-----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, F3425zS86n+gFRtw0kFuV91zwoScmeAz+UD9J9LMkLtHEBnqJfzd3q2w7VJ0AqV9 wuwnA1ZgxFuTiqpWEfp+sg== 0001085146-09-000968.txt : 20090213 0001085146-09-000968.hdr.sgml : 20090213 20090213112302 ACCESSION NUMBER: 0001085146-09-000968 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090213 DATE AS OF CHANGE: 20090213 EFFECTIVENESS DATE: 20090213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Tricadia Capital Management, LLC CENTRAL INDEX KEY: 0001455452 IRS NUMBER: 202605420 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13382 FILM NUMBER: 09599564 BUSINESS ADDRESS: STREET 1: 780 THIRD AVENUE STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 646-388-5900 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 tricadia4q2008.txt TRICADIA 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: 12/31/2008 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: Tricadia Capital Management, LLC Address: 780 Third Avenue 29th Floor New York, New York 10017 13F File Number: 28-NEW 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: James McKee Title: General Counsel & Chief Compliance Officer Phone: 646-388-5900 Signature, Place, and Date of Signing: /s/ James McKee New York, New York February 12, 2009 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: 1 Form13F Information Table Entry Total: 49 Form13F Information Table Value Total: $118,993 (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. No. 13F File Number Name 1. 28-11231 Mariner Investment Group, LLC 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AIR TRANSPORT SERVICES GRP I COM 00922R105 20 110684 SH DEFINED 1 110684 0 0 AIR TRANSPORT SERVICES GRP I COM 00922R105 179 996154 SH DEFINED 0 996154 0 0 AMERICAN APPAREL INC COM 023850100 3363 1690171 SH DEFINED 0 1690171 0 0 AMERICAN APPAREL INC COM 023850100 285 143329 SH DEFINED 1 143329 0 0 AMERICAN MED ALERT CORP COM 027904101 930 194638 SH DEFINED 0 194638 0 0 AMERICAN MED ALERT CORP COM 027904101 741 155062 SH DEFINED 1 155062 0 0 BANK OF AMERICA CORPORATION COM 060505104 1 108800 SH CALL DEFINED 0 108800 0 0 BANK OF AMERICA CORPORATION COM 060505104 0 19200 SH CALL DEFINED 1 19200 0 0 BANK OF AMERICA CORPORATION COM 060505104 39 42600 SH PUT DEFINED 0 42600 0 0 BAUER EDDIE HLDGS INC COM 071625107 450 882740 SH DEFINED 0 882740 0 0 BAUER EDDIE HLDGS INC COM 071625107 39 77260 SH DEFINED 1 77260 0 0 BEST BUY INC COM 086516101 3 12900 SH PUT DEFINED 0 12900 0 0 CITIGROUP INC COM 172967101 13420 2000000 SH DEFINED 0 2000000 0 0 COMPANHIA VALE DO RIO DOCE SPONSORED ADR 204412209 12110 1000000 SH DEFINED 0 1000000 0 0 CONOCOPHILLIPS COM 20825C104 1285 24800 SH DEFINED 0 24800 0 0 CYBERONICS INC COM 23251P102 3152 190232 SH DEFINED 0 190232 0 0 CYBERONICS INC COM 23251P102 908 54768 SH DEFINED 1 54768 0 0 EXXON MOBIL CORP COM 30231G102 218 50000 SH CALL DEFINED 0 50000 0 0 FOSTER WHEELER LTD SHS NEW G36535139 2572 110000 SH DEFINED 0 110000 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 12220 500000 SH DEFINED 0 500000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 8439 100000 SH DEFINED 0 100000 0 0 HICKS ACQUISITION CO I INC COM 429086309 2288 250000 SH DEFINED 0 250000 0 0 ISHARES TR RUSSELL 2000 464287655 246 5000 SH DEFINED 0 5000 0 0 ISHARES TR RUSSELL 2000 464287655 41 50000 SH PUT DEFINED 0 50000 0 0 JPMORGAN & CHASE & CO COM 46625H100 9459 300000 SH DEFINED 0 300000 0 0 LAS VEGAS SANDS CORP COM 517834107 5731 966490 SH DEFINED 0 966490 0 0 LAS VEGAS SANDS CORP COM 517834107 176 29610 SH DEFINED 1 29610 0 0 MORGAN STANLEY COM NEW 617446448 12030 750000 SH DEFINED 0 750000 0 0 MOSYS INC COM 619718109 1196 569546 SH DEFINED 0 569546 0 0 MOSYS INC COM 619718109 683 325303 SH DEFINED 1 325303 0 0 OUTDOOR CHANNEL HLDGS INC COM NEW 690027206 1757 234531 SH DEFINED 0 234531 0 0 OUTDOOR CHANNEL HLDGS INC COM NEW 690027206 430 57469 SH DEFINED 1 57469 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 1482 16660 SH DEFINED 0 16660 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 262 2940 SH DEFINED 1 2940 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 215 3000 SH PUT DEFINED 1 3000 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 1217 17000 SH PUT DEFINED 0 17000 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 1 17000 SH CALL DEFINED 0 17000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 5 100000 SH CALL DEFINED 0 100000 0 0 PREMIER EXIBITIONS INC COM 74051E102 1804 1639729 SH DEFINED 0 1639729 0 0 PREMIER EXIBITIONS INC COM 74051E102 497 451871 SH DEFINED 1 451871 0 0 RADNET INC COM 750491102 3626 1082258 SH DEFINED 0 1082258 0 0 RADNET INC COM 750491102 2093 624890 SH DEFINED 1 624890 0 0 RETAIL HOLDRS TR DEP RCPT 76127U101 3 13900 SH CALL DEFINED 0 13900 0 0 RETAIL HOLDRS TR DEP RCPT 76127U101 811 10795 SH DEFINED 0 10795 0 0 RETAIL HOLDRS TR DEP RCPT 76127U101 34 42500 SH PUT DEFINED 0 42500 0 0 TIME WARNER CABLE INC CL A 88732J108 811 37812 SH DEFINED 0 37812 0 0 TIME WARNER CABLE INC CL A 88732J108 811 37812 SH DEFINED 1 37812 0 0 UBS AG SHS NEW H89231338 7210 504200 SH DEFINED 0 504200 0 0 XL CAP LTD CL A G98255105 3700 1000000 SH DEFINED 0 1000000 0 0
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