-----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, KCooS4TvDnGWIKhHcT2ptcVDetiMLOk/Gb+6lRNwJ33I7Ujqc1DTlJxEUooRIY6b rO3t2n8GA6xyNyhU2ClPxA== 0001085146-09-003296.txt : 20090818 0001085146-09-003296.hdr.sgml : 20090818 20090817175001 ACCESSION NUMBER: 0001085146-09-003296 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090818 DATE AS OF CHANGE: 20090817 EFFECTIVENESS DATE: 20090818 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13382 FILM NUMBER: 091020221 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/A 1 tricadiaa1_2q09.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: 06/30/2009 Check here if Amendment [ X]; Amendment Number: 1 This Amendment (Check only one.): [ X] 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 17, 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: 39 Form13F Information Table Value Total: $48,811 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AMERICAN APPAREL INC COM 023850100 522 143329 SH DEFINED 1 143329 0 0 AMERICAN APPAREL INC COM 023850100 6152 1690171 SH DEFINED 0 1690171 0 0 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 911 54768 SH DEFINED 1 54768 0 0 CYBERONICS INC COM 23251P102 3164 190232 SH DEFINED 0 190232 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 ELECTRIC CO COM 369604103 359 510000 SH PUT DEFINED 0 510000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 558 70000 SH CALL DEFINED 0 70000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 341 20000 SH PUT DEFINED 0 20000 0 0 HICKS ACQUISITION CO I INC COM 429086309 2398 250000 SH DEFINED 0 250000 0 0 KROGER CO COM 501044101 3859 175000 SH DEFINED 0 175000 0 0 LAS VEGAS SANDS CORP COM 517834107 1741 221490 SH DEFINED 0 221490 0 0 LAS VEGAS SANDS CORP COM 517834107 115 14610 SH DEFINED 1 14610 0 0 MOSYS INC COM 619718109 537 325303 SH DEFINED 1 325303 0 0 MOSYS INC COM 619718109 940 569546 SH DEFINED 0 569546 0 0 OUTDOOR CHANNEL HLDGS INC COM NEW 690027206 1469 249044 SH DEFINED 0 249044 0 0 OUTDOOR CHANNEL HLDGS INC COM NEW 690027206 210 35631 SH DEFINED 1 35631 0 0 PFIZER INC COM 717081103 91 516800 SH PUT DEFINED 0 516800 0 0 PREMIER EXIBITIONS INC COM 74051E102 1181 1639729 SH DEFINED 0 1639729 0 0 PREMIER EXIBITIONS INC COM 74051E102 325 451871 SH DEFINED 1 451871 0 0 RADNET INC COM 750491102 3316 1473632 SH DEFINED 0 1473632 0 0 RADNET INC COM 750491102 1406 624890 SH DEFINED 1 624890 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 8 400000 SH CALL DEFINED 0 400000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 30 200000 SH PUT DEFINED 0 200000 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 96 550000 SH PUT DEFINED 0 550000 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 TIME WARNER CABLE INC COM 88732J207 399 12604 SH DEFINED 0 12604 0 0 TIME WARNER CABLE INC COM 88732J207 399 12604 SH DEFINED 1 12604 0 0 UNITED STATES NATL GAS FUND UNIT 912318102 30 400000 SH CALL DEFINED 0 400000 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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