-----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, Ii8qmrpnCEmFWNdaBG/ucuE4x52YiRE9B/QpkwLUeSIdy33OMp8fOaVDjrJdZtXh Bp/JZ5fm/jRfFF9e6ihYnQ== 0001019056-07-000166.txt : 20070214 0001019056-07-000166.hdr.sgml : 20070214 20070214135340 ACCESSION NUMBER: 0001019056-07-000166 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 EFFECTIVENESS DATE: 20070214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Roark Rearden & Hamot Capital Management LLC CENTRAL INDEX KEY: 0001353180 IRS NUMBER: 100000708 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11722 FILM NUMBER: 07617811 BUSINESS ADDRESS: STREET 1: 420 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617 595 4400 MAIL ADDRESS: STREET 1: 420 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 13F-HR 1 rrhcapmgt_13fhr.txt 13F-HR 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, 2006 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: 420 Boylston Street 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 February 14, 2007 - ------------------------ ------------------ ----------------------- * 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: 25 Form 13F Information Table Value Total: $138,875 (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 12/31/2006 Title of Market Value Shares / SH/ PUT/ Investment Other Voting Authority Name of Issuer Class Cusip (x$1000) PRN Amount PRN CALL Discretion Managers Sole Shares None - --------------------------- -------- --------- ----------- ---------- --- ----- ---------- -------- ---- ------ ---- BALDWIN TECHNOLOGY INC CL A 058264102 3,028 605,590 SH Sole X BRADLEY PHARMACEUTICALS INC COM 104576103 33,498 1,627,700 SH Sole X CAVCO INDS INC DEL COM 149568107 584 16,667 SH Sole X CCA INDS INC COM 124867102 5,770 500,000 SH Sole X CF INDS HOLDINGS INC COM 125269100 513 20,000 SH Sole X COMPUTER HORIZONS CORP COM 205908106 3,616 800,000 SH Sole X DG FASTCHANNEL INC COM 23326R109 13,495 1,001,089 SH Sole X GLOBAL-TECH APPLIANCES INC ORD G39320109 1,018 370,200 SH Sole X I-MANY INC COM 44973Q103 1,273 771,638 SH Sole X MATRIXX INITIATIVES INC COM 57685L105 2,582 162,092 SH Sole X MESA AIR GROUP INC COM 590479101 5,027 586,594 SH Sole X NEVADA GOLD & CASINOS INC COM NEW 64126Q206 3,152 831,602 SH Sole X OCWEN FINANCIAL CORP COM NEW 675746309 16,750 1,056,100 SH Sole X OCWEN FINANCIAL CORP COM NEW 675746309 4,758 300,000 CALL Sole X OPTIMAL GROUP INC CL A NEW 68388R208 9,942 1,044,300 SH Sole X OPTIMAL GROUP INC CL A NEW 68388R208 5,731 602,000 CALL Sole X ORANGE 21 INC COM 685317109 3,450 699,897 SH Sole X PECO II INC COM 705221109 1,576 1,608,639 SH Sole X PINNACLE AIRL CORP COM 723443107 2,595 154,000 SH Sole X QLT INC COM 746927102 635 75,000 SH Sole X TECHTEAM GLOBAL INC COM 878311109 13,524 1,202,094 SH Sole X TERRA INDS INC COM 880915103 1,289 107,600 SH Sole X TRANSCEND SERVICES INC COM NEW 893929208 189 52,610 SH Sole X TUCOWS INC COM 898697107 2,043 2,403,900 SH Sole X UNIFI INC COM 904677101 2,838 1,158,400 SH Sole X
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