-----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, MGJ0LyhdTjZw/ERL4poB5f8SrD0k7jo3Hh4gZKCkaf0VvMpWH7lTQ7OWuGz5SQEU LPmZvJiPJjszVQ//z0ZOYA== 0001085146-09-003250.txt : 20090814 0001085146-09-003250.hdr.sgml : 20090814 20090814160735 ACCESSION NUMBER: 0001085146-09-003250 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 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: 091015830 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 tric2q09tcm.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: 6/30/2009 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 August 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: 21 Form13F Information Table Value Total: $27,545 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AMERICAN EXPRESS CO COM 025816109 155 200000 SH PUT DEFINED 0 200000 0 0 AMERICAN MED ALERT CORP COM 027904101 1096 194638 SH DEFINED 0 194638 0 0 AMERICAN MED ALERT CORP COM 027904101 873 155062 SH DEFINED 1 155062 0 0 CATERPILLAR INC DEL COM 149123101 130 100000 SH PUT DEFINED 0 100000 0 0 CITIGROUP INC COM 172967101 42 700000 SH PUT DEFINED 0 700000 0 0 CYBERONICS INC COM 23251P102 3164 190232 SH DEFINED 0 190232 0 0 CYBERONICS INC COM 23251P102 911 54768 SH DEFINED 1 54768 0 0 E TRADE FINANCIAL CORP COM 269246104 4 20000 SH CALL DEFINED 0 20000 0 0 E TRADE FINANCIAL CORP COM 269246104 3 20000 SH PUT DEFINED 0 20000 0 0 GENERAL ELEC CO COM 369604103 359 510000 SH PUT DEFINED 0 510000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 341 20000 SH PUT DEFINED 0 20000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 558 70000 SH CALL DEFINED 0 70000 0 0 KROGER CO COM 501044101 3859 175000 SH DEFINED 0 175000 0 0 PFIZER INC COM 717081103 91 516800 SH PUT DEFINED 0 516800 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 8 400000 SH CALL DEFINED 0 400000 0 0 SPDR TR UNIT SER 1 78462F103 105 200000 SH PUT DEFINED 0 200000 0 0 TERRA INDS INC COM 880915103 3633 150000 SH DEFINED 0 150000 0 0 WELLS FARGO & CO NEW COM 949746101 85 100000 SH CALL DEFINED 0 100000 0 0 WELLS FARGO & CO NEW COM 949746101 577 23800 SH DEFINED 0 23800 0 0 WYETH COM 983024100 8624 190000 SH DEFINED 0 190000 0 0 WYETH COM 983024100 2927 516800 SH CALL DEFINED 0 516800 0 0
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