0001426665-17-000003.txt : 20170210
0001426665-17-000003.hdr.sgml : 20170210
20170210101807
ACCESSION NUMBER: 0001426665-17-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170210
DATE AS OF CHANGE: 20170210
EFFECTIVENESS DATE: 20170210
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Algebris Investments (UK) LLP
CENTRAL INDEX KEY: 0001426665
IRS NUMBER: 000000000
STATE OF INCORPORATION: X0
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12922
FILM NUMBER: 17590308
BUSINESS ADDRESS:
STREET 1: 7 CLIFFORD STREET
CITY: LONDON
STATE: X0
ZIP: W1S 2FT
BUSINESS PHONE: 44-0-207-851-1740
MAIL ADDRESS:
STREET 1: 7 CLIFFORD STREET
CITY: LONDON
STATE: X0
ZIP: W1S 2FT
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001426665
XXXXXXXX
12-31-2016
12-31-2016
false
Algebris Investments (UK) LLP
7 Clifford Street
London
X0
W1S 2FT
13F HOLDINGS REPORT
028-12922
N
Peter Butler
Head of Compliance
44-20-7851-1759
/s/ Peter Butler
London
X0
02-10-2017
0
72
626897
false
INFORMATION TABLE
2
Form13fInfoTable.xml
SKYWORKS SOLUTIONS INC
COM
83088M102
485
6500
SH
Put
SOLE
0
0
0
BANCO BILBAO VIZCAYA ARGENTA
SPONSORED ADR
05946K101
1882
278000
SH
SOLE
278000
0
0
BANC OF CALIFORNIA INC
COM
05990K106
867
50000
SH
Put
SOLE
0
0
0
BANK AMER CORP
COM
060505104
7533
340838
SH
SOLE
340838
0
0
BANK AMER CORP
COM
060505104
1989
90000
SH
Call
SOLE
0
0
0
BARCLAYS PLC
NOTE 8.250%12/3
06738EAA3
30065
28800000
PRN
SOLE
28800000
0
0
BARCLAYS PLC
NOTE 6.625%12/3
06738EAB1
10784
11500000
PRN
SOLE
11500000
0
0
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
9708
359150
SH
SOLE
359150
0
0
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
2703
100000
SH
Call
SOLE
0
0
0
CNO FINL GROUP INC
COM
12621E103
2700
141007
SH
SOLE
141007
0
0
CDN IMPERIAL BK COMM TORONTO
COM
136069101
4894
60000
SH
Put
SOLE
0
0
0
AFLAC INC
COM
001055102
255
3662
SH
SOLE
3662
0
0
CAPITAL ONE FINL CORP
COM
14040H105
1674
19194
SH
SOLE
19194
0
0
CARLYLE GROUP L P
COM UTS LTD PTN
14309L102
3763
246753
SH
SOLE
246753
0
0
CITIGROUP INC
COM NEW
172967424
7788
131038
SH
SOLE
131038
0
0
COHEN & STEERS INC
COM
19247A100
2763
82228
SH
SOLE
82228
0
0
COMERICA INC
COM
200340107
2043
30000
SH
Put
SOLE
0
0
0
D R HORTON INC
COM
23331A109
2005
73350
SH
SOLE
73350
0
0
DISCOVER FINL SVCS
COM
254709108
5104
70800
SH
SOLE
70800
0
0
FIFTH THIRD BANCORP
COM
316773100
258
9582
SH
SOLE
9582
0
0
FORTRESS INVESTMENT GROUP LL
CL A
34958B106
5129
1055297
SH
SOLE
1055297
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
262
1094
SH
SOLE
1094
0
0
AFFILIATED MANAGERS GROUP
COM
008252108
2950
20300
SH
SOLE
20300
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
2394
10000
SH
Put
SOLE
0
0
0
HSBC HLDGS PLC
NOTE 6.875%12/3
404280BC2
85961
81400000
PRN
SOLE
81400000
0
0
HUNTINGTON BANCSHARES INC
COM
446150104
1046
79100
SH
SOLE
79100
0
0
ING GROEP N V
DBCV 6.000%12/3
456837AE3
2196
2250000
PRN
SOLE
2250000
0
0
ING GROEP N V
DBCV 6.500%12/3
456837AF0
33451
34750000
PRN
SOLE
34750000
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
5952
170000
SH
Put
SOLE
0
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
20656
590000
SH
Call
SOLE
0
0
0
KKR & CO L P DEL
COM UNITS
48248M102
4179
271550
SH
SOLE
271550
0
0
KEYCORP NEW
COM
493267108
258
14125
SH
SOLE
14125
0
0
LEGG MASON INC
COM
524901105
10113
338100
SH
SOLE
338100
0
0
ALLY FINL INC
COM
02005N100
2595
136450
SH
SOLE
136450
0
0
LENNAR CORP
CL A
526057104
713
16600
SH
SOLE
16600
0
0
LINCOLN NATL CORP IND
COM
534187109
255
3846
SH
SOLE
3846
0
0
M & T BK CORP
COM
55261F104
265
1697
SH
SOLE
1697
0
0
MANULIFE FINL CORP
COM
56501R106
4106
230700
SH
SOLE
230700
0
0
METLIFE INC
COM
59156R108
2448
45421
SH
SOLE
45421
0
0
MORGAN STANLEY
COM NEW
617446448
251
5939
SH
SOLE
5939
0
0
NUVEEN PFD INCOME OPPRTNY FD
COM
67073B106
1601
162731
SH
SOLE
162731
0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
2955
78800
SH
SOLE
78800
0
0
PENNYMAC CORP
NOTE 5.375% 5/0
70932AAB9
16517
16997000
PRN
SOLE
16997000
0
0
PRUDENTIAL FINL INC
COM
744320102
3413
32794
SH
SOLE
32794
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
980
15000
SH
SOLE
15000
0
0
REGIONS FINL CORP NEW
COM
7591EP100
256
17832
SH
SOLE
17832
0
0
ROYAL BK SCOTLAND GROUP PLC
SP ADR PREF S
780097739
19204
766641
SH
SOLE
766641
0
0
ROYAL BK SCOTLAND GROUP PLC
NOTE 8.625%12/3
780097BB6
94262
92950000
PRN
SOLE
92950000
0
0
ROYAL BK OF SCOTLAND PLC
DEBT 7.500%12/3
780099CJ4
44387
46800000
PRN
SOLE
46800000
0
0
ROYAL BK OF SCOTLAND PLC
NOTE 8.000%12/3
780099CK1
32869
34200000
PRN
SOLE
34200000
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
4001
36500
SH
Call
SOLE
0
0
0
SPDR SERIES TRUST
S&P REGL BKG
78464A698
23923
430500
SH
Put
SOLE
0
0
0
SANTANDER CONSUMER USA HDG I
COM
80283M101
2287
169400
SH
SOLE
169400
0
0
SELECT SECTOR SPDR TR
SBI CONS STPLS
81369Y308
5171
100000
SH
Put
SOLE
0
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
15229
655000
SH
Put
SOLE
0
0
0
AMERIPRISE FINL INC
COM
03076C106
6976
62881
SH
SOLE
62881
0
0
STATE STR CORP
COM
857477103
245
3158
SH
SOLE
3158
0
0
TCF FINL CORP
COM
872275102
1685
86020
SH
SOLE
86020
0
0
TWITTER INC
COM
90184L102
611
37500
SH
Call
SOLE
0
0
0
US BANCORP DEL
COM NEW
902973304
255
4958
SH
SOLE
4958
0
0
UNUM GROUP
COM
91529Y106
256
5831
SH
SOLE
5831
0
0
VIRTU FINL INC
CL A
928254101
784
49150
SH
SOLE
49150
0
0
VOYA FINL INC
COM
929089100
5006
127650
SH
SOLE
127650
0
0
WELLS FARGO & CO NEW
COM
949746101
12612
228848
SH
SOLE
228848
0
0
WELLS FARGO & CO NEW
*W EXP 10/28/201
949746804
4760
4000
SH
SOLE
4000
0
0
ZIONS BANCORPORATION
COM
989701107
265
6165
SH
SOLE
6165
0
0
APOLLO GLOBAL MGMT LLC
CL A SHS
037612306
4001
206640
SH
SOLE
206640
0
0
SOCIETE GENERALE
DEBT 8.250%12/3
F849BQAA2
31892
30590000
PRN
SOLE
30590000
0
0
INVESCO LTD
SHS
G491BT108
1711
56400
SH
SOLE
56400
0
0
ASTORIA FINL CORP
COM
046265104
2596
139200
SH
SOLE
139200
0
0
BB&T CORP
COM
054937107
258
5491
SH
SOLE
5491
0
0
AGNC INVT CORP
COM
00123Q104
1487
82000
SH
SOLE
82000
0
0