13F-HR 1 tricadiacapital3q2011.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: 09/30/2011 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: 028-13382 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, NY November 14, 2011 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 Form 13F Information Table Entry Total: 34 Form 13F Information Table Value Total: $163,404 (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 028-11231 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- BANK OF AMERICA CORPORATION COM 060505104 3482 2040000 SH PUT DEFINED 0 2040000 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 4444 282500 SH DEFINED 0 282500 0 CENTRAL PAC FINL CORP COM NEW 154760409 7939 769270 SH DEFINED 0 769270 0 CHEMTURA CORP COM NEW 163893209 13468 1342777 SH DEFINED 0 1342777 0 CITIGROUP INC COM NEW 172967424 12808 500000 SH DEFINED 0 500000 0 GENERAL ELECTRIC CO COM 369604103 46 130000 SH CALL DEFINED 0 130000 0 GOLDMAN SACHS GROUP INC COM 38141G104 3634 252000 SH PUT DEFINED 0 252000 0 GOLDMAN SACHS GROUP INC COM 38141G104 9455 100000 SH DEFINED 0 100000 0 HSBC HLDGS PLC SPON ADR NEW 404280406 3804 100000 SH DEFINED 0 100000 0 ISHARES TR FTSE CHINA25 IDX 464287184 4 70000 SH CALL DEFINED 0 70000 0 ISHARES TR MSCI EMERG MKT 464287234 1088 31000 SH DEFINED 0 31000 0 ISHARES TR MSCI EMERG MKT 464287234 29 197000 SH CALL DEFINED 0 197000 0 ISHARES TR MSCI EMERG MKT 464287234 309 115000 SH PUT DEFINED 0 115000 0 JPMORGAN CHASE & CO COM 46625H100 15060 500000 SH DEFINED 0 500000 0 JPMORGAN CHASE & CO COM 46625H100 1200 1000000 SH CALL DEFINED 0 1000000 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 7329 300000 SH DEFINED 0 300000 0 MORGAN STANLEY COM NEW 617446448 13510 1000000 SH DEFINED 0 1000000 0 PMC COML TR SH BEN INT 693434102 2536 325077 SH DEFINED 0 325077 0 PREMIER EXIBITIONS INC COM 74051E102 485 259548 SH DEFINED 0 259548 0 PREMIER EXIBITIONS INC COM 74051E102 76 40452 SH DEFINED 1 40452 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1832 550000 SH PUT DEFINED 0 550000 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 7 10000 SH PUT DEFINED 0 10000 0 SINCLAIR BROADCAST GROUP INC CL A 829226109 3391 473000 SH DEFINED 0 473000 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 27304 985000 SH DEFINED 0 985000 0 SPDR GOLD TRUST GOLD SHS 78463V107 1581 10000 SH DEFINED 0 10000 0 SPDR GOLD TRUST GOLD SHS 78463V107 514 162000 SH CALL DEFINED 0 162000 0 SPDR GOLD TRUST GOLD SHS 78463V107 183 14000 SH PUT DEFINED 0 14000 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4085 36100 SH DEFINED 0 36100 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 84 60000 SH CALL DEFINED 0 60000 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 796 140000 SH PUT DEFINED 0 140000 0 SPRINT NEXTEL CORP COM SER 1 852061100 5 50000 SH CALL DEFINED 0 50000 0 TIME WARNER CABLE INC COM 88732J207 14414 230000 SH DEFINED 0 230000 0 UBS AG SHS NEW H89231338 8019 701600 SH DEFINED 0 701600 0 YAHOO INC COM 984332106 483 1950000 SH CALL DEFINED 0 1950000 0