13F-HR 1 f13hr_093010-rrhcapmgmt.txt FORM 13F-HR FOR ROARKE REARDEN & HAMOT CAPITAL MANAGEMENT, LLC 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, 2010 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: Roark, Rearden & Hamot Capital Management, LLC* Address: 222 Berkeley Street, 17th Floor Boston, MA 02116 Form 13F File Number: 28-11722 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: Seth W. Hamot Title: Managing member Phone: (617) 595-4400 Signature, Place, and Date of Signing: /s/ Seth W. Hamot Boston, MA November 15, 2010 --------------------- --------------------- --------------------------- * Roark, Rearden & Hamot Capital Management, LLC is the management company to Costa Brava Partnership III L.P. Seth W. Hamot is the managing member of Roark, Rearden & Hamot Capital Management, LLC. 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: 3 Form 13F Information Table Entry Total: 41 Form 13F Information Table Value Total: $134,239 (thousands) List of Other Included Managers: 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. No. Form 13F File Number Name 1 28-11734 Costa Brava Partnership III L.P. 2 28-11736 Roark, Rearden & Hamot, LLC 3 28-11733 Seth W. Hamot Costa Brava Partnership III L.P. Form 13F Information Table as of 9/30/2010 Shares Market Voting Authority Title of or PRN Value Investment Other Name of Issuer Class CUSIP Amount Long x1000 Discretion Managers Sole Shared None AEROPOSTALE COM '007865108 127500 2,964 127500 AEROPOSTALE CALL 007865908 600 189 600 ANN TAYLOR STORES CORP COM '036115103 25000 506 25000 ARBOR RLTY TR INC COM '038923108 581317 2,930 581317 JOHNSON & JOHNSON CALL 478160904 4 1 4 MICROSOFT CORP CALL 594918904 2000 232 2000 COMBIMATRIX CORPORATION COM 20009T105 58377 131 58377 CONEXANT SYSTEMS INC COM NEW 207142308 1300000 2,132 1300000 COTT CORP QUE COM 22163N106 500000 3,927 500000 DG FASTCHANNEL INC COM 23326R109 50000 1,088 50000 DIREXION SHS ETF TR CHINA BEAR 3X 25459W763 25000 499 25000 DJSP ENTERPRISES INCORPORATE *W EXP 08/11/201 G7982P120 473000 341 473000 DJSP ENTERPRISES INCORPORATE SHS G7982P104 1736450 6,095 1736450 ENERGY PARTNERS LTD COM NEW 29270U303 509066 6,114 509066 ENZON PHARMACEUTICALS INC COM 293904108 250000 2,811 250000 HARVARD BIOSCIENCE INC COM 416906105 599800 2,279 599800 INCONTACT INC COM 45336E109 113300 263 113300 INDIA GLOBALIZATION CAP INC COM 45408X100 303550 358 303550 IRIDIUM COMMUNICATIONS INC COM 46269C102 324950 2,775 324950 KANDI TECHNOLGIES CORP COM 483709101 400000 1,688 400000 KID BRANDS INC COM 49375T100 12500 108 12500 KIT DIGITAL INC COM NEW 482470200 525000 6,295 525000 KKR FINANCIAL HLDGS LLC COM 48248A306 145600 1,278 145600 LIBERTY ACQUISITION HLDGS CO COM 53015Y115 695600 1,134 695600 MAXYGEN INC COM 577776107 320442 1,855 320442 MDS INC COM 55269P302 118609 1,196 118609 MEDQUIST INC COM 584949101 2428272 21,272 2428272 MIDDLEBY CORP COM 596278101 10000 634 10000 NABI BIOPHARMACEUTICALS COM 629519109 2528744 12,138 2528744 NEW YORK & CO INC COM 649295102 140000 360 140000 NEWCASTLE INVT CORP COM 65105M108 1781700 5,523 1781700 NOVELL INC COM 670006105 200000 1,194 200000 OVERHILL FARMS INC COM 690212105 63428 291 63428 PLANAR SYS INC COM 726900103 1018332 2,322 1018332 PMI GROUP INC COM 69344M101 50000 184 50000 POPULAR INC COM 733174106 750000 2,175 750000 QLT INC COM 746927102 2634644 16,572 2634644 RADIAN GROUP INC COM 750236101 1050000 8,211 1050000 TECHTEAM GLOBAL INC COM 878311109 1319274 9,169 1319274 TPC GROUP INC COM 89236Y104 150827 3,593 150827 ULTRALIFE CORP COM 903899102 325000 1,414 325000