158,100 0 0 LIBERTY GLOBAL INC COM SER A 530555101 13,784 380,985 SH SHARED/DEFINED 1,2 380,985 0 0 LKQ CORP COM 501889208 30,196 1,249,830 SH SHARED/DEFINED 1,2 1,249,830 0 0 LOEWS CORP COM 540424108 6,453 186,770 SH SHARED/DEFINED 1,2 186,770 0 0 MACQUARIE INFRASTR CO LLC MEMBERSHIP INT 55608B105 34,168 1,522,648 SH SHARED/DEFINED 1,2 1,522,648 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 2,997 54,305 SH SHARED/DEFINED 1,2 54,305 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 2,592 92,080 SH SHARED/DEFINED 1,2 92,080 0 0 MEDNAX INC COM 58502B106 2,863 45,700 PUT SHARED/DEFINED 1,2 45,700 0 0 MINDRAY MEDICAL INTL LTD SPON ADR 602675100 2,210 93,600 PUT SHARED/DEFINED 1,2 93,600 0 0 NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 9,344 406,800 PUT SHARED/DEFINED 1,2 406,800 0 0 OMNIVISION TECHNOLOGIES INC COM 682128103 789 56,200 PUT SHARED/DEFINED 1,2 56,200 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 12,764 243,176 SH SHARED/DEFINED 1,2 243,176 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 40,026 1,794,502 SH SHARED/DEFINED 1,2 1,794,502 0 0 PROLOGIS INC COM 74340W103 4,469 184,300 PUT SHARED/DEFINED 1,2 184,300 0 0 QLT INC COM 746927102 64,803 8,865,036 SH SHARED/DEFINED 1,2 8,865,036 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 18,961 648,900 PUT SHARED/DEFINED 1,2 648,900 0 0 SEMGROUP CORP CL A 81663A105 12,551 628,823 SH SHARED/DEFINED 1,2 628,823 0 0 SODASTREAM INTERNATIONAL LTD USD SHS M9068E105 9,915 300,000 SH SHARED/DEFINED 1,2 300,000 0 0 SOHU COM INC COM 83408W103 8,594 178,300 PUT SHARED/DEFINED 1,2 178,300 0 0 SOLARWINDS INC COM 83416B109 3,469 157,519 SH SHARED/DEFINED 1,2 157,519 0 0 SOUFUN HLDGS LTD ADR 836034108 509 50,000 SH SHARED/DEFINED 1,2 50,000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 501,125 4,428,853 SH SHARED/DEFINED 1,2 4,428,853 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 25,883 560,000 PUT SHARED/DEFINED 1,2 560,000 0 0 STRAYER ED INC COM 863236105 1,510 19,700 PUT SHARED/DEFINED 1,2 19,700 0 0 TREEHOUSE FOODS INC COM 89469A104 322 5,200 PUT SHARED/DEFINED 1,2 5,200 0 0 VALASSIS COMMUNICATIONS INC COM 918866104 4,543 242,400 PUT SHARED/DEFINED 1,2 242,400 0 0 VENTAS INC COM 92276F100 13,462 272,500 PUT SHARED/DEFINED 1,2 272,500 0 0 VIRGIN MEDIA INC COM 92769L101 3,965 162,840 SH SHARED/DEFINED 1,2 162,840 0 0 VISTAPRINT N V SHS N93540107 6,468 239,300 PUT SHARED/DEFINED 1,2 239,300 0 0 YAHOO INC COM 984332106 1,614 122,558 SH SHARED/DEFINED 1,2 122,558 0 0
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