13F-HR 1 tricadia4q2011.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: 12/31/2011 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, NY 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 February 09, 2012 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: 32 Form 13F Information Table Value Total: $110,225 (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 3020 2000000 SH PUT DEFINED 0 2000000 0 BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 102 60000 SH PUT DEFINED 0 60000 0 CENTRAL PAC FINL CORP COM NEW 154760409 10386 803870 SH DEFINED 0 803870 0 CHEMTURA CORP COM NEW 163893209 5216 460000 SH DEFINED 0 460000 0 CITIGROUP INC COM NEW 172967424 18417 700000 SH DEFINED 0 700000 0 GOLDMAN SACHS GROUP INC COM 38141G104 1150 115000 SH PUT DEFINED 0 115000 0 ISHARES INC MSCI GERMAN 464286806 21 20000 SH PUT DEFINED 0 20000 0 ISHARES TR FTSE CHINA25 IDX 464287184 1 70000 SH CALL DEFINED 0 70000 0 ISHARES TR MSCI EMERG MKT 464287234 56 147000 SH CALL DEFINED 0 147000 0 ISHARES TR RUSSELL 2000 464287655 40 30000 SH PUT DEFINED 0 30000 0 ISHARES TR RUSSELL 2000 464287655 107 35000 SH CALL DEFINED 0 35000 0 JPMORGAN CHASE & CO COM 46625H100 13300 400000 SH DEFINED 0 400000 0 JPMORGAN CHASE & CO COM 46625H100 1110 1000000 SH CALL DEFINED 0 1000000 0 MORGAN STANLEY COM NEW 617446448 15130 1000000 SH DEFINED 0 1000000 0 PMC COML TR SH BEN INT 693434102 2395 342647 SH DEFINED 0 342647 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 36 40000 SH PUT DEFINED 0 40000 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 50 40000 SH CALL DEFINED 0 40000 0 PREMIER EXIBITIONS INC COM 74051E102 544 221994 SH DEFINED 0 221994 0 PREMIER EXIBITIONS INC COM 74051E102 83 33874 SH DEFINED 1 33874 0 RESEARCH IN MOTION LTD COM 760975102 2 82000 SH CALL DEFINED 0 82000 0 RESEARCH IN MOTION LTD COM 760975102 0 18000 SH CALL DEFINED 1 18000 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 32 90000 SH CALL DEFINED 0 90000 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 14 50000 SH PUT DEFINED 0 50000 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 21857 530000 SH DEFINED 0 530000 0 SPDR GOLD TRUST GOLD SHS 78463V107 104 212600 SH CALL DEFINED 0 212600 0 SPDR GOLD TRUST GOLD SHS 78463V107 21 10000 SH PUT DEFINED 0 10000 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4405 35100 SH DEFINED 0 35100 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 295 270000 SH CALL DEFINED 0 270000 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1029 330000 SH PUT DEFINED 0 330000 0 WELLS FARGO & CO NEW COM 949746101 11024 400000 SH DEFINED 0 400000 0 YAHOO INC COM 984332106 36 900000 SH CALL DEFINED 0 900000 0 YAHOO INC COM 984332106 242 15000 SH DEFINED 0 15000 0