-----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, KmAdkU0k4uuLczIOZpZfN0SXo8xDIZcnYKD9eHs1u9B6Vx0UVYKrZwp4LuAhlCGL Q4nVe0ld/OlH+a7zBKzttA== 0001085146-09-002172.txt : 20090514 0001085146-09-002172.hdr.sgml : 20090514 20090513205023 ACCESSION NUMBER: 0001085146-09-002172 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090514 DATE AS OF CHANGE: 20090513 EFFECTIVENESS DATE: 20090514 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: 09824122 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 tric20090331tcm.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: 3/31/2009 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: 28-13382 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 May 13, 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: 52 Form13F Information Table Value Total: $54,030 (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 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 308 75000 SH PUT DEFINED 0 75000 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 352 13000 SH DEFINED 0 13000 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 98 75000 SH CALL DEFINED 0 75000 0 0 AMERICAN APPAREL INC COM 023850100 4935 1690171 SH DEFINED 0 1690171 0 0 AMERICAN APPAREL INC COM 023850100 419 143329 SH DEFINED 1 143329 0 0 AMERICAN EXPRESS CO COM 025816109 15 50000 SH PUT DEFINED 0 50000 0 0 AMERICAN MED ALERT CORP COM 027904101 987 194638 SH DEFINED 0 194638 0 0 AMERICAN MED ALERT CORP COM 027904101 786 155062 SH DEFINED 1 155062 0 0 ASSOCIATED BANC CORP COM 045487105 33 60000 SH CALL DEFINED 0 60000 0 0 BANK OF AMERICA CORPORATION COM 060505104 12 50000 SH PUT DEFINED 0 50000 0 0 BAUER EDDIE HLDGS INC COM 071625107 560 1332740 SH DEFINED 0 1332740 0 0 BAUER EDDIE HLDGS INC COM 071625107 32 77260 SH DEFINED 1 77260 0 0 BOEING CO COM 097023105 1619 45500 SH DEFINED 0 45500 0 0 BOEING CO COM 097023105 255 100000 SH PUT DEFINED 0 100000 0 0 COCA COLA CO COM 191216100 1319 30000 SH DEFINED 0 30000 0 0 CYBERONICS INC COM 23251P102 2524 190232 SH DEFINED 0 190232 0 0 CYBERONICS INC COM 23251P102 727 54768 SH DEFINED 1 54768 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 31 15000 SH PUT DEFINED 0 15000 0 0 HICKS ACQUISITION CO I INC COM 429086309 2355 250000 SH DEFINED 0 250000 0 0 INTEL CORP COM 458140100 1379 91600 SH DEFINED 0 91600 0 0 INTEL CORP COM 458140100 350 200000 SH PUT DEFINED 0 200000 0 0 ISHARES INC MSCI JAPAN 464286848 65 100000 SH CALL DEFINED 0 100000 0 0 ISHARES TR FTSE XNHUA IDX 464287184 395 100000 SH PUT DEFINED 0 100000 0 0 ISHARES TR FTSE XNHUA IDX 464287184 390 100000 SH CALL DEFINED 0 100000 0 0 ISHARES TR MSCI EMERG MKT 464287234 323 13000 SH DEFINED 0 13000 0 0 ISHARES TR MSCI EMERG MKT 464287234 62 99400 SH PUT DEFINED 0 99400 0 0 KOHLS CORP COM 500255104 43 50000 SH PUT DEFINED 0 50000 0 0 KOHLS CORP COM 500255104 213 5036 SH DEFINED 0 5036 0 0 LAS VEGAS SANDS CORP COM 517834107 75 100000 SH CALL DEFINED 0 100000 0 0 LAS VEGAS SANDS CORP COM 517834107 5964 1981490 SH DEFINED 0 1981490 0 0 LAS VEGAS SANDS CORP COM 517834107 44 14610 SH DEFINED 1 14610 0 0 MOSYS INC COM 619718109 1082 569546 SH DEFINED 0 569546 0 0 MOSYS INC COM 619718109 618 325303 SH DEFINED 1 325303 0 0 NOKIA CORP SPONSORED ADR 654902204 50 100000 SH PUT DEFINED 0 100000 0 0 NOKIA CORP SPONSORED ADR 654902204 362 31000 SH DEFINED 0 31000 0 0 OUTDOOR CHANNEL HLDGS INC COM NEW 690027206 1616 236941 SH DEFINED 0 236941 0 0 OUTDOOR CHANNEL HLDGS INC COM NEW 690027206 280 41073 SH DEFINED 1 41073 0 0 PEPSICO INC COM 713448108 2059 40000 SH DEFINED 0 40000 0 0 PREMIER EXIBITIONS INC COM 74051E102 1213 1639729 SH DEFINED 0 1639729 0 0 PREMIER EXIBITIONS INC COM 74051E102 334 451871 SH DEFINED 1 451871 0 0 RADNET INC COM 750491102 775 624890 SH DEFINED 1 624890 0 0 RADNET INC COM 750491102 1342 1082258 SH DEFINED 0 1082258 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 32 50000 SH CALL DEFINED 0 50000 0 0 SPDR TR UNIT SER 1 78462F103 6 20000 SH CALL DEFINED 0 20000 0 0 SPDR TR UNIT SER 1 78462F103 228 300000 SH PUT DEFINED 0 300000 0 0 SPDR TR UNIT SER 1 78462F103 5312 66800 SH DEFINED 0 66800 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 22 90000 SH PUT DEFINED 0 90000 0 0 TERRA INDS INC COM 880915103 702 25000 SH DEFINED 0 25000 0 0 TIME WARNER CABLE INC COM 88732J207 313 12604 SH DEFINED 0 12604 0 0 TIME WARNER CABLE INC COM 88732J207 313 12604 SH DEFINED 1 12604 0 0 WELLS FARGO & CO NEW COM 949746101 28 35000 SH PUT DEFINED 0 35000 0 0 XL CAP LTD CL A G98255105 10673 1954749 SH DEFINED 0 1954749 0 0
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